[Federal Register Volume 85, Number 187 (Friday, September 25, 2020)]
[Proposed Rules]
[Pages 60642-60677]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-18778]



[[Page 60641]]

Vol. 85

Friday,

No. 187

September 25, 2020

Part IV





 Department of Energy





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10 CFR Part 431





Energy Conservation Program: Energy Conservation Standards for Computer 
Room Air Conditioners and Air-Cooled, Three-Phase, Small Commercial 
Package Air Conditioning and Heating Equipment With a Cooling Capacity 
of Less Than 65,000 Btu/h; Proposed Rule

  Federal Register / Vol. 85 , No. 187 / Friday, September 25, 2020 / 
Proposed Rules  

[[Page 60642]]


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DEPARTMENT OF ENERGY

10 CFR Part 431

[EERE-2020-BT-STD-0008]
RIN 1904-AF01


Energy Conservation Program: Energy Conservation Standards for 
Computer Room Air Conditioners and Air-Cooled, Three-Phase, Small 
Commercial Package Air Conditioning and Heating Equipment With a 
Cooling Capacity of Less Than 65,000 Btu/h

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

ACTION: Notification of data availability and request for information.

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SUMMARY: The U.S. Department of Energy (DOE) is publishing an analysis 
of the energy savings potential of amended industry consensus standards 
for certain classes of computer room air conditioners (CRACs) and air-
cooled, three-phase, small commercial package air conditioning and 
heating equipment with a cooling capacity of less than 65,000 Btu/h 
(air-cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment). As required under the Energy Policy and Conservation Act 
(EPCA), DOE has been triggered to act by changes to the American 
Society of Heating, Refrigerating and Air-Conditioning Engineers 
(ASHRAE) Standard 90.1. DOE is also soliciting information regarding 
energy conservation standards for CRACs and air-cooled, three-phase, 
small commercial package AC and HP (<65 K) equipment for which the 
industry consensus standards have not been amended, pursuant to EPCA's 
six-year-lookback review requirement. This notice of data availability 
(NODA) and request for information (RFI) solicits information from the 
public to help DOE determine whether more-stringent amended standards 
for CRACs or air-cooled, three-phase, small commercial package AC and 
HP (<65 K) equipment would result in significant additional energy 
savings and whether such standards would be technologically feasible 
and economically justified. DOE welcomes written comments from the 
public on any subject within the scope of this document (including 
topics not specifically raised in this NODA/RFI), as well as the 
submission of data and other relevant information.

DATES: Written comments and information are requested and will be 
accepted on or before November 9, 2020.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at http://www.regulations.gov. Follow 
the instructions for submitting comments. Alternatively, interested 
persons may submit comments, identified by docket number EERE-2020-BT-
STD-0008 and/or RIN 1904-AF01, by any of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. Email: [email protected]. Include the docket 
number EERE-2020-BT-STD-0008 and/or RIN 1904-AF01 in the subject line 
of the message.
    3. Postal Mail: Appliance and Equipment Standards Program, U.S. 
Department of Energy, Building Technologies Office, Mailstop EE-5B, 
Energy Conservation Standards NODA and RFI for Certain Categories of 
Commercial Air-Conditioning and Heating Equipment, 1000 Independence 
Avenue SW, Washington, DC 20585-0121. If possible, please submit all 
items on a compact disc (CD), in which case it is not necessary to 
include printed copies.
    4. Hand Delivery/Courier: Appliance and Equipment Standards 
Program, U.S. Department of Energy, Building Technologies Office, 950 
L'Enfant Plaza SW, 6th Floor, Washington, DC 20024. Telephone: (202) 
287-1445. If possible, please submit all items on a CD, in which case 
it is not necessary to include printed copies.
    No telefacsimilies (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section V of this document (Public 
Participation).
    Docket: The docket for this activity, which includes Federal 
Register notices, comments, and other supporting documents/materials, 
is available for review at http://www.regulations.gov (search EERE-
2020-BT-STD-0008). All documents in the docket are listed in the http://www.regulations.gov index. However, some documents listed in the 
index, such as those containing information that is exempt from public 
disclosure, may not be publicly available.
    The docket web page can be found at: https://www.regulations.gov/docket?D=EERE-2020-BT-STD-0008. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket. See section V of this document for information on how to 
submit comments through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Ms. Catherine Rivest and Mr. Antonio 
Bouza, U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Building Technologies Office, EE-5B, 1000 
Independence Avenue SW, Washington, DC 20585-0121. Telephone: (202) 
586-7335. Email: [email protected].
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585. 
Telephone: (202) 586-5827. Email: [email protected].
    For further information on how to submit a comment or review other 
public comments and the docket, contact the Appliance and Equipment 
Standards Program staff at (202) 287-1445 or by email: 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Introduction
    A. Authority
    B. Purpose of the Notice of Data Availability
    C. Rulemaking Background
    1. Computer Room Air Conditioners
    2. Air-Cooled, Three-phase, Small Commercial Package AC and HP 
(<65 K) Equipment
II. Discussion of Changes in ASHRAE Standard 90.1-2019
    A. Computer Room Air Conditioners
    1. Methodology for Efficiency and Capacity Crosswalk Analyses
    a. General
    b. Increase in Return Air Dry-Bulb Temperature from 75 [deg]F to 
85 [deg]F
    c. Decrease in Entering Water Temperature for Water-Cooled CRACs
    d. Changes in External Static Pressure Requirements for Upflow 
Ducted CRACs
    e. Power Adder To Account for Pump and Heat Rejection Fan Power 
in NSenCOP Calculation for Water-Cooled and Glycol-Cooled CRACs
    f. Calculating Overall Changes in Measured Efficiency and 
Capacity from Test Procedure Changes
    2. Crosswalk Results
    3. Discussion of Comments Received Regarding Amended Standards 
for CRACs
    4. CRAC Standards Amended Under ASHRAE Standard 90.1-2019
    B. Air-Cooled, Three-phase, Small Commercial Package AC and HP 
(<65 K) Equipment
    1. Crosswalk Methodology and Results
III. Analysis of Standards Amended and Newly Established by ASHRAE 
Standard 90.1-2019
    A. Annual Energy Use

[[Page 60643]]

    1. Computer Room Air Conditioners
    a. Equipment Classes and Analytical Scope
    b. Efficiency Levels
    c. Analysis Method and Annual Energy Use Results
    2. Air-Cooled, Three-Phase, Small Commercial Package AC and HP 
(<65k) Equipment
    a. Equipment Classes and Analytical Scope
    b. Efficiency Levels
    c. Annual Energy Use Results
    B. Shipments
    1. Computer Room Air Conditioners
    2. Air-Cooled, Three-Phase, Small Commercial Package AC and HP 
(<65 K) Equipment
    C. No-New-Standards-Case Efficiency Distribution
    D. Other Analytical Inputs
    1. Equipment Lifetime
    2. Compliance Dates and Analysis Period
    E. Estimates of Potential Energy Savings
    F. Consideration of More-Stringent Energy Efficiency Levels
IV. Review Under Six-Year-Lookback Provisions: Requested Information
V. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Introduction

A. Authority

    The Energy Policy and Conservation Act, as amended (EPCA),\1\ 
Public Law 94-163 (42 U.S.C. 6291-6317, as codified) among other 
things, authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. Title III, Part C 
\2\ of EPCA (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 sets forth a variety of 
provisions designed to improve energy efficiency. This equipment 
includes CRACs and air-cooled, three-phase, small commercial package AC 
and HP (<65 K) equipment, which are categories of small, large, and 
very large commercial package air conditioning and heating equipment, 
which are the subjects of this document. (42 U.S.C. 6311(1)(B)-(D)).
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    \1\ All references to EPCA in this document refer to the statute 
as amended through America's Water Infrastructure Act of 2018, 
Public Law 115-270 (Oct. 23, 2018).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
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    Under EPCA, the energy conservation program consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of the EPCA specifically include definitions (42 U.S.C. 
6311), energy conservation standards (42 U.S.C. 6313), test procedures 
(42 U.S.C. 6314), labeling provisions (42 U.S.C. 6315), and the 
authority to require information and reports from manufacturers (42 
U.S.C. 6316).
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and (b); 42 U.S.C. 6297) DOE may, however, grant waivers 
of Federal preemption in limited circumstances for particular State 
laws or regulations, in accordance with the procedures and other 
provisions set forth under EPCA. (See 42 U.S.C. 6316(b)(2)(D)).
    In EPCA, Congress initially set mandatory energy conservation 
standards for certain types of 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,\3\ 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 at 
levels that generally corresponded to the levels in 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).
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    \3\ EPCA defines commercial package air-conditioning and heating 
equipment as meaning air-cooled, water-cooled, evaporatively-cooled, 
or water source (not including ground water source) electrically 
operated, unitary central air conditioners and central air-
conditioning heat pumps for commercial application. (42 U.S.C. 
6311(8)(A)) Commercial package air-conditioning and heating 
equipment includes CRACs and air-cooled, three-phase small 
commercial package AC and HP (<65 K) equipment.
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    In acknowledgement of technological changes that yield energy 
efficiency benefits, Congress further directed DOE through EPCA to 
consider amending the existing Federal energy conservation standard for 
each type of covered equipment listed, each time ASHRAE amends Standard 
90.1 with respect to such equipment. (42 U.S.C. 6313(a)(6)(A)) When 
triggered in this manner, DOE must undertake and publish an analysis of 
the energy savings potential of amended energy efficiency standards, 
and amend the Federal standards to establish a uniform national 
standard at the minimum level specified in the amended ASHRAE Standard 
90.1, unless DOE determines that there is clear and convincing evidence 
to support a determination that a more-stringent standard 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)(i)-(ii)) If DOE decides to adopt as a uniform 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, supported by clear 
and convincing evidence, that a more-stringent uniform national 
standard would result in significant additional conservation of energy 
and is technologically feasible and economically justified, then DOE 
must establish such more-stringent uniform national standard not later 
than 30 months after publication of the amended ASHRAE Standard 
90.1.\4\ (42 U.S.C. 6313(a)(6)(A)(ii)(II) and (B)(i)).
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    \4\ In determining whether a more-stringent standard is 
economically justified, EPCA directs DOE to determine, after 
receiving views and comments from the public, whether the benefits 
of the proposed standard exceed the burdens of the proposed standard 
by, to the maximum extent practicable, considering the following:
    (1) The economic impact of the standard on the manufacturers and 
consumers of the products subject to the standard;
    (2) The savings in operating costs throughout the estimated 
average life of the product compared to any increases in the initial 
cost or maintenance expense;
    (3) The total projected amount of energy savings likely to 
result directly from the standard;
    (4) Any lessening of the utility or the performance of the 
products likely to result from the standard;
    (5) The impact of any lessening of competition, as determined in 
writing by the Attorney General, that is likely to result from the 
standard;
    (6) The need for national energy conservation; and
    (7) Other factors the Secretary considers relevant.
    (42 U.S.C. 6313(a)(6)(B)(ii)).
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    In an update to 10 CFR part 430, subpart C, appendix A, 
``Procedures, interpretations, and policies for consideration of new or 
revised energy conservation standards and test procedures for 
commercial/industrial equipment'' (the updated Process Rule),\5\ DOE 
codified in its regulations its long-standing interpretation that the 
ASHRAE ``trigger'' is applicable only to those equipment classes for 
which ASHRAE Standard 90.1 has adopted an increase to the efficiency 
level as compared to the current Federal standard for that specific 
equipment

[[Page 60644]]

class. 85 FR 8626, 8644-8645 (Feb. 14, 2020). DOE's review in adopting 
amendments based on an action by ASHRAE to amend Standard 90.1 is 
strictly limited to the specific standards or test procedure amendment 
for the specific equipment for which ASHRAE has made a change (i.e., 
determined down to the equipment class level). 85 FR 8626, 8708 (Feb. 
14, 2020).
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    \5\ The updated Process Rule is applicable to covered equipment 
and includes provisions specific to rulemakings related to ASHRAE 
equipment. 85 FR 8626, 8704, 8708, and 8711 (Feb. 14, 2020).
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    Although EPCA does not explicitly define the term ``amended'' in 
the context of what type of revision to ASHRAE Standard 90.1 would 
trigger DOE's obligation, DOE's longstanding interpretation has been 
that the statutory trigger is an amendment to the standard applicable 
to that equipment under ASHRAE Standard 90.1 that increases the energy 
efficiency level for that equipment. See 72 FR 10038, 10042 (March 7, 
2007). In other words, if the revised ASHRAE Standard 90.1 leaves the 
energy efficiency level unchanged (or lowers the energy efficiency 
level), as compared to the energy efficiency level specified by the 
uniform national standard adopted pursuant to EPCA, regardless of the 
other amendments made to the ASHRAE Standard 90.1 requirement (e.g., 
the inclusion of an additional metric), DOE has stated that it 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). See 74 
FR 36312, 36313 (July 22, 2009) and 77 FR 28928, 28937 (May 16, 2012). 
If an amendment to ASHRAE Standard 90.1 changed the metric for the 
standard on which the Federal requirement was based, DOE would perform 
a crosswalk analysis to determine whether the amended metric under 
ASHRAE Standard 90.1 resulted in an energy efficiency level that was 
more stringent than the current DOE standard.
    DOE notes that Congress adopted amendments to these provisions 
related to ASHRAE Standard 90.1 equipment under the American Energy 
Manufacturing Technical Corrections Act (Pub. L. 112-210 (Dec. 18, 
2012); ``AEMTCA''). In relevant part, DOE is prompted to act whenever 
ASHRAE Standard 90.1 is amended with respect to ``the standard levels 
or design requirements applicable under that standard'' to any of the 
enumerated types of commercial air conditioning, heating, or water 
heating equipment covered under EPCA. (42 U.S.C. 6313(a)(6)(A)(i)).
    In those situations where ASHRAE has not acted to amend the levels 
in ASHRAE Standard 90.1 for the covered equipment types enumerated in 
the statute, EPCA also provides for a 6-year-lookback to consider the 
potential for amending the uniform national standards. (42 U.S.C. 
6313(a)(6)(C)) Specifically, pursuant to the amendments to EPCA under 
AEMTCA, DOE is required to conduct an evaluation of each class of 
covered equipment in ASHRAE Standard 90.1 ``every 6 years'' to 
determine whether the applicable energy conservation standards need to 
be amended. (42 U.S.C. 6313(a)(6)(C)(i)) DOE must publish either a 
notice of proposed rulemaking (NOPR) to propose amended standards or a 
notice of determination that existing standards do not need to be 
amended. (42 U.S.C. 6313(a)(6)(C)(i)(I)-(II)) In proposing new 
standards under the 6-year-lookback review, DOE must undertake the same 
considerations as if it were adopting a standard that is more stringent 
than an amendment to ASHRAE Standard 90.1. (42 U.S.C. 
6313(a)(6)(C)(i)(II), 42 U.S.C. 6313(a)(6)(B)).
    The 6-year-lookback review is a separate statutory review 
obligation, as differentiated from the obligation triggered by an 
ASHRAE Standard 90.1 amendment, as previously discussed. ASHRAE not 
acting to amend Standard 90.1 is tantamount to a decision that the 
existing standard remain in place. 85 FR 8626, 8708 (Feb. 14, 2020). 
Thus, when undertaking a review as required by 42 U.S.C. 6313(a)(6)(C), 
DOE would need to find clear and convincing evidence, as defined in the 
Process Rule, to issue a standard more stringent than the existing 
standard for the equipment at issue. Id. In those instances where DOE 
makes a determination that the standards for the equipment in question 
do not need to be amended, the statute requires the Department to 
revisit that decision within three years to either make a new 
determination or propose amended standards. (42 U.S.C. 
6313(a)(6)(C)(iii)(II)).
    On October 24, 2019, ASHRAE officially released for distribution 
and made public ASHRAE Standard 90.1-2019. As discussed in the 
following sections, DOE has preliminarily determined that the 
amendments to ASHRAE Standard 90.1 have triggered DOE's obligations 
under 42 U.S.C. 6313(a)(6), for certain equipment classed of CRACs and 
air-cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment.
    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 standards within 180 days after ASHRAE Standard 90.1 is 
amended with respect to any of the covered equipment specified under 42 
U.S.C. 6313(a). (42 U.S.C. 6313(a)(6)(A)) This notice of data 
availability (NODA) presents the analysis of the energy savings 
potential of the amended energy efficiency standards in ASHRAE Standard 
90.1-2019, as required under 42 U.S.C. 6313(a)(6)(A)(i).
    Although not compelled to do so by the statute, DOE may decide in 
appropriate cases to simultaneously conduct an ASHRAE trigger 
rulemaking (i.e., for those equipment classes for which ASHRAE set a 
higher standard) and a 6-year-lookback rulemaking (i.e., for those 
equipment classes where ASHRAE left levels unchanged or set a lower 
standard) so as to address all classes of an equipment category at the 
same time. 85 FR 8626, 8645 (Feb. 14, 2020). For CRACs and air-cooled, 
three-phase, small commercial package AC and HP (<65 K) equipment, DOE 
is also evaluating possible amendments to the standards for those 
equipment classes for which the stringency of standards was not changed 
by ASHRAE Standard 90.1, consistent with its obligations under EPCA.
    For all classes of CRACs and air-cooled, three-phase, small 
commercial package AC and HP (<65 K) equipment (including both the 
classes for which ASHRAE did and did not increase the stringency of 
energy efficiency levels applicable under ASHRAE Standard 90.1), DOE 
seeks data and information that could enable the agency to determine 
whether a more-stringent standard: (1) Would not result in significant 
additional savings of energy; (2) is not technologically feasible; (3) 
is not economically justified; or (4) any combination of the foregoing. 
If for the triggered equipment classes, standard levels more stringent 
than the amended ASHRAE levels do not meet the statutory criteria, DOE 
would adopt the amended ASHRAE Standard 90.1 levels. If for the non-
triggered equipment classes, standard levels more stringent than the 
current Federal standards do not meet the statutory criteria, DOE would 
determine the standards do not need to be amended.

B. Purpose of the Notice of Data Availability

    As explained previously, DOE is publishing this NODA as a 
preliminary step pursuant to EPCA's requirements for DOE to consider 
amended standards for certain categories of commercial equipment 
covered by ASHRAE Standard 90.1, whenever ASHRAE amends its standard to 
increase the energy efficiency level for an equipment class within a 
given equipment category. Specifically, this NODA

[[Page 60645]]

presents for public comment DOE's analysis of the potential energy 
savings for amended national energy conservation standards for the 
equipment classes of commercial equipment for which amended efficiency 
levels are contained within ASHRAE Standard 90.1-2019. DOE describes 
these analyses and preliminary conclusions and seeks input from 
interested parties, including the submission of data and other relevant 
information. Specifically, DOE seeks comment on the potential energy 
savings for amended national energy conservation standards for these 
categories of commercial equipment based on: (1) The amended efficiency 
levels contained within ASHRAE Standard 90.1-2019 and (2) more-
stringent efficiency levels. DOE is also taking the opportunity to 
consider the potential for more-stringent standards for the other 
equipment classes within the subject equipment categories (i.e., 
classes for which energy efficiency levels in ASHRAE Standard 90.1-2019 
were not increased, and, therefore, for which DOE was not triggered) 
under EPCA's 6-year-lookback authority, so as to conduct a thorough 
review for the entire equipment category of CRACs and the entire 
equipment category of air-cooled, three-phase, small commercial package 
AC and HP (<65 K) equipment.
    DOE carefully examined the changes for equipment in ASHRAE Standard 
90.1 in order to thoroughly evaluate the amendments in ASHRAE Standard 
90.1-2019, thereby permitting DOE to determine what action, if any, is 
required under its statutory mandate. Section II of this NODA contains 
DOE's evaluation of the amendments in ASHRAE Standard 90.1-2019. For 
equipment classes preliminarily determined to have increased efficiency 
levels or changes in design requirements in ASHRAE Standard 90.1-2019, 
DOE subjected that equipment to further analysis as discussed in 
section III of this NODA. Section IV requests comment for those 
equipment classes for which efficiency levels and design requirements 
have not been increased or changed in ASHRAE Standard 90.1-2019, but 
are undergoing review under EPCA's 6-year-lookback authority.
    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). DOE is also 
treating it as an opportunity to gather information regarding its 
obligations under 42 U.S.C. 6313(a)(6)(C). After review of the public 
comments on this NODA, DOE will either establish amended uniform 
national standards for the subject equipment at the minimum level 
specified in ASHRAE Standard 90.1-2019, or where supported by clear and 
convincing evidence, consider more-stringent efficiency levels that 
would be expected to result in significant additional conservation of 
energy and are technologically feasible and economically justified. If 
DOE determines it appropriate to conduct such a rulemaking under the 
statute, DOE will address the anti-backsliding provision,\6\ and if DOE 
determines it appropriate to conduct a rulemaking to establish more-
stringent efficiency levels, DOE will also address the general 
rulemaking requirements applicable under 42 U.S.C. 6313(a)(6)(B), such 
as, the criteria for making a determination of economic justification 
as to whether the benefits of the proposed standard exceed the burden 
of the proposed standard,\7\ and the prohibition on making unavailable 
existing products with performance characteristics generally available 
in the United States.\8\
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    \6\ The anti-backsliding provision mandates that the Secretary 
may not prescribe any amended standard that either increases the 
maximum allowable energy use or decreases the minimum required 
energy efficiency of a covered product. (42 U.S.C. 6313 
(a)(6)(B)(iii)(I)).
    \7\ In deciding whether a potential standard's benefits outweigh 
its burdens, DOE must consider to the maximum extent practicable, 
the following seven factors:
    (1) The economic impact on manufacturers and consumers of the 
product 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 of the 
product 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. 6313(a)(6)(B)(ii)(I)-(VII)).
    \8\ 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 United States of any covered product type (or class) of 
performance characteristics (including reliability, features, 
capacities, sizes, and volumes) that are substantially the same as 
those generally available in the U.S. at the time of the Secretary's 
finding. (42 U.S.C. 6313(a)(6)(B)(iii)(II)).
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C. Rulemaking Background

    EPCA defines ``commercial package air conditioning and heating 
equipment'' as air-cooled, water-cooled, evaporatively-cooled, or water 
source (not including ground water source) electrically operated, 
unitary central air conditioners and central air conditioning heat 
pumps for commercial application. (42 U.S.C. 6311(8)(A); 10 CFR 431.92) 
EPCA further divides ``commercial package air conditioning and heating 
equipment'' based on cooling capacity (i.e., small, large, and very 
large categories). (42 U.S.C. 6311(8)(B)-(D); 10 CFR 431.92) ``Small 
commercial package air conditioning and heating equipment'' means 
equipment rated below 135,000 Btu per hour (cooling capacity). (42 
U.S.C. 6311(8)(B); 10 CFR 431.92) ``Large commercial package air 
conditioning and heating equipment'' means equipment rated: (i) At or 
above 135,000 Btu per hour; and (ii) below 240,000 Btu per hour 
(cooling capacity). (42 U.S.C. 6311(8)(C); 10 CFR 431.92) ``Very large 
commercial package air conditioning and heating equipment'' means 
equipment rated: (i) At or above 240,000 Btu per hour; and (ii) below 
760,000 Btu per hour (cooling capacity). (42 U.S.C. 6311(8)(D); 10 CFR 
431.92) DOE generally refers to these broad classifications as 
``equipment types.''
1. Computer Room Air Conditioners
    Pursuant to its authority under EPCA (42 U.S.C. 6313(a)(6)(A)) and 
in response to updates to ASHRAE Standard 90.1, DOE has established 
additional categories of equipment that meet the EPCA definition of 
``commercial package air conditioning and heating equipment,'' but 
which EPCA did not expressly identify. These equipment categories 
include CRACs (see 10 CFR 431.92 and 10 CFR 431.97). Within these 
additional equipment categories, further distinctions are made at the 
equipment class level based on capacity and other equipment attributes.
    DOE's current energy conservation standards for 30 equipment 
classes of CRACs are codified at 10 CFR 431.97. DOE defines ``computer 
room air conditioner'' as a commercial package air-conditioning and 
heating equipment (packaged or split) that is: Used in computer rooms, 
data processing rooms, or other information technology cooling 
applications; rated for sensible coefficient of performance (SCOP) and 
tested in accordance with 10 CFR 431.96, and is not a covered product 
under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. A computer room air 
conditioner may be provided with, or have as available options, an 
integrated humidifier, temperature, and/or humidity control of the 
supplied air, and reheating function. 10 CFR 431.92.
    DOE's regulations include test procedures and energy conservation 
standards that apply to the current CRAC equipment classes that are 
differentiated by condensing system

[[Page 60646]]

type (air-cooled, water-cooled, water-cooled with fluid economizer, 
glycol-cooled, or glycol-cooled with fluid economizer), net sensible 
cooling capacity (NSCC) (less than 65,000 Btu/h, greater than or equal 
to 65,000 Btu/h and less than 240,000 Btu/h, or greater than or equal 
to 240,000 Btu/h and less than 760,000 Btu/h), and direction of 
conditioned air over the cooling coil (upflow or downflow). 10 CFR 
431.96 and 10 CFR 431.97, respectively.
    DOE's test procedure for CRACs, set forth at 10 CFR 431.96, 
currently incorporates by reference American National Standards 
Institute (ANSI)/ASHRAE Standard 127-2007 (ANSI/ASHRAE 127-2007), 
``Method of Testing for Rating Computer and Data Processing Room 
Unitary Air Conditioners,'' (omit section 5.11), with additional 
provisions indicated in 10 CFR 431.96(c) and (e). The energy efficiency 
metric is sensible coefficient of performance (SCOP) for all CRAC 
equipment classes. ASHRAE Standard 90.1-2016, which was published on 
October 26, 2016, updated its test procedure reference for CRACs from 
ANSI/ASHRAE 127-2007 to AHRI Standard 1360-2016, ``Performance Rating 
of Computer and Data Processing Room Air Conditioners'' (AHRI 1360-
2016), which in turn references ANSI/ASHRAE Standard 127-2012, ``Method 
of Testing for Rating Computer and Data Processing Room Unitary Air 
Conditioners'' (ANSI/ASHRAE 127-2012). Subsequently, ASHRAE Standard 
90.1-2019, which was published on October 24, 2019, further updated its 
test procedure reference for CRACs to AHRI Standard 1360-2017, 
``Performance Rating of Computer and Data Processing Room Air 
Conditioners'' (AHRI 1360-2017), which also references ANSI/ASHRAE 127-
2012. The energy efficiency metric for CRACs in AHRI 1360-2016 and AHRI 
1360-2017 is net sensible coefficient of performance (NSenCOP).
    The energy conservation standards for CRACs were most recently 
amended through the final rule for energy conservation standards and 
test procedures for certain commercial HVAC and water heating equipment 
published in the Federal Register on May 16, 2012 (May 2012 final 
rule). 77 FR 28928. The May 2012 final rule established separate 
equipment classes for CRACs and adopted energy conservation standards 
that generally correspond to the levels in the 2010 revision of ASHRAE 
Standard 90.1 for most of the equipment classes.
    DOE published a Notice of Data Availability and Request for 
Information (NODA/RFI) in response to the amendments to the industry 
consensus standard contained in ASHRAE Standard 90.1-2016 in the 
Federal Register on September 11, 2019 (the September 2019 NODA/RFI). 
84 FR 48006. In the September 2019 NODA/RFI, DOE explained its 
methodology and assumptions to compare the current Federal standards 
for CRACs (in terms of SCOP) to the levels in ASHRAE Standard 90.1-2016 
(in terms of NSenCOP) and requested comment on its methodology and 
results. (The document also addressed changes related to dedicated 
outdoor air systems (DOASes).) DOE received a number of comments from 
interested parties in response to the September 2019 NODA/RFI. Table I-
1 lists the commenters relevant to CRACs, along with each commenter's 
abbreviated name used throughout this NODA/RFI. Discussion of the 
relevant comments, and DOE's responses, are provided in the appropriate 
sections of this document. Several other comments received in response 
to the September 2019 NODA/RFI pertain only to DOASes and will be 
addressed in a separate notice.\9\
---------------------------------------------------------------------------

    \9\ As noted, the September 2019 NODA/RFI addressed both CRACs 
and DOASes and is available under docket number EERE-2017-BT-STD-
0017. As this NODA/RFI addresses only CRACs, it has been assigned a 
separate docket number (i.e., EERE-2020-BT-STD-0008). Subsequent 
rulemaking activity regarding DOASes will continue to rely on the 
docket number for the September 2019 NODA/RFI.

 Table I-1--Interested Parties Providing Comment on CRACs in Response to
                       the September 2019 NODA/RFI
------------------------------------------------------------------------
               Name                   Abbreviation            Type
------------------------------------------------------------------------
Air-Conditioning, Heating, and     AHRI..............  IR.
 Refrigeration Institute.
Pacific Gas and Electric Company,  California          U.
 Southern California Gas Company,   Investor-Owned
 San Diego Gas and Electric, and    Utilities (CA
 Southern California Edison.        IOUs).
Trane............................  Trane.............  M.
Pano Koutrouvelis................  Koutrouvelis......  I.
------------------------------------------------------------------------
EA: Efficiency/Environmental Advocate; IR: Industry Representative; M:
  Manufacturer; U: Utility; and I: Individual.

    As noted previously, on October 24, 2019, ASHRAE officially 
released for distribution and made public ASHRAE Standard 90.1-2019. 
ASHRAE Standard 90.1-2019 revised the efficiency levels for certain 
commercial equipment, including certain classes of CRACs (as discussed 
in the following section). ASHRAE Standard 90.1-2019 either maintained 
or increased the stringency of the efficiency levels applicable to CRAC 
in ASHRAE Standard 90.1-2016, and as such, addressing the amendments 
for CRACs in ASHRAE Standard 90.1-2019 will also address DOE's 
obligations for CRACs resulting from the 2016 update to ASHRAE Standard 
90.1 (i.e., ASHRAE Standard 90.1-2016).
2. Air-Cooled, Three-Phase, Small Commercial Package AC and HP (<65 K) 
Equipment
    The energy conservation standards for air-cooled, three-phase, 
small commercial package air conditioning and heating equipment were 
most recently amended through the final rule for energy conservation 
standards and test procedures for certain commercial HVAC and water 
heating equipment published in the Federal Register on July 17, 2015 
(July 2015 final rule). 80 FR 42614. The July 2015 final rule adopted 
energy conservation standards that correspond to the levels in the 2013 
revision of ASHRAE Standard 90.1 for air-cooled, three-phase, small 
commercial package air conditioners (single package) and heat pumps 
(single package and split system). The July 2015 final rule also 
determined that standards for air-cooled, three-phase, small commercial 
package air conditioners (split system) did not need to be amended. 
DOE's current energy conservation standards for air-cooled, three-
phase, small commercial package AC and HP (<65 K) equipment are 
codified at 10 CFR 431.97.
    The current DOE test procedure at 10 CFR 431.96 for air-cooled, 
three-phase, small commercial package AC and HP (<65 K) equipment 
incorporates by reference ANSI/AHRI Standard 210/240-2008, 
``Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump 
Equipment,'' approved by

[[Page 60647]]

ANSI on October 27, 2011 and updated by addendum 1 in June 2011 and 
addendum 2 in March 2012 (ANSI/AHRI 210/240-2008).\10\
---------------------------------------------------------------------------

    \10\ DOE notes that the Federal test procedure omits the use of 
section 6.5 of ANSI/AHRI Standard 210/240-2008. 10 CFR 431.96, Table 
1.
---------------------------------------------------------------------------

    As noted previously, on October 24, 2019, ASHRAE officially 
released for distribution and made public ASHRAE Standard 90.1-2019. 
ASHRAE Standard 90.1-2019 revised the efficiency levels for certain 
commercial equipment, including certain classes of air-cooled, three-
phase, small commercial package AC and HP (<65 K) equipment (as 
discussed in the following section).

II. Discussion of Changes in ASHRAE Standard 90.1-2019

    Before beginning an analysis of the potential energy savings that 
would result from adopting a uniform national standard as specified by 
ASHRAE Standard 90.1-2019 or more-stringent uniform national standards, 
DOE must first determine whether the ASHRAE Standard 90.1-2019 standard 
levels actually represent an increase in efficiency above the current 
Federal standard levels or whether ASHRAE Standard 90.1-2019 adopted 
new design requirements, thereby triggering DOE action.
    This section contains a discussion of: (1) Each equipment class for 
which the ASHRAE Standard 90.1-2019 efficiency levels differ from the 
current Federal minimum efficiency levels \11\ (2) newly added 
equipment classes in ASHRAE Standard 90.1, and (3) DOE's preliminary 
conclusion regarding the appropriate action to take with respect to 
these equipment classes. DOE is also examining the other equipment 
classes for the triggered equipment categories under its 6-year-
lookback authority. (42 U.S.C. 6313(a)(6)(C))
---------------------------------------------------------------------------

    \11\ ASHRAE Standard 90.1-2019 did not change any of the design 
requirements associated with the minimum efficiency tables for the 
commercial heating, air conditioning, and water heating equipment 
covered by EPCA, so this potential category of change is not 
discussed in this section.
---------------------------------------------------------------------------

    As noted in section I.C of this document, ASHRAE adopted efficiency 
levels for all CRAC equipment classes denominated in terms of NSenCOP 
in the 2016 and 2019 versions of Standard 90.1 (measured per AHRI 1360-
2016 and AHRI 1360-2017, respectively), whereas DOE's current standards 
are denominated in terms of SCOP (measured per ANSI/ASHRAE 127-2007). 
For this NODA, DOE's analysis focuses on whether DOE has been triggered 
by ASHRAE Standard 90.1-2019 updates to minimum efficiency levels for 
CRACs and whether more-stringent standards are warranted; DOE will 
separately consider whether to adopt the NSenCOP metric for all CRAC 
equipment classes as part of the ongoing test procedure rulemaking. As 
discussed in detail in section II.A of this NODA, DOE has conducted a 
crosswalk analysis of the ASHRAE Standard 90.1-2019 standard levels (in 
terms of NSenCOP) and the corresponding current Federal energy 
conservation standards (in terms of SCOP) to compare the stringencies. 
DOE has tentatively determined that the updates in ASHRAE Standard 
90.1-2019 increased the stringency of efficiency levels for 48 
equipment classes and maintained equivalent levels for six equipment 
classes of CRACs relative to the current Federal standard.\12\ In 
addition, ASHRAE Standard 90.1-2019 includes efficiency levels for 18 
classes of horizontal-flow \13\ CRACs and 48 classes of ceiling-mounted 
CRACs which are not currently subject to Federal standards.
---------------------------------------------------------------------------

    \12\ ASHRAE 90.1-2019 added separate classes for ``air cooled 
with fluid economizer'' CRACs. This change resulted in nine new 
``air cooled with fluid economizer'' equipment classes being added 
and made subject to Federal standards.
    \13\ ``Horizontal flow'' refers to the direction of airflow of 
the unit.
---------------------------------------------------------------------------

    Current Federal standards for air-cooled, three-phase, small 
commercial package AC and HP (<65 K) equipment are in terms of seasonal 
energy efficiency ratio (SEER) and heating seasonal performance factor 
(HSPF) as measured by the current DOE test procedure which incorporates 
by reference the ANSI/AHRI 210/240-2008. 10 CFR 431.96, Table 1. ASHRAE 
Standard 90.1-2019 adopts new energy efficiency levels and new metrics 
for all equipment classes of air-cooled, three-phase, small commercial 
package AC and HP (<65 K) equipment. Beginning January 1, 2023, the 
metrics for this equipment under ASHRAE Standard 90.1-2019 are SEER2 
and HSPF2, as measured by AHRI 210/240-2023, ``Performance Rating of 
Unitary Air-Conditioning & Air-Source Heat Pump Equipment'' (published 
in May 2020).\14\ \15\ AHRI 210/240-2023 aligns test methods and 
ratings to be consistent with DOE's test procedure for single-phase 
central at conditioners at Appendix M1 to 10 CFR part 430, subpart B. 
The year 2023 was chosen as the version year to align compliance to 
AHRI 210/240-2023 with Appendix M1.
---------------------------------------------------------------------------

    \14\ Levels effective prior to January 1, 2023 are unchanged 
from ASHRAE Standard 90.1-2016.
    \15\ Prior to ASHRAE Standard 90.1-2019, ``space-constrained'' 
classes were referred to as ``through-the-wall.''
---------------------------------------------------------------------------

    On October 2, 2018, DOE published in the Federal Register a request 
for information on its test procedure (and certification and 
enforcement requirements) for air-cooled, three-phase, small commercial 
package AC and HP (<65 K) equipment. 83 FR 49501 (October 2018 TP RFI). 
The October 2018 TP RFI notes that air-cooled, three-phase, small 
commercial package AC and HP (<65 K) equipment is essentially identical 
to its single-phase residential counterparts, is manufactured on the 
same production lines, and is physically identical to their 
corresponding single-phase central air conditioner and heat pump models 
(with the exception of the electrical systems and compressors). 83 FR 
49501, 49504 (Oct. 2, 2018).
    In order to determine whether the 2023 efficiency levels in ASHRAE 
Standard 90.1-2019 represent an increase in efficiency, DOE has 
developed a preliminary crosswalk for translating SEER to SEER2 and 
HSPF to HSPF2 based on the metric translations between SEER to SEER2 
and HSPF to HSPF2 developed for single-phase products (see section 
II.B.1 of this document for details). DOE has tentatively determined 
that the levels in ASHRAE Standard 90.1-2019 for this equipment 
category are more stringent for two equipment classes, equivalent for 
two equipment classes, and less stringent for six equipment classes 
relative to the current Federal standard.
    Table II-1 and Table II-2 show the equipment classes and efficiency 
levels for CRACs and air-cooled, three-phase, small commercial package 
AC and HP (<65 K) equipment provided in ASHRAE Standard 90.1-2019 and 
the current Federal energy conservation standards. Table II-1 and Table 
II-2 also display the corresponding existing Federal equipment classes 
for clarity and indicate whether the updated levels in ASHRAE Standard 
90.1-2019 trigger DOE's evaluation as required under EPCA (i.e., 
whether the update results in a standard level more stringent than the 
current Federal level), and, therefore, whether analysis of potential 
energy savings from amended Federal standards is warranted. The 
remainder of this section explains DOE's methodology for evaluating the 
updated levels in ASHRAE Standard 90.1-2019 and addresses comments 
received regarding CRAC efficiency levels and associated analyses 
discussed in the September 2019 NODA/RFI.

[[Page 60648]]



   Table II-1--Energy Efficiency Levels for CRACs in ASHRAE Standard 90.1-2019, and the Corresponding Federal
                                          Energy Conservation Standards
----------------------------------------------------------------------------------------------------------------
                                                            Energy
                                                          efficiency      Federal energy      DOE triggered by
   ASHRAE standard 90.1-2019       Current federal     levels in ASHRAE    conservation    ASHRAE standard 90.1-
      equipment class \1\        equipment class \1\    standard 90.1-     standards \2\      2019 amendment?
                                                           2019 \2\
----------------------------------------------------------------------------------------------------------------
CRAC, Air-Cooled, <80,000 Btu/  CRAC, Air-Cooled,      2.70 NSenCOP....  2.20 SCOP.......  Yes.
 h, Downflow.                    <65,000 Btu/h,
                                 Downflow.
CRAC, Air-Cooled, <65,000 Btu/  N/A..................  2.65 NSenCOP....  N/A.............  Yes.\3\
 h, Horizontal-flow.
CRAC, Air-Cooled, <80,000 Btu/  CRAC, Air-Cooled,      2.67 NSenCOP....  2.09 SCOP.......  Yes.
 h, Upflow Ducted.               <65,000 Btu/h,
                                 Upflow.
CRAC, Air-Cooled, <65,000 Btu/  CRAC, Air-Cooled,      2.16 NSenCOP....  2.09 SCOP.......  Yes.
 h, Upflow Non-Ducted.           <65,000 Btu/h,
                                 Upflow.
CRAC, Air-Cooled, >=80,000 and  CRAC, Air-Cooled,      2.58 NSenCOP....  2.10 SCOP.......  Yes.
 <295,000 Btu/h, Downflow.       >=65,000 and
                                 <240,000 Btu/h,
                                 Downflow.
CRAC, Air-Cooled, >=65,000 and  N/A..................  2.55 NSenCOP....  N/A.............  Yes.\3\
 <240,000 Btu/h, Horizontal-
 flow.
CRAC, Air-Cooled, >=80,000 and  CRAC, Air-Cooled,      2.55 NSenCOP....  1.99 SCOP.......  No.\4\
 <295,000 Btu/h, Upflow Ducted.  >=65,000 and
                                 <240,000 Btu/h,
                                 Upflow.
CRAC, Air-Cooled, >=65,000 and  CRAC, Air-Cooled,      2.04 NSenCOP....  1.99 SCOP.......  Yes.
 <240,000 Btu/h, Upflow Non-     >=65,000 and
 Ducted.                         <240,000 Btu/h,
                                 Upflow.
CRAC, Air-Cooled, >=295,000     CRAC, Air-Cooled,      2.36 NSenCOP....  1.90 SCOP.......  Yes.
 Btu/h, Downflow.                >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Downflow.
CRAC, Air-Cooled, >=240,000     N/A..................  2.47 NSenCOP....  N/A.............  Yes.\3\
 Btu/h, Horizontal-flow.
CRAC, Air-Cooled, >=295,000     CRAC, Air-Cooled,      2.33 NSenCOP....  1.79 SCOP.......  Yes.
 Btu/h, Upflow Ducted.           >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow.
CRAC, Air-Cooled, >=240,000     CRAC, Air-Cooled,      1.89 NSenCOP....  1.79 SCOP.......  Yes.
 Btu/h, Upflow Non-ducted.       >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      2.70 NSenCOP....  2.20 SCOP.......  Yes.\5\
 economizer, <80,000 Btu/h,      <65,000 Btu/h,
 Downflow.                       Downflow.
CRAC, Air-Cooled with fluid     N/A..................  2.65 NSenCOP....  N/A.............  Yes.\3\
 economizer, <65,000 Btu/h,
 Horizontal-flow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      2.67 NSenCOP....  2.09 SCOP.......  Yes.\5\
 economizer, <80,000 Btu/h,      <65,000 Btu/h,
 Upflow Ducted.                  Upflow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      2.09 NSenCOP....  2.09 SCOP.......  No.\4\
 economizer, <65,000 Btu/h,      <65,000 Btu/h,
 Upflow Non-Ducted.              Upflow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      2.58 NSenCOP....  2.10 SCOP.......  Yes.\5\
 economizer, >=80,000 and        >=65,000 and
 <295,000 Btu/h, Downflow.       <240,000 Btu/h,
                                 Downflow.
CRAC, Air-Cooled with fluid     N/A..................  2.55 NSenCOP....  N/A.............  Yes.\3\
 economizer, >=65,000 and
 <240,000 Btu/h, Horizontal-
 flow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      2.55 NSenCOP....  1.99 SCOP.......  No.\4\
 economizer, >=80,000 and        >=65,000 and
 <295,000 Btu/h, Upflow Ducted.  <240,000 Btu/h,
                                 Upflow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      1.99 NSenCOP....  1.99 SCOP.......  No.\4\
 economizer, >=65,000 and        >=65,000 and
 <240,000 Btu/h, Upflow Non-     <240,000 Btu/h,
 Ducted.                         Upflow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      2.36 NSenCOP....  1.90 SCOP.......  Yes.\5\
 economizer, >=295,000 Btu/h,    >=240,000 Btu/h and
 Downflow.                       <760,000 Btu/h,
                                 Downflow.
CRAC, Air-Cooled with fluid     N/A..................  2.47 NSenCOP....  N/A.............  Yes.\3\
 economizer, >=240,000 Btu/h,
 Horizontal-flow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      2.33 NSenCOP....  1.79 SCOP.......  Yes.\5\
 economizer, >=295,000 Btu/h,    >=240,000 Btu/h and
 Upflow Ducted.                  <760,000 Btu/h,
                                 Upflow.
CRAC, Air-Cooled with fluid     CRAC, Air-Cooled,      1.81 NSenCOP....  1.79 SCOP.......  Yes.\5\
 economizer, >=240,000 Btu/h,    >=240,000 Btu/h and
 Upflow Non-ducted.              <760,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled, <80,000     CRAC, Water-Cooled,    2.82 NSenCOP....  2.60 SCOP.......  Yes.
 Btu/h, Downflow.                <65,000 Btu/h,
                                 Downflow.
CRAC, Water-Cooled, <65,000     N/A..................  2.79 NSenCOP....  N/A.............  Yes.\3\
 Btu/h, Horizontal-flow.
CRAC, Water-Cooled, <80,000     CRAC, Water-Cooled,    2.79 NSenCOP....  2.49 SCOP.......  Yes.
 Btu/h, Upflow Ducted.           <65,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled, <65,000     CRAC, Water-Cooled,    2.43 NSenCOP....  2.49 SCOP.......  Yes.
 Btu/h, Upflow Non-ducted.       <65,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled, >=80,000    CRAC, Water-Cooled,    2.73 NSenCOP....  2.50 SCOP.......  Yes.
 and <295,000 Btu/h, Downflow.   >=65,000 and
                                 <240,000 Btu/h,
                                 Downflow.
CRAC, Water-Cooled, >=65,000    N/A..................  2.68 NSenCOP....  N/A.............  Yes.\3\
 and <240,000 Btu/h,
 Horizontal-flow.
CRAC, Water-Cooled, >=80,000    CRAC, Water-Cooled,    2.70 NSenCOP....  2.39 SCOP.......  No.\4\
 and <295,000 Btu/h, Upflow      >=65,000 and
 Ducted.                         <240,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled, >=65,000    CRAC, Water-Cooled,    2.32 NSenCOP....  2.39 SCOP.......  Yes.
 and <240,000 Btu/h, Upflow      >=65,000 and
 Non-ducted.                     <240,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled, >=295,000   CRAC, Water-Cooled,    2.67 NSenCOP....  2.40 SCOP.......  Yes.
 Btu/h, Downflow.                >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Downflow.
CRAC, Water-Cooled, >=240,000   N/A..................  2.60 NSenCOP....  N/A.............  Yes.\3\
 Btu/h, Horizontal-flow.
CRAC, Water-Cooled, >=295,000   CRAC, Water-Cooled,    2.64 NSenCOP....  2.29 SCOP.......  Yes.
 Btu/h, Upflow Ducted.           >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled, >=240,000   CRAC, Water-Cooled,    2.20 NSenCOP....  2.29 SCOP.......  Yes.
 Btu/h, Upflow Non-ducted.       >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.77 NSenCOP....  2.55 SCOP.......  Yes.
 economizer, <80,000 Btu/h,      with fluid
 Downflow.                       economizer, <65,000
                                 Btu/h, Downflow.

[[Page 60649]]

 
CRAC, Water-Cooled with fluid   N/A..................  2.71 NSenCOP....  N/A.............  Yes.\3\
 economizer, <65,000 Btu/h,
 Horizontal-flow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.74 NSenCOP....  2.44 SCOP.......  Yes.
 economizer, <80,000 Btu/h,      with fluid
 Upflow Ducted.                  economizer, <65,000
                                 Btu/h, Upflow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.35 NSenCOP....  2.44 SCOP.......  Yes.
 economizer, <65,000 Btu/h,      with fluid
 Upflow Non-ducted.              economizer, <65,000
                                 Btu/h, Upflow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.68 NSenCOP....  2.45 SCOP.......  Yes.
 economizer, >=80,000 and        with fluid
 <295,000 Btu/h, Downflow.       economizer, >=65,000
                                 and <240,000 Btu/h,
                                 Downflow.
CRAC, Water-Cooled with fluid   N/A..................  2.60 NSenCOP....  N/A.............  Yes.\3\
 economizer, >=65,000 and
 <240,000 Btu/h, Horizontal-
 flow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.65 NSenCOP....  2.34 SCOP.......  No.\4\
 economizer, >=80,000 and        with fluid
 <295,000 Btu/h, Upflow Ducted.  economizer, >=65,000
                                 and <240,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.24 NSenCOP....  2.34 SCOP.......  Yes.
 economizer, >=65,000 and        with fluid
 <240,000 Btu/h, Upflow Non-     economizer, >=65,000
 ducted.                         and <240,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.61 NSenCOP....  2.35 SCOP.......  Yes.
 economizer, >=295,000 Btu/h,    with fluid
 Downflow.                       economizer,
                                 >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Downflow.
CRAC, Water-Cooled with fluid   N/A..................  2.54 NSenCOP....  N/A.............  Yes.\3\
 economizer, >=240,000 Btu/h,
 Horizontal-flow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.58 NSenCOP....  2.24 SCOP.......  Yes.
 economizer, >=295,000 Btu/h,    with fluid
 Upflow Ducted.                  economizer,
                                 >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow.
CRAC, Water-Cooled with fluid   CRAC, Water-Cooled     2.12 NSenCOP....  2.24 SCOP.......  Yes.
 economizer, >=240,000 Btu/h,    with fluid
 Upflow Non-ducted.              economizer,
                                 >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow.
CRAC, Glycol-Cooled, <80,000    CRAC, Glycol-Cooled,   2.56 NSenCOP....  2.50 SCOP.......  Yes.
 Btu/h, Downflow.                <65,000 Btu/h,
                                 Downflow.
CRAC, Glycol-Cooled, <65,000    N/A..................  2.48 NSenCOP....  N/A.............  Yes.\3\
 Btu/h, Horizontal-flow.
CRAC, Glycol-Cooled, <80,000    CRAC, Glycol-Cooled,   2.53 NSenCOP....  2.39 SCOP.......  Yes.
 Btu/h, Upflow Ducted.           <65,000 Btu/h,
                                 Upflow Ducted.
CRAC, Glycol-Cooled, <65,000    CRAC, Glycol-Cooled,   2.08 NSenCOP....  2.39 SCOP.......  Yes.
 Btu/h, Upflow Non-ducted.       <65,000 Btu/h,
                                 Upflow Non-ducted.
CRAC, Glycol-Cooled, >=80,000   CRAC, Glycol-Cooled,   2.24 NSenCOP....  2.15 SCOP.......  Yes.
 and <295,000 Btu/h, Downflow.   >=65,000 and
                                 <240,000 Btu/h,
                                 Downflow.
CRAC, Glycol-Cooled, >=65,000   N/A..................  2.18 NSenCOP....  N/A.............  Yes.\3\
 and <240,000 Btu/h,
 Horizontal-flow.
CRAC, Glycol-Cooled, >=80,000   CRAC, Glycol-Cooled,   2.21 NSenCOP....  2.04 SCOP.......  Yes.
 and <295,000 Btu/h, Upflow      >=65,000 and
 Ducted.                         <240,000 Btu/h,
                                 Upflow.
CRAC, Glycol-Cooled, >=65,000   CRAC, Glycol-Cooled,   1.90 NSenCOP....  2.04 SCOP.......  Yes.
 and <240,000 Btu/h, Upflow      >=65,000 and
 Non-ducted.                     <240,000 Btu/h,
                                 Upflow.
CRAC, Glycol-Cooled, >=295,000  CRAC, Glycol-Cooled,   2.21 NSenCOP....  2.10 SCOP.......  Yes.
 Btu/h, Downflow.                >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Downflow.
CRAC, Glycol-Cooled, >=240,000  N/A..................  2.18 NSenCOP....  N/A.............  Yes.\3\
 Btu/h, Horizontal-flow.
CRAC, Glycol-Cooled, >=295,000  CRAC, Glycol-Cooled,   2.18 NSenCOP....  1.99 SCOP.......  Yes.
 Btu/h, Upflow Ducted.           >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow Ducted.
CRAC, Glycol-Cooled, >=240,000  CRAC, Glycol-Cooled,   1.81 NSenCOP....  1.99 SCOP.......  Yes.
 Btu/h, Upflow Non-ducted.       >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow Non-ducted.
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    2.51 NSenCOP....  2.45 SCOP.......  Yes.
 economizer, <80,000 Btu/h,      with fluid
 Downflow.                       economizer, <65,000
                                 Btu/h, Downflow.
CRAC, Glycol-Cooled with fluid  N/A..................  2.44 NSenCOP....  N/A.............  Yes.\3\
 economizer, <65,000 Btu/h,
 Horizontal-flow.
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    2.48 NSenCOP....  2.34 SCOP.......  Yes.
 economizer, <80,000 Btu/h,      with fluid
 Upflow Ducted.                  economizer, <65,000
                                 Btu/h, Upflow Ducted.
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    2.00 NSenCOP....  2.34 SCOP.......  Yes.
 economizer, <65,000 Btu/h,      with fluid
 Upflow Non-ducted.              economizer, <65,000
                                 Btu/h, Upflow Non-
                                 ducted.
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    2.19 NSenCOP....  2.10 SCOP.......  Yes.
 economizer, >=80,000 and        with fluid
 <295,000 Btu/h, Downflow.       economizer, >=65,000
                                 and <240,000 Btu/h,
                                 Downflow.
CRAC, Glycol-Cooled with fluid  N/A..................  2.10 NSenCOP....  N/A.............  Yes.\3\
 economizer, >=65,000 and
 <240,000 Btu/h, Horizontal-
 flow.
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    2.16 NSenCOP....  1.99 SCOP.......  Yes.
 economizer, >=80,000 and        with fluid
 <295,000 Btu/h, Upflow Ducted.  economizer, >=65,000
                                 and <240,000 Btu/h,
                                 Upflow.
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    1.82 NSenCOP....  1.99 SCOP.......  Yes.
 economizer, >=65,000 and        with fluid
 <240,000 Btu/h, Upflow Non-     economizer, >=65,000
 ducted.                         and <240,000 Btu/h,
                                 Upflow.
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    2.15 NSenCOP....  2.05 SCOP.......  Yes.
 economizer, >=295,000 Btu/h,    with fluid
 Downflow.                       economizer,
                                 >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Downflow.
CRAC, Glycol-Cooled with fluid  N/A..................  2.10 NSenCOP....  N/A.............  Yes.\3\
 economizer, >=240,000 Btu/h,
 Horizontal-flow.

[[Page 60650]]

 
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    2.12 NSenCOP....  1.94 SCOP.......  Yes.
 economizer, >=295,000 Btu/h,    with fluid
 Upflow Ducted.                  economizer,
                                 >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow Ducted.
CRAC, Glycol-Cooled with fluid  CRAC, Glycol-Cooled    1.73 NSenCOP....  1.94 SCOP.......  Yes.
 economizer, >=240,000 Btu/h,    with fluid
 Upflow Non-ducted.              economizer,
                                 >=240,000 Btu/h and
                                 <760,000 Btu/h,
                                 Upflow Non-ducted.
Ceiling-mounted CRAC, Air-      N/A..................  2.05 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser, Ducted,
 <29,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  2.02 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser, Ducted,
 >=29,000 Btu/h and <65,000
 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.92 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser, Ducted,
 >=65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  2.08 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser, Non-
 ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  2.05 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser, Non-
 ducted, >=29,000 Btu/h and
 <65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.94 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser, Non-
 ducted, >=65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  2.01 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser with
 fluid economizer, Ducted,
 <29,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.97 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser with
 fluid economizer, Ducted,
 >=29,000 Btu/h and <65,000
 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.87 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser with
 fluid economizer, Ducted,
 >=65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  2.04 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser with
 fluid economizer, Non-ducted,
 <29,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  2.00 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser with
 fluid economizer, Non-ducted,
 >=29,000 Btu/h and <65,000
 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.89 NSenCOP....  N/A.............  Yes.\6\
 cooled with free air
 discharge condenser with
 fluid economizer, Non-ducted,
 >=65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.86 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser,
 Ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.83 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser,
 Ducted, >=29,000 Btu/h and
 <65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.73 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser,
 Ducted, >=65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.89 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser,
 Non-ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.86 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser,
 Non-ducted, >=29,000 Btu/h
 and <65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.75 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser,
 Non-ducted, >=65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.82 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser
 with fluid economizer,
 Ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.78 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser
 with fluid economizer,
 Ducted, >=29,000 Btu/h and
 <65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.68 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser
 with fluid economizer,
 Ducted, >=65,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.85 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser
 with fluid economizer, Non-
 ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Air-      N/A..................  1.81 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser
 with fluid economizer, Non-
 ducted, >=29,000 Btu/h and
 <65,000 Btu/h.

[[Page 60651]]

 
Ceiling-mounted CRAC, Air-      N/A..................  1.70 NSenCOP....  N/A.............  Yes.\6\
 cooled with ducted condenser
 with fluid economizer, Non-
 ducted, >=65,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.38 NSenCOP....  N/A.............  Yes.\6\
 cooled, Ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.28 NSenCOP....  N/A.............  Yes.\6\
 cooled, Ducted, >=29,000 Btu/
 h and <65,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.18 NSenCOP....  N/A.............  Yes.\6\
 cooled, Ducted, >=65,000 Btu/
 h.
Ceiling-mounted CRAC, Water-    N/A..................  2.41 NSenCOP....  N/A.............  Yes.\6\
 cooled, Non-ducted, <29,000
 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.31 NSenCOP....  N/A.............  Yes.\6\
 cooled, Non-ducted, >=29,000
 Btu/h and <65,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.20 NSenCOP....  N/A.............  Yes.\6\
 cooled, Non-ducted, >=65,000
 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.33 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.23 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Ducted, >=29,000 Btu/h and
 <65,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.13 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Ducted, >=65,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.36 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Non-ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.26 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Non-ducted, >=29,000 Btu/h
 and <65,000 Btu/h.
Ceiling-mounted CRAC, Water-    N/A..................  2.16 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Non-ducted, >=65,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.97 NSenCOP....  N/A.............  Yes.\6\
 cooled, Ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.93 NSenCOP....  N/A.............  Yes.\6\
 cooled, Ducted, >=29,000 Btu/
 h and <65,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.78 NSenCOP....  N/A.............  Yes.\6\
 cooled, Ducted, >=65,000 Btu/
 h.
Ceiling-mounted CRAC, Glycol-   N/A..................  2.00 NSenCOP....  N/A.............  Yes.\6\
 cooled, Non-ducted, <29,000
 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.98 NSenCOP....  N/A.............  Yes.\6\
 cooled, Non-ducted, >=29,000
 Btu/h and <65,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.81 NSenCOP....  N/A.............  Yes.\6\
 cooled, Non-ducted, >=65,000
 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.92 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.88 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Ducted, >=29,000 Btu/h and
 <65,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.73 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Ducted, >=65,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.95 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Non-ducted, <29,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.93 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Non-ducted, >=29,000 Btu/h
 and <65,000 Btu/h.
Ceiling-mounted CRAC, Glycol-   N/A..................  1.76 NSenCOP....  N/A.............  Yes.\6\
 cooled with fluid economizer,
 Non-ducted, >=65,000 Btu/h.
----------------------------------------------------------------------------------------------------------------
\1\ Note that equipment classes specified in ASHRAE Standard 90.1-2019 do not necessarily correspond to the
  equipment classes defined in DOE's regulations. Capacity ranges in ASHRAE Standard 90.1-2019 are specified in
  terms of NSCC, as measured according to AHRI 1360-2017. Capacity ranges in Federal equipment classes are
  specified in terms of NSCC, as measured according to ANSI/ASHRAE 127-2007. As discussed in section II.A.1 of
  this document, for certain equipment classes, AHRI 1360-2017 results in increased NSCC measurements as
  compared to the NSCC measured in accordance with ANSI/ASHRAE 127-2007. Therefore, some CRACs would switch
  classes (i.e., move into a higher capacity equipment class) if the equipment class boundaries are not changed
  accordingly. Consequently, DOE performed a ``capacity crosswalk'' analysis to translate the capacity
  boundaries for certain equipment classes.
\2\ For CRACs, ASHRAE Standard 90.1-2019 adopted efficiency levels in terms of NSenCOP based on test procedures
  in AHRI 1360-2017, while DOE's current standards are in terms of SCOP based on the test procedures in ANSI/
  ASHRAE 127-2007. DOE performed a crosswalk analysis to compare the stringency of the ASHRAE Standard 90.1-2019
  efficiency levels with the current Federal standards. See section II.A of this NODA for further discussion on
  the crosswalk analysis performed for CRACs.
\3\ Horizontal-flow CRACs are new equipment classes included in ASHRAE Standard 90.1-2016 and ASHRAE Standard
  90.1-2019 (and not subject to current Federal standards), but DOE does not have any data to indicate the
  market share of horizontal-flow units. In the absence of data regarding market share and efficiency
  distribution, DOE is unable to estimate potential savings for horizontal-flow equipment classes.
\4\ The preliminary CRAC crosswalk analysis indicates that there is no difference in stringency of efficiency
  levels for this class between ASHRAE Standard 90.1-2019 and the current Federal standard.
\5\ Air-cooled CRACs with fluid economizers are new equipment classes included in ASHRAE Standard 90.1-2019 and
  are currently subject to the Federal standard for air-cooled CRACs. DOE does not have data regarding market
  share for air-cooled CRACs with fluid economizers. Although DOE is unable to disaggregate the estimated
  potential savings for these equipment classes, energy savings for these equipment classes are included in the
  savings presented for air-cooled CRACs.

[[Page 60652]]

 
\6\ Ceiling-mounted CRACs are new equipment classes in ASHRAE Standard 90.1-2019 (and not subject to current
  Federal standards), and DOE does not have any data to indicate the market share of ceiling-mounted units. In
  the absence of data regarding market share and efficiency distribution, DOE is unable to estimate potential
  savings for ceiling-mounted equipment classes.


 Table II-2--Energy Efficiency Levels for Air-Cooled, Three-Phase, Small Commercial Package AC and HP (<65 K) in
             ASHRAE Standard 90.1-2019, and the Corresponding Federal Energy Conservation Standards
----------------------------------------------------------------------------------------------------------------
                                                       Energy
                                                     efficiency         Federal energy        DOE triggered by
   ASHRAE standard 90.1-2019     Current federal  levels in ASHRAE       conservation      ASHRAE standard 90.1-
        equipment class          equipment class   standard 90.1-       standards \1\         2019 amendment?
                                                        2019
----------------------------------------------------------------------------------------------------------------
Air-cooled Air Conditioner,     Air-cooled Air    14.0 SEER before  14.0 SEER............  No.
 Three-Phase, Single-Package,    Conditioner,      1/1/2023, 13.4
 <65,000 Btu/h.                  Three-Phase,      SEER2 after 1/1/
                                 Single-Package,   2023.
                                 <65,000 Btu/h.
Air-cooled Air Conditioner,     Air-cooled Air    13.0 SEER before  13.0 SEER............  Yes.
 Three-Phase, Split-System,      Conditioner,      1/1/2023, 13.4
 <65,000 Btu/h.                  Three-Phase,      SEER2 after 1/1/
                                 Split-System,     2023.
                                 <65,000 Btu/h.
Air-cooled Heat Pump, Three-    Air-cooled Heat   14.0 SEER/8.0     14.0 SEER, 8.0 HSPF..  No.
 phase, Single-Package,          Pump, three-      HSPF before 1/1/
 <65,000 Btu/h.                  phase, Single-    2023, 13.4
                                 Package,          SEER2/6.7 HSPF2
                                 <65,000 Btu/h.    after 1/1/2023.
Air-cooled Heat Pump, Three-    Air-cooled Heat   14.0 SEER/8.2     14.0 SEER, 8.2 HSPF..  Yes.
 phase, Split-System, <65,000    Pump, three-      HSPF before 1/1/
 Btu/h.                          phase, Split-     2023, 14.3
                                 System, <65,000   SEER2/7.5 HSPF2
                                 Btu/h.            after 1/1/2023.
Space-Constrained, Air-cooled   Air-cooled Air    12.0 SEER before  14.0 SEER \2\........  No.
 Air Conditioner, Three-Phase,   Conditioner,      1/1/2023, 11.7
 Single-Package, <=30,000 Btu/   Three-Phase,      SEER2 after 1/1/
 h.                              Single-Package,   2023.
                                 <65,000 Btu/h.
Space-Constrained, Air-cooled   Air-cooled Air    12.0 SEER before  13.0 SEER \2\........  No.
 Air Conditioner, Three-Phase,   Conditioner,      1/1/2023, 11.7
 Split-System, <=30,000 Btu/h.   Three-Phase,      SEER2 after 1/1/
                                 Split-System,     2023.
                                 <65,000 Btu/h.
Space-Constrained, Air-cooled   Air-cooled Heat   12.0 SEER/7.4     14.0 SEER,\2\ 8.0      No.
 Heat Pump, Three-Phase,         Pump, three-      HSPF before 1/1/  HSPF \2\.
 Single-Package, <=30,000 Btu/   phase, Single-    2023, 11.7
 h.                              Package,          SEER2/6.3 HSPF2
                                 <65,000 Btu/h.    after 1/1/2023.
Space-Constrained, Air-cooled   Air-cooled Heat   12.0 SEER/7.4     14.0 SEER,\2\ 8.2      No.
 Heat Pump, Three-Phase, Split-  Pump, three-      HSPF before 1/1/  HSPF \2\.
 System, <=30,000 Btu/h.         phase, Split-     2023, 11.7
                                 System, <65,000   SEER2/6.3 HSPF2
                                 Btu/h.            after 1/1/2023.
Small-Duct, High-Velocity, Air- Air-cooled Air    12.0 SEER before  13.0 SEER \2\........  No.
 cooled Air Conditioner, Three-  Conditioner,      1/1/2023, 12.0
 Phase, Split-System, <65,000    Three-Phase,      SEER2 after 1/1/
 Btu/h.                          Split-System,     2023.
                                 <65,000 Btu/h.
Small-Duct, High-Velocity, Air- Air-cooled Heat   12.0 SEER/7.2     14.0 SEER,\2\ 8.2      No.
 cooled Heat Pump, Three-        Pump, three-      HSPF before 1/1/  HSPF \2\.
 Phase, Split-System, <65,000    phase, Split-     2023, 12.0
 Btu/h.                          System, <65,000   SEER2/6.1 HSPF2
                                 Btu/h.            after 1/1/2023.
----------------------------------------------------------------------------------------------------------------
\1\ ASHRAE Standard 90.1-2019 adopts levels in terms of SEER2 and HSPF2 effective on 1/1/2023, as measured by
  AHRI 210/240-2023, while Federal standards are in terms of SEER and HSPF. DOE performed a preliminary
  crosswalk analysis to determine whether the ASHRAE Standard 90.1-2019 levels due to take effect on 1/1/2023
  represent an increase in stringency relative to the current Federal standards.
\2\ Although ASHRAE Standard 90.1-2019 specifies separate standard levels for three-phase space-constrained and
  small-duct, high-velocity equipment, the Federal standards for these equipment classes are the same as other
  types of small commercial package air-conditioning and heating equipment.

A. Computer Room Air Conditioners

    DOE currently prescribes energy conservation standards for 30 
equipment classes of CRACs at 10 CFR 431.97. The current CRAC equipment 
classes are differentiated by condensing system type (air-cooled, 
water-cooled, water-cooled with fluid economizer, glycol-cooled, or 
glycol-cooled with fluid economizer), NSCC (less than 65,000 Btu/h, 
greater than or equal to 65,000 Btu/h and less than 240,000 Btu/h, or 
greater than or equal to 240,000 Btu/h and less than 760,000 Btu/h), 
and direction of conditioned air over the cooling coil (upflow or 
downflow). Federal standards established in 10 CFR 431.97 are specified 
in terms of SCOP, based on rating conditions in ANSI/ASHRAE 127-2007. 
10 CFR 431.96(b)(2).
    As discussed in the September 2019 NODA/RFI, ASHRAE Standard 90.1-
2016 established new equipment classes for CRACs. 84 FR 48006, 48013 
(Sept. 11, 2019). ASHRAE Standard 90.1-2016 added efficiency levels for 
horizontal-flow CRAC equipment classes, disaggregated the upflow CRAC 
equipment classes into upflow ducted and upflow non-ducted equipment 
classes, and established different sets of efficiency levels for upflow 
ducted and upflow non-ducted equipment classes based on the 
corresponding rating conditions specified in AHRI 1360-2016. In 
contrast, DOE currently specifies the same set of standards at 10 CFR 
431.97 for all covered upflow CRACs, regardless of ducting 
configuration.
    ASHRAE Standard 90.1-2019 maintains the equipment class structure 
for floor-mounted CRACs as established in ASHRAE Standard 90.1-2016. 
ASHRAE Standard 90.1-2019 amended the efficiency levels in ASHRAE 
Standard 90.1-2016 for all but three of those equipment classes. ASHRAE 
Standard 90.1-2019 also added classes for air-cooled CRACs with fluid 
economizers and a new table with new efficiency levels for ceiling-
mounted CRAC equipment classes. The equipment in horizontal-flow and 
ceiling-mounted classes is not currently subject to Federal standards 
set forth in 10 CFR 431.97, although DOE issued a draft guidance 
document on October 7, 2015 to clarify that horizontal-flow and 
ceiling-mounted CRACs are covered equipment and are required to be 
tested under the current DOE test procedure for purposes of making 
representations of energy consumption. (Docket No. EERE-2014-BT-GUID-
0022, No. 3, pp. 1-2) In contrast, upflow and downflow air-cooled CRACs 
with fluid economizers are currently subject to the Federal standards 
in 10 CFR 431.97 for air-cooled equipment classes.
    DOE considered whether there were any increases in stringency in 
the ASHRAE Standard 90.1-2019 levels for CRAC classes covered by DOE 
standards, thus triggering DOE obligations under EPCA. As with the 
assessment of ASHRAE Standard 90.1-2016, for CRACs, this assessment has 
been complicated because the current standards established in 10 CFR 
431.97 are specified in terms of SCOP and based on the rating 
conditions in ANSI/

[[Page 60653]]

ASHRAE 127-2007, while the efficiency levels for CRACs set forth in 
ASHRAE Standard 90.1-2019 are specified in terms of NSenCOP and based 
on rating conditions in AHRI 1360-2017. While EPCA does not expressly 
state how DOE is to consider a change to an ASHRAE efficiency metric, 
DOE is guided by the criteria established under EPCA for the evaluation 
of amendments to the test procedures referenced in ASHRAE Standard 
90.1. For ASHRAE equipment under 42 U.S.C. 6313(a)(6)(A)(i), EPCA 
directs that if the applicable test procedure referenced in ASHRAE 
Standard 90.1 is amended, DOE must amend the Federal test procedure to 
be consistent with the amended industry test procedure, unless DOE 
makes a determination, supported by clear and convincing evidence, that 
to do so would result in a test procedure that is not reasonably 
designed to provide results representative of use during an average use 
cycle, or is unduly burdensome to conduct. (42 U.S.C. 6314(a)(4)(B)) In 
evaluating an update to an industry test procedure referenced in ASHRAE 
Standard 90.1, DOE must also consider any potential impact on the 
measured energy efficiency as compared to the current Federal test 
procedure and in the context of the current Federal standard. (42 
U.S.C. 6314(a)(4)(C) and 42 U.S.C. 6293(e))
    As discussed in section II.A.1 of this document, the rating 
conditions in AHRI 1360-2016 and AHRI 1360-2017 differ from those 
specified in ANSI/ASHRAE 127-2007 (the industry standard referenced in 
the current DOE test procedure for CRACs) for most CRAC equipment 
classes. As part of the analysis for the September 2019 NODA/RFI, DOE 
conducted a crosswalk analysis for the classes affected by rating 
condition changes to determine whether the ASHRAE Standard 90.1-2016 
levels in terms of NSenCOP and determined according to AHRI 1360-2016 
are more stringent than DOE's current standards in terms of SCOP and 
determined according to ANSI/ASHRAE 127-2007. 84 FR 48006, 48014-48022 
(Sept. 11, 2019). Because the rating conditions specified in AHRI 1360-
2017 and AHRI 1360-2016 are the same for the classes covered by the 
crosswalk (upflow ducted, upflow non-ducted, and downflow), the same 
crosswalk as described in the September 2019 NODA/RFI can be used to 
compare DOE's current SCOP-based CRAC standards to the NSenCOP values 
in ASHRAE Standard 90.1-2019 (determined according to AHRI 1360-2017), 
in order to perform the current analysis required by EPCA. Section 
II.A.1 of this document includes a detailed discussion of the 
differences in rating conditions between DOE's current test procedure 
for CRACs (which references ANSI/ASHRAE 127-2007), AHRI 1360-2016, and 
AHRI 1360-2017.
    The crosswalk allows DOE to determine whether any of the levels 
specified in the updated ASHRAE Standard 90.1 are more stringent than 
the current DOE standards; any such levels would be considered 
``amended'' for the purpose of the evaluation required by EPCA. To the 
extent that the crosswalk identifies amended standards (i.e., ASHRAE 
Standard 90.1 levels more stringent than the Federal standards), the 
crosswalk also allows DOE to conduct an analysis of the energy savings 
potential of amended standards, also as required by EPCA. (42 U.S.C. 
6313(a)(6)(A)(i)) Additionally, in order to make the required 
determination of whether adoption of a uniform national standard more 
stringent than the amended ASHRAE Standard 90.1 level is 
technologically feasible and economically justified (42 U.S.C. 
6313(a)(6)(A)(ii)), DOE must understand the relationship between the 
current Federal standard and the corresponding ASHRAE Standard 90.1 
efficiency level. Finally, for any standard that DOE does not make more 
stringent because the Federal standard is already more stringent than 
the ASHRAE Standard 90.1 level and where more-stringent levels are not 
justified (under the 6-year-lookback), DOE must express these levels in 
terms of the new efficiency metric so as to be consistent with the 
relevant industry test procedure (42 U.S.C. 6314(a)(4)).
1. Methodology for Efficiency and Capacity Crosswalk Analyses
a. General
    DOE performed an efficiency crosswalk analysis to compare the 
stringency of the current Federal standards (represented in terms of 
SCOP based on the current DOE test procedure) for CRACs to the 
stringency of the efficiency levels for this equipment in ASHRAE 
Standard 90.1-2019 (represented in terms of NSenCOP and based on AHRI 
1360-2017). The rating conditions for upflow ducted, upflow non-ducted, 
and downflow equipment classes specified in AHRI 1360-2017 are the same 
as in AHRI 1360-2016, so for these classes, the same crosswalk can 
relate SCOP levels measured according to ANSI/ASHRAE 127-2007 to 
NSenCOP levels measured according to either the 2016 or 2017 editions 
of AHRI 1360. Therefore, the crosswalk methodology and resulting 
``crosswalked'' levels of the current Federal standards used in this 
NODA/RFI are the same as those presented in the September 2019 NODA/RFI 
(i.e., the methodology and resulting levels used to compare the current 
Federal standards to the levels in ASHRAE Standard 90.1-2016; see 84 FR 
48006, 48014-48019 (Sept. 11, 2019)). Because ASHRAE Standard 90.1-2019 
added classes for air-cooled CRACs with fluid economizers, DOE also 
presents in this NODA/RFI crosswalked levels for the 9 air-cooled with 
fluid economizer classes currently being made subject to Federal 
standards. However, the crosswalk results for these classes are the 
same as the results for corresponding classes for air-cooled CRACs 
without fluid economizers, because: (1) These classes are subject to 
the same current Federal standards as air-cooled CRACs without fluid 
economizers; and (2) per AHRI 1360-2017, air-cooled units with fluid 
economizers are not tested differently than units without fluid 
economizers.
    DOE received several comments in response to the September 2019 
NODA/RFI addressing DOE's crosswalk methodology. AHRI stated that it 
agrees with DOE's crosswalk methodology and analysis, with only slight 
discrepancies in some of the percentages. However, AHRI also stated 
that the efficiency levels in ASHRAE 90.1-2019, which were developed by 
AHRI and DOE, resolve the shortcomings that AHRI stated were in the 
crosswalk presented in the September 2019 NODA/RFI. (AHRI, No. 7 at p. 
4) \16\ The CA IOUs commented that they support DOE's crosswalk 
analysis. (CA IOUs, No. 6 at p. 2) Similarly, Trane commented that it 
generally agrees with the high-level methodology in DOE's crosswalk 
analysis. (Trane, No. 5 at p. 1) Trane also commented that cooling 
capacity alone must be compared when determining if backsliding has 
occurred, as opposed to what minimum SCOP requirement was previously 
required for that individual unit. Trane further stated that CRACs can 
achieve higher cooling capacities with smaller box sizes and less power 
input at the test conditions specified in AHRI 1360 as compared to 
DOE's current test procedure. (Trane, No. 5 at p. 2) In response to 
Trane, while the measured NSCC will be higher for models in certain 
equipment classes when tested

[[Page 60654]]

to AHRI 1360-2016 or AHRI 1360-2017 as compared to when tested to ANSI/
ASHRAE 127-2007, DOE specifies minimum standards in terms of energy 
efficiency, not cooling capacity. Therefore, DOE's analysis to 
determine if the ASHRAE Standard 90.1 levels constitute backsliding 
must compare the stringency of the current Federal SCOP standards to 
the NSenCOP levels in ASHRAE Standard 90.1. As discussed later in this 
section, DOE also performed a ``capacity crosswalk'' analysis to 
translate the capacity boundaries for certain equipment classes, 
because some CRACs would switch classes (i.e., move into a higher 
capacity equipment class) if the equipment class boundaries are not 
changed accordingly. Such switching of classes has the potential to 
subject existing CRACs to lower standards (which could raise concerns 
vis-[agrave]-vis EPCA's anti-backsliding provision at 42 U.S.C. 
6313(a)(6)(B)(iii)(I)). Based on these comments, for this NODA/RFI, DOE 
did not make any changes to the methodology of the efficiency or 
capacity crosswalks presented in the September 2019 NODA/RFI.
---------------------------------------------------------------------------

    \16\ DOE identifies comments received in response to the 
September 2019 NODA/RFI and placed in Docket No. Docket EERE-2017-
BT-STD-0017 by the commenter, the number of the comment document as 
listed in the docket maintained at http://www.regulations.gov, and 
the page number of that document where the comment appears (for 
example: AHRI, No. 7 at p. 4).
---------------------------------------------------------------------------

    For the efficiency crosswalk, DOE analyzed the CRAC equipment 
classes in ASHRAE Standard 90.1-2019 that are currently subject to 
Federal standards (i.e., all upflow and downflow classes).\17\ ASHRAE 
Standard 90.1-2019 includes separate sets of efficiency levels for 
upflow ducted and upflow non-ducted CRACs to reflect the differences in 
rating conditions for upflow ducted and upflow non-ducted units in AHRI 
1360-2017 (e.g., return air temperature and external static pressure 
(ESP)). The current Federal test procedure does not specify different 
rating conditions for upflow ducted as compared to upflow non-ducted 
CRACs, and DOE's current standards set forth in 10 CFR 431.97 do not 
differentiate between upflow ducted and upflow non-ducted CRACs. For 
the purpose of the efficiency crosswalk analysis, DOE converted the 
single set of current Federal SCOP standards for all upflow CRACs to 
sets of ``crosswalked'' NSenCOP levels for both the upflow ducted and 
upflow non-ducted classes included in ASHRAE Standard 90.1-2019.
---------------------------------------------------------------------------

    \17\ ASHRAE Standard 90.1-2019 includes efficiency levels for 
horizontal-flow and ceiling-mounted classes of CRACs. DOE does not 
currently prescribe standards for horizontal-flow or ceiling-mounted 
classes, so these classes were not included in the crosswalk 
analysis.
---------------------------------------------------------------------------

    Similarly, DOE's current standards set forth in 10 CFR 431.97 do 
not distinguish between air-cooled CRACs with and without fluid 
economizers, whereas ASHRAE Standard 90.1-2019 includes separate sets 
of efficiency levels for air-cooled CRACs with and without fluid 
economizers. Therefore, DOE converted the single set of current Federal 
standards for air-cooled classes in terms of SCOP to crosswalked 
standards in terms of NSenCOP for air-cooled classes both with and 
without fluid economizers. However, there is no difference between the 
rating conditions for air-cooled CRACs with and without fluid 
economizers in AHRI 1360-2017 so the crosswalk results are identical 
for these classes.
    As explained previously, the levels for CRACs as updated in ASHRAE 
Standard 90.1-2019 rely on a different metric (NSenCOP) and test 
procedure (AHRI 1360-2017) than the metric and test procedure required 
under the Federal standards (SCOP and ANSI/ASHRAE 127-2007, 
respectively). AHRI 1360-2017 and ANSI/ASHRAE 127-2007 specify 
different rating conditions, which are listed in Table II-3.\18\ AHRI 
1360-2016 specifies the same rating conditions for these classes as 
AHRI 1360-2017.
---------------------------------------------------------------------------

    \18\ Pursuant to EPCA, DOE is conducting a separate evaluation 
of its current test procedure as compared to AHRI 1360-2017. (42 
U.S.C. 6314(a)(4)(B)).

                      Table II-3--Differences in Rating Conditions Between DOE's Current Test Procedure and AHRI Standard 1360-2017
--------------------------------------------------------------------------------------------------------------------------------------------------------
 
--------------------------------------------------------------------------------------------------------------------------------------------------------
Test parameter                       Affected equipment       Current DOE test procedure (ANSI/ASHRAE 127-
                                      categories.                                 2007)
                                                     AHRI 1360-2017
--------------------------------------------------------------------------------------------------------------------------------------------------------
Return air dry-bulb temperature      Upflow ducted and               75 [deg]F dry-bulb temperature
 (RAT)                                downflow.
                                             85 [deg]F dry-bulb temperature.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Entering water temperature (EWT)...  Water-cooled..........                    86 [deg]F
                                                        83 [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
ESP (varies with NSCC).............  Upflow ducted.........  <20 kW................  0.8 in H2O...........  <65 kBtu/h...........  0.3 in H2O.
                                                            --------------------------------------------------------------------------------------------
                                                             >=20 kW...............  1.0 in H2O...........  >=65 kBtu/h and <240   0.4 in H2O.
                                                                                                             kBtu/h.
                                                                                                           ---------------------------------------------
                                                                                                            >=240 kBtu/h and <760  0.5 in H2O.
                                                                                                             kBtu/h.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Adder for heat rejection fan and     Water-cooled and        No added power consumption for heat rejection
 pump power (add to total power       glycol-cooled.          fan and pump.
 consumption).
                                     5 percent of NSCC for water-cooled CRACs. 7.5
                                      percent of NSCC for glycol-cooled CRACs.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 60655]]

    Additionally, in ASHRAE Standard 90.1-2019 (which references AHRI 
1360-2017 as the test procedure for CRACs), the capacity boundaries for 
downflow and upflow-ducted CRAC equipment classes are increased 
relative to the boundaries of analogous classes in the current Federal 
standards (which references ANSI/ASHRAE 127-2007 for the test 
procedure). The capacity values that bound the CRAC equipment classes 
are in terms of NSCC. For certain equipment classes, NSCC values 
determined according to AHRI 1360-2017 are higher than the NSCC values 
determined according to ANSI/ASHRAE 127-2007 because of differences in 
the specified rating conditions. Because the test procedure in ASHRAE 
Standard 90.1-2019 results in an increased NSCC value for certain 
equipment classes, as compared to the NSCC measured in accordance with 
the current Federal test procedure requirement, some CRACs would switch 
classes (i.e., move into a higher capacity equipment class) if the 
equipment class boundaries are not changed accordingly.\19\
---------------------------------------------------------------------------

    \19\ This difference in capacity values might shift the 
boundaries between statutorily defined categories (i.e., small, 
large and very large commercial package air conditioning and heating 
equipment), but would not impact which equipment is within scope of 
DOE's authority under these statutorily defined categories (i.e., 
DOE has authority to regulate all small, large, and very large 
commercial package air conditioning and heating equipment).
---------------------------------------------------------------------------

    As the equipment class capacity increases for upflow or downflow 
CRAC classes, the stringency of both the ASHRAE Standard 90.1 
efficiency level and the current Federal standard decreases. As a 
result, class switching would subject some CRAC models to an efficiency 
level under ASHRAE Standard 90.1-2019 that is less stringent than the 
standard level that is applicable to that model under the current 
Federal requirements. Such result would be impermissible under EPCA's 
anti-backsliding provision at 42 U.S.C. 6313(a)(6)(B)(iii)(I).
    To provide for an appropriate comparison between current Federal 
efficiency standards and the efficiency levels in ASHRAE Standard 90.1-
2019, address potential backsliding, and evaluate the capacity 
boundaries in ASHRAE Standard 90.1-2019, a capacity crosswalk was 
conducted to adjust the NSCC boundaries that separate equipment classes 
in the Federal efficiency standards to account for the expected 
increase in measured NSCC values for affected equipment classes (i.e., 
equipment classes with test procedure changes that increase NSCC). The 
capacity crosswalk calculated necessary increases in the capacity 
boundaries of affected equipment classes to prevent this equipment 
class switching issue and avoid potential backsliding that would occur 
if capacity boundaries were not adjusted.
    Both the efficiency and capacity crosswalk analyses have a similar 
structure and the data for both analyses came from several of the same 
sources. The crosswalk analyses were informed by numerous sources, 
including public manufacturer literature, manufacturer performance data 
obtained through non-disclosure agreements (NDAs), results from DOE's 
testing of two CRAC units, and DOE's Compliance Certification Database 
for CRACs. DOE analyzed each test procedure change independently and 
used the available data to determine an aggregated percentage by which 
that change impacted efficiency (SCOP) and/or NSCC. Updated SCOP levels 
and NSCC equipment class boundaries were calculated for each class (as 
applicable) by combining the percentage changes for every test 
procedure change applicable to that class.
    The following sub-sections describe the approaches used to analyze 
the impacts on the measured efficiency and capacity of each difference 
in rating conditions between DOE's current test procedure and AHRI 
1360-2017. As discussed previously, the crosswalk analysis methodology 
described in the following sub-sections is the same as presented in the 
September 2019 NODA/RFI. No additional data sources were added to the 
analysis.
b. Increase in Return Air Dry-Bulb Temperature From 75 [deg]F to 85 
[deg]F
    ANSI/ASHRAE 127-2007, which is referenced by DOE's current test 
procedure, specifies a return air dry-bulb temperature (RAT) of 75 
[deg]F for testing all CRACs. AHRI 1360-2017 specifies an RAT of 85 
[deg]F for upflow ducted and downflow CRACs, but specifies an RAT for 
upflow non-ducted units of 75 [deg]F. SCOP and NSCC both increase with 
increasing RAT for two reasons. First, a higher RAT increases the 
cooling that must be done for the air to approach its dew point 
temperature (i.e., the temperature at which water vapor will condense 
if there is any additional cooling). Second, a higher RAT will tend to 
raise the evaporating temperature of the refrigerant, which in turn 
raises the temperature of fin and tube surfaces in contact with the 
air--the resulting reduction in the portion of the heat exchanger 
surface that is below the air's dew point temperature reduces the 
potential for water vapor to condense on these surfaces. This is seen 
in product specifications which show that the sensible heat ratio \20\ 
is consistently higher at a RAT of 85 [deg]F than at 75 [deg]F. Because 
SCOP is calculated with NSCC, an increase in the fraction of total 
cooling capacity that is sensible cooling rather than latent cooling 
also inherently increases SCOP.
---------------------------------------------------------------------------

    \20\ ``Sensible heat ratio'' is the ratio of sensible cooling 
capacity to the total cooling capacity. The total cooling capacity 
includes both sensible cooling capacity (cooling associated with 
reduction in temperature) and latent cooling capacity (cooling 
associated with dehumidification).
---------------------------------------------------------------------------

    To analyze the impacts of increasing RAT for upflow ducted and 
downflow CRACs on SCOP and NSCC, DOE gathered data from three separate 
sources and aggregated the results for each crosswalk analysis. First, 
DOE used product specifications for several CRAC models that provide 
SCOP and NSCC ratings for RATs ranging from 75 [deg]F to 95 [deg]F. 
Second, DOE analyzed manufacturer performance data obtained under NDAs 
that showed the performance impact of individual test condition 
changes, including the increase in RAT. Third, DOE used results from 
testing two CRAC units: one air-cooled upflow ducted and one air-cooled 
downflow unit. DOE combined the results of these sources to find the 
aggregated increases in SCOP and NSCC due to the increase in RAT. The 
increase in SCOP due to the change in RAT was found to be approximately 
19 percent, and the increase in capacity was found to be approximately 
22 percent.
c. Decrease in Entering Water Temperature for Water-Cooled CRACs
    ANSI/ASHRAE 127-2007, which is referenced by DOE's current test 
procedure, specifies an entering water temperature (EWT) of 86 [deg]F 
for water-cooled CRACs, while AHRI 1360-2017 specifies an entering 
water temperature of 83 [deg]F. A decrease in the EWT for water-cooled 
CRACs increases the temperature difference between the water and hot 
refrigerant in the condenser coil, thus increasing cooling capacity and 
decreasing compressor power. To analyze the impact of this decrease in 
EWT on SCOP and NSCC, DOE analyzed manufacturer data obtained through 
NDAs and a publicly-available presentation from a major CRAC 
manufacturer and calculated an SCOP increase of approximately 2 percent 
and an NSCC increase of approximately 1 percent.
d. Changes in External Static Pressure Requirements for Upflow Ducted 
CRACs
    For upflow ducted CRACs, AHRI 1360-2017 specifies lower ESP 
requirements than ANSI/ASHRAE 127-

[[Page 60656]]

2007, which is referenced in DOE's current test procedure. The ESP 
requirements in all CRAC industry test standards vary with NSCC; 
however, the capacity bins (i.e., capacity ranges over which each ESP 
requirement applies) in ANSI/ASHRAE 127-2007 are different from AHRI 
1360-2017. Testing with a lower ESP decreases the indoor fan power 
input without a corresponding decrease in cooling capacity, thus 
increasing the measured efficiency. Additionally, the reduction in fan 
heat entering the indoor air stream that results from lower fan power 
also slightly increases NSCC.
    To determine the impacts on measured SCOP and NSCC of the changes 
in ESP requirements between DOE's current test procedure and AHRI 1360-
2017, DOE aggregated data from its analysis of fan power consumption 
changes, manufacturer data obtained through NDAs, and results from DOE 
testing. More details on each of these sources are included in the 
following paragraphs. The impact of changes in ESP requirements on SCOP 
and NSCC was calculated separately for each capacity range specified in 
AHRI 1360-2017 (i.e., <65 kBtu/h, 65-240 kBtu/h, and >=240 kBtu/h).
    DOE conducted an analysis to estimate the change in fan power 
consumption due to the changes in ESP requirements using performance 
data and product specifications for 77 upflow CRAC models with 
certified SCOP ratings at or near the current applicable SCOP standard 
level in DOE's Compliance Certification Database. Using the certified 
SCOP and NSCC values, DOE determined each model's total power 
consumption for operation at the rating conditions specified in DOE's 
current test procedure. DOE then used fan performance data for each 
model to estimate the change in indoor fan power that would result from 
the lower ESP requirements in AHRI 1360-2017, and modified the total 
power consumption for each model by the calculated value. For several 
models, detailed fan performance data were not available, so DOE used 
fan performance data for comparable air conditioning units with similar 
cooling capacity, fan drive, and fan motor horsepower.
    DOE also received manufacturer data (obtained through NDAs) showing 
the impact on efficiency and NSCC of the change in ESP requirements. 
Additionally, DOE conducted tests on an upflow-ducted CRAC at ESPs of 1 
in. H2O and 0.4 in. H2O (the applicable ESP 
requirements specified in ANSI/ASHRAE 127-2007 and AHRI 1360-2017, 
respectively), and included the results of those tests in this 
analysis.
    For each of the three capacity ranges for which ESP requirements 
are specified in AHRI AHRI 1360-2017, Table II-4 shows the approximate 
aggregated percentage increases in SCOP and NSCC associated with the 
decreased ESP requirements specified in AHRI 1360-2017 for upflow 
ducted units. As discussed previously, AHRI 1360-2016 specifies the 
same rating conditions for upflow ducted classes as AHRI 1360-2017.

 Table II-4--Percentage Increase in SCOP and NSCC From Decreases in External Static Pressure Requirements for Upflow Ducted Units Between DOE's Current
                                                       Test Procedure and AHRI Standard 1360-2017
--------------------------------------------------------------------------------------------------------------------------------------------------------
 
--------------------------------------------------------------------------------------------------------------------------------------------------------
Net sensible cooling capacity range (kBtu/h) *                                       ESP requirements in             ESP         Approx.         Approx.
                                                                                                   DOE's    requirements         average         average
                                                                                  current test procedure   in AHRI 1360-      percentage      percentage
                                                                                  (ANSI/ASHRAE 127-2007)            2017        increase        increase
                                                                                                (in H2O)        (in H2O)         in SCOP         in NSCC
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                      <65                                                            0.8             0.3               7               2
--------------------------------------------------------------------------------------------------------------------------------------------------------
>=65 to <240................................................   ** >=65 to <68.2                      0.8             0.4           *** 8           *** 2
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              ** >=68.2 to <240                        1
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                 >=240 to <760                                                         1             0.5               6               2
--------------------------------------------------------------------------------------------------------------------------------------------------------
* These boundaries are consistent with the boundaries in ANSI/ASHRAE 127-2007, AHRI 1360-2016, and AHRI 1360-2017, and do not reflect the expected
  capacity increases for upflow-ducted and downflow equipment classes at the AHRI 1360-2016 and AHRI 1360-2017 test conditions.
** 68.2 kBtu/h is equivalent to 20 kW, which is the capacity value that separates ESP requirements in ANSI/ASHRAE 127-2007, which is referenced in DOE's
  current test procedure.
*** This average percentage increase is an average across upflow ducted CRACs with net sensible cooling capacity >=65 and <240 kBtu/h, including models
  with capacity <20 kW and >=20 kW. DOE's Compliance Certification Database shows that most of the upflow CRACs with a net sensible cooling capacity
  >=65 kBtu/h and <240 kBtu/h have a net sensible cooling capacity >=20 kW.

    As discussed in section II.A.1.a of this document, NSCC values 
determined according to ANSI/ASHRAE 127-2007 are lower than NSCC values 
determined according to AHRI 1360-2017 for certain CRAC classes, 
including upflow-ducted classes. The increase in NSCC also impacts the 
ESP requirements for upflow-ducted units in AHRI 1360-2017 because 
these requirements are specified based on NSCC. Differences in ESP 
requirements impact the stringency of the test. For the efficiency and 
capacity crosswalk analyses in this NODA, DOE used the adjusted 
capacity boundaries for upflow ducted classes presented in Table II-5 
(as discussed in section II.A.1.f of this document) to specify the 
applicable ESP requirement in AHRI 1360-2017 (rather than using the 
capacity boundaries specified in AHRI 1360-2017) so that all CRACs 
within an equipment class would be subject to the same ESP requirement. 
The same methodology was used in the crosswalk analysis discussed in 
the September 2019 NODA/RFI.
e. Power Adder To Account for Pump and Heat Rejection Fan Power in 
NSenCOP Calculation for Water-Cooled and Glycol-Cooled CRACs

[[Page 60657]]

    Energy consumption for heat rejection components for air-cooled 
CRACs (i.e., condenser fan motor(s)) is measured in the industry test 
standards for CRACs; however, energy consumption for heat rejection 
components for water-cooled and glycol-cooled CRACs is not measured 
because these components (i.e., water/glycol pump, dry cooler/cooling 
tower fan(s)) are not considered to be part of the CRAC unit. ANSI/
ASHRAE 127-2007, which is referenced in DOE's current test procedure, 
does not include any factor in the calculation of SCOP to account for 
the power consumption of heat rejection components for water-cooled and 
glycol-cooled CRACs. In contrast, AHRI 1360-2017 specifies to increase 
the measured total power input for CRACs to account for the power 
consumption of fluid pumps and heat rejection fans. Specifically, Notes 
2 and 3 to Table 3 of AHRI 1360-2017 specify to add a percentage of the 
measured NSCC (5 percent for water-cooled CRACs and 7.5 percent for 
glycol-cooled CRACs) in kW to the total power input used to calculate 
NSenCOP. DOE calculated the impact of these additions on SCOP using 
Equation 1:
[GRAPHIC] [TIFF OMITTED] TP25SE20.001

    Where, x is equal to 5 percent for water-cooled CRACs and 7.5 
percent for glycol-cooled CRACs, and SCOP1 is the SCOP value 
adjusted for the energy consumption of heat rejection pumps and fans.
f. Calculating Overall Changes in Measured Efficiency and Capacity From 
Test Procedure Changes
    Different combinations of the test procedure changes between DOE's 
current test procedure and AHRI 1360-2017 affect each of the CRAC 
equipment classes considered in the crosswalk analyses. To combine the 
impact on SCOP of the changes to rating conditions (i.e., increase in 
RAT, decrease in condenser EWT for water-cooled units, and decrease of 
the ESP requirements for upflow ducted units), DOE multiplied together 
the calculated adjustment factors representing the measurement changes 
corresponding to each individual rating condition change, as 
applicable, as shown in Equation 2. These adjustment factors are equal 
to 100 percent plus the calculated percent change in measured 
efficiency.
    To account for the impact of the adder for heat rejection pump and 
fan power for water-cooled and glycol-cooled units, DOE used Equation 
3. Hence, DOE determined crosswalked NSenCOP levels corresponding to 
the current Federal SCOP standards for each CRAC equipment class using 
the following two equations.
[GRAPHIC] [TIFF OMITTED] TP25SE20.002

    In these equations, NSenCOP1 refers to a partially-
crosswalked NSenCOP level that incorporates the impacts of changes in 
RAT, condenser EWT, and indoor fan ESP (as applicable), but not the 
impact of adding the heat rejection pump and fan power; x1, 
x2, and x3 represent the percentage change in 
SCOP due to changes in RAT, condenser EWT, and indoor fan ESP 
requirements, respectively; and x4 is equal to 5 percent for 
water-cooled equipment classes and 7.5 percent for glycol-cooled 
equipment classes. For air-cooled classes, x4 is equal to 0 
percent; therefore, for these classes, NSenCOP is equal to 
NSenCOP1.
    To combine the impact on NSCC of the changes to rating conditions, 
DOE used a methodology similar to that used for determining the impact 
on SCOP. To determine adjusted NSCC equipment class boundaries, DOE 
multiplied together the calculated adjustment factors representing the 
measurement changes corresponding to each individual rating condition 
change, as applicable, as shown in Equation 4. These adjustment factors 
are equal to 100 percent plus the calculated percent change in measured 
NSCC. In this equation, Boundary refers to the original NSCC boundaries 
(i.e., 65,000 Btu/h, 240,000 Btu/h, or 760,000 Btu/h as determined 
according to ANSI/ASHRAE 127-2007), Boundary1 refers to the updated 
NSCC boundaries as determined according to AHRI 1360-2017, and 
y1, y2, and y3 represent the 
percentage changes in NSCC due to changes in RAT, condenser EWT, and 
indoor fan ESP requirements, respectively.

[[Page 60658]]

[GRAPHIC] [TIFF OMITTED] TP25SE20.003

    As mentioned previously, ASHRAE Standard 90.1-2019 includes 
adjusted equipment class capacity boundaries for only upflow-ducted and 
downflow equipment classes. The adjusted class ranges for these 
categories are <80,000 Btu/h, >=80,000 Btu/h and <295,000 Btu/h, and 
>=295,000 Btu/h. In previous versions of ASHRAE Standard 90.1, these 
ranges are <65,000 Btu/h, >=65,000 Btu/h and <240,000 Btu/h, and 
>=240,000 Btu/h. The capacity range boundaries for upflow non-ducted 
classes were left unchanged at 65,000 Btu/h and 240,000 Btu/h in ASHRAE 
Standard 90.1-2019. DOE's capacity crosswalk analysis indicates that 
the primary driver for increasing NSCC is increasing RAT. The increases 
in RAT in AHRI 1360-2017, as compared to ANSI/ASHRAE 127-2007, only 
apply to upflow ducted and downflow equipment classes. Based on the 
analysis performed for this document, DOE found that all the equipment 
class boundaries in ASHRAE Standard 90.1-2019, which are in increments 
of 5,000 Btu/h, are within 1.4 percent of the boundaries calculated 
from DOE's capacity crosswalk. As such, to more closely align DOE's 
analysis with ASHRAE Standard 90.1-2019, DOE has used the equipment 
class boundaries in ASHRAE Standard 90.1-2019 as the preliminary 
adjusted boundaries for the crosswalk analysis. Use of the equipment 
class boundaries from ASHRAE Standard 90.1-2019 allows for an 
appropriate comparison between the energy efficiency levels and 
equipment classes specified in ASHRAE Standard 90.1 and those in the 
current DOE standards, while addressing the backsliding potential 
discussed previously.
    ASHRAE Standard 90.1-2019 does not include an upper capacity limit 
for coverage of CRACs. DOE's current standards are applicable only to 
CRACs with an NSCC less than 760,000 Btu/h, which is consistent with 
the statutory limits on DOE's authority.\21\ 10 CFR 431.97(e). In order 
to account for all equipment currently subject to the Federal 
standards, DOE adjusted the 760,000 Btu/h equipment class boundary for 
certain equipment classes as part of its capacity crosswalk analysis. 
This adjustment to the upper boundary of the equipment classes applies 
only for downflow and upflow-ducted classes (the classes for which the 
RAT increase applies). Consistent with the adjustments made in ASHRAE 
Standard 90.1-2019, DOE averaged the cross-walked capacity results 
across the affected equipment classes, and rounded to the nearest 5,000 
Btu/h. Following this approach, DOE has used 930,000 Btu/h as the 
adjusted upper capacity limit for downflow and upflow-ducted CRACs in 
the analysis presented in this notice. The 930,000 Btu/h upper capacity 
limit (as measured per AHRI 1360-2017) used in the crosswalk analysis 
is equivalent to the 760,000 Btu/h upper capacity limit (as measured 
per ANSI/ASHRAE 127-2007) established in the current DOE standards.
---------------------------------------------------------------------------

    \21\ In initially establishing standards CRACs, DOE noted that 
the energy efficiency levels from ASHRAE Standard 90.1 adopted as 
the Federal standards were based on ANSI/ASHRAE 127-2007. 77 FR 
28928, 28945 (May 16, 2012). This includes the relevant capacity 
values. DOE notes further that EPCA provides a definition for ``very 
large commercial package air conditioning and heating equipment'' 
that encompasses such equipment rated at or above 240,000 Btu/h and 
less than 760,000 Btu/h. (42 U.S.C. 6311(8)(D)) Consequently, DOE 
does not have authority to set standards for models beyond the 
capacity range specified for this type of covered equipment.
---------------------------------------------------------------------------

2. Crosswalk Results
    The ``crosswalked'' DOE efficiency levels (in terms of NSenCOP) and 
adjusted equipment class capacity boundaries were then compared with 
the NSenCOP efficiency levels and capacity boundaries specified in 
ASHRAE Standard 90.1-2019 to determine whether the ASHRAE Standard 
90.1-2019 requirements are more stringent than current Federal 
standards.
    Table II-5 presents the preliminary results for the crosswalk 
analyses (see section II.A.1 of this document for detailed discussion 
of the methodology for the crosswalk analyses). The last column in the 
table, labeled ``Crosswalk Comparison,'' indicates whether the ASHRAE 
Standard 90.1-2019 levels are less stringent, equivalent to, or more 
stringent than the current Federal standards, based on DOE's analysis.

                                                              Table II-5--Crosswalk Results
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                  Cross-
                                                                  Current     Test procedure                      walked       ASHRAE
                                  Airflow        Current NSCC     federal        changes        Cross-walked     current      standard      Crosswalk
    Condenser system type      configuration    range (kBtu/h)    standard      affecting        NSCC range      federal     90.1-2019      comparison
                                                                   (SCOP)      efficiency *       (kBtu/h)       standard     NSenCOP
                                                                                                                (NSenCOP)      level
--------------------------------------------------------------------------------------------------------------------------------------------------------
Air-cooled..................  Downflow.......  <65............         2.20  Return air dry-  <80............         2.62         2.70  More Stringent.
                                                                              bulb
                                                                              temperature.
Air-cooled..................  Downflow.......  >=65 and <240..         2.10                   >=80 and <295..         2.50         2.58  More Stringent.
Air-cooled..................  Downflow.......  >=240 and <760.         1.90                   >=295 and <930.         2.26         2.36  More Stringent.
Air-cooled with fluid         Downflow.......  <65............         2.20                   <80............         2.62         2.70  More Stringent.
 economizer.
Air-cooled with fluid         Downflow.......  >=65 and <240..         2.10                   >=80 and <295..         2.50         2.58  More Stringent.
 economizer.
Air-cooled with fluid         Downflow.......  >=240 and <760.         1.90                   >=295 and <930.         2.26         2.36  More Stringent.
 economizer.
Water-cooled................  Downflow.......  <65............         2.60  Return air dry-  <80............         2.73         2.82  More Stringent.
Water-cooled................  Downflow.......  >=65 and <240..         2.50   bulb            >=80 and <295..         2.63         2.73  More Stringent.
Water-cooled................  Downflow.......  >=240 and <760.         2.40   temperature.    >=295 and <930.         2.54         2.67  More Stringent.
                                                                              Condenser
                                                                              entering water
                                                                              temperature.
                                                                              Add allowance
                                                                              for heat
                                                                              rejection
                                                                              components to
                                                                              total power
                                                                              input.

[[Page 60659]]

 
Water-cooled with fluid       Downflow.......  <65............         2.55                   <80............         2.68         2.77  More Stringent.
 economizer.
Water-cooled with fluid       Downflow.......  >=65 and <240..         2.45                   >=80 and <295..         2.59         2.68  More Stringent.
 economizer.
Water-cooled with fluid       Downflow.......  >=240 and <760.         2.35                   >=295 and <930.         2.50         2.61  More Stringent.
 economizer.
Glycol-cooled...............  Downflow.......  <65............         2.50  Add allowance    <80............         2.43         2.56  More Stringent.
Glycol-cooled...............  Downflow.......  >=65 and <240..         2.15   for heat        >=80 and <295..         2.15         2.24  More Stringent.
                                                                              rejection
                                                                              components to
                                                                              total power
                                                                              input.
Glycol-cooled...............  Downflow.......  >=240 and <760.         2.10                   >=295 and <930.         2.11         2.21  More Stringent.
Glycol-cooled with fluid      Downflow.......  <65............         2.45                   <80............         2.39         2.51  More Stringent.
 economizer.
Glycol-cooled with fluid      Downflow.......  >=65 and <240..         2.10                   >=80 and <295..         2.11         2.19  More Stringent.
 economizer.
Glycol-cooled with fluid      Downflow.......  >=240 and <760.         2.05                   >=295 and <930.         2.06         2.15  More Stringent.
 economizer.
Air-cooled..................  Upflow Ducted..  <65............         2.09  Return air dry-  <80............         2.65         2.67  More Stringent.
Air-cooled..................  Upflow Ducted..  >=65 and <240..         1.99   bulb            >=80 and <295..         2.55         2.55  Equivalent.
                                                                              temperature.
                                                                              ESP
                                                                              requirements.
Air-cooled..................  Upflow Ducted..  >=240 and <760.         1.79                   >=295 and <930.         2.26         2.33  More Stringent.
Air-cooled with fluid         Upflow Ducted..  <65............         2.09                   <80............         2.65         2.67  More Stringent.
 economizer.
Air-cooled with fluid         Upflow Ducted..  >=65 and <240..         1.99                   >=80 and <295..         2.55         2.55  Equivalent.
 economizer.
Air-cooled with fluid         Upflow Ducted..  >=240 and <760.         1.79                   >=295 and <930.         2.26         2.33  More Stringent.
 economizer.
Water-cooled................  Upflow Ducted..  <65............         2.49  Return air dry-  <80............         2.77         2.79  More Stringent.
Water-cooled................  Upflow Ducted..  >=65 and <240..         2.39   bulb            >=80 and <295..         2.70         2.70  Equivalent.
Water-cooled................  Upflow Ducted..  >=240 and <760.         2.29   temperature.    >=295 and <930.         2.56         2.64  More Stringent.
Water-cooled with fluid       Upflow Ducted..  <65............         2.44   Condenser       <80............         2.72         2.74  More Stringent.
 economizer.                                                                  entering water
                                                                              temperature.
                                                                              ESP
                                                                              requirements.
                                                                              Add allowance
                                                                              for heat
                                                                              rejection
                                                                              components to
                                                                              total power
                                                                              input.
Water-cooled with fluid       Upflow Ducted..  >=65 and <240..         2.34                   >=80 and <295..         2.65         2.65  Equivalent.
 economizer.
Water-cooled with fluid       Upflow Ducted..  >=240 and <760.         2.24                   >=295 and <930.         2.51         2.58  More Stringent.
 economizer.
Glycol-cooled...............  Upflow Ducted..  <65............         2.39  Return air dry-  <80............         2.47         2.53  More Stringent.
Glycol-cooled...............  Upflow Ducted..  >=65 and <240..         2.04   bulb            >=80 and <295..         2.19         2.21  More Stringent.
Glycol-cooled...............  Upflow Ducted..  >=240 and <760.         1.99   temperature.    >=295 and <930.         2.11         2.18  More Stringent.
                                                                              ESP
                                                                              requirements.
                                                                              Add allowance
                                                                              for heat
                                                                              rejection
                                                                              components to
                                                                              total power
                                                                              input.
Glycol-cooled with fluid      Upflow Ducted..  <65............         2.34                   <80............         2.43         2.48  More Stringent.
 economizer.
Glycol-cooled with fluid      Upflow Ducted..  >=65 and <240..         1.99                   >=80 and <295..         2.14         2.16  More Stringent.
 economizer.
Glycol-cooled with fluid      Upflow Ducted..  >=240 and <760.         1.94                   >=295 and <930.         2.07         2.12  More Stringent.
 economizer.
Air-cooled..................  Upflow Non-      <65............         2.09  No changes.....  <65............         2.09         2.16  More Stringent.
                               Ducted.
Air-cooled..................  Upflow Non-      >=65 and <240..         1.99                   >=65 and <240..         1.99         2.04  More Stringent.
                               Ducted.
Air-cooled..................  Upflow Non-      >=240 and <760.         1.79                   >=240 and <760.         1.79         1.89  More Stringent.
                               Ducted.
Air-cooled with fluid         Upflow Non-      <65............         2.09                   <65............         2.09         2.09  Equivalent.
 economizer.                   Ducted.
Air-cooled with fluid         Upflow Non-      >=65 and <240..         1.99                   >=65 and <240..         1.99         1.99  Equivalent.
 economizer.                   Ducted.
Air-cooled with fluid         Upflow Non-      >=240 and <760.         1.79                   >=240 and <760.         1.79         1.81  More Stringent.
 economizer.                   Ducted.

[[Page 60660]]

 
Water-cooled................  Upflow Non-      <65............         2.49  Condenser        <65............         2.25         2.43  More Stringent.
Water-cooled................   Ducted.         >=65 and <240..         2.39   entering water  >=65 and <240..         2.17         2.32  More Stringent.
Water-cooled................  Upflow Non-      >=240 and <760.         2.29   temperature.    >=240 and <760.         2.09         2.20  More Stringent.
                               Ducted.                                        Add allowance
                              Upflow Non-                                     for heat
                               Ducted.                                        rejection
                                                                              components to
                                                                              total power
                                                                              input.
Water-cooled with fluid       Upflow Non-      <65............         2.44                   <65............         2.21         2.35  More Stringent.
 economizer.                   Ducted.
Water-cooled with fluid       Upflow Non-      >=65 and <240..         2.34                   >=65 and <240..         2.13         2.24  More Stringent.
 economizer.                   Ducted.
Water-cooled with fluid       Upflow Non-      >=240 and <760.         2.24                   >=240 and <760.         2.05         2.12  More Stringent.
 economizer.                   Ducted.
Glycol-cooled...............  Upflow Non-      <65............         2.39  Add allowance    <65............         2.03         2.08  More Stringent.
Glycol-cooled...............   Ducted.         >=65 and <240..         2.04   for heat        >=65 and <240..         1.77         1.90  More Stringent.
                              Upflow Non-                                     rejection
                               Ducted.                                        components to
                                                                              total power
                                                                              input.
Glycol-cooled...............  Upflow Non-      >=240 and <760.         1.99                   >=240 and <760.         1.73         1.81  More Stringent.
                               Ducted.
Glycol-cooled with fluid      Upflow Non-      <65............         2.34                   <65............         1.99         2.00  More Stringent.
 economizer.                   Ducted.
Glycol-cooled with fluid      Upflow Non-      >=65 and <240..         1.99                   >=65 and <240..         1.73         1.82  More Stringent.
 economizer.                   Ducted.
Glycol-cooled with fluid      Upflow Non-      >=240 and <760.         1.94                   >=240 and <760.         1.69         1.73  More Stringent.
 economizer.                   Ducted.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Refer to Table II-4 of this document for specific changes in rating conditions.

    CRAC Issue 1: DOE requests comment on the methodology and results 
of the crosswalk analysis.
    As indicated by the crosswalk, the standard levels established for 
CRACs in ASHRAE Standard 90.1-2019 are equivalent to the current 
Federal standards for 6 equipment classes, and are more stringent than 
the current Federal standards for all other equipment classes of CRACs. 
ASHRAE Standard 90.1-2019 also added 66 equipment classes of ceiling-
mounted and horizontal-flow CRACs that did not require a crosswalk 
because there are currently no Federal standards for classes. ASHRAE 
Standard 90.1-2019 also incorporates shifted capacity bin boundaries 
for upflow ducted and downflow CRAC equipment classes. DOE's crosswalk 
analysis indicates that these updated boundaries appropriately reflect 
the increase in NSCC that results from the changes in test procedure 
adopted under ASHRAE Standard 90.1-2019 (as discussed in previous 
sections).
3. Discussion of Comments Received Regarding Amended Standards for 
CRACs
    As mentioned in section I.C of this document, DOE published a 
description of a crosswalk comparing current Federal standards to the 
minimum efficiency levels in ASHRAE Standard 90.1-2016 and requested 
comment on the crosswalk methodology and results in the September 2019 
NODA/RFI. 84 FR 48006, 48019 (Sept. 11, 2019). The crosswalk and 
resulting crosswalked levels of the current Federal standards (i.e., 
current Federal standards translated to the NSenCOP metric for the 
purpose of comparison to ASHRAE Standard 90.1 levels) presented in the 
September 2019 NODA/RFI are the same as in this NODA/RFI because the 
test conditions specified in AHRI 1360-2016 and AHRI 1360-2017 are the 
same and the Federal standards were unchanged, so no additional changes 
to the crosswalk methodology were necessary. DOE received several 
comments in response to the September 2019 NODA/RFI addressing of DOE's 
crosswalk methodology and results.
    In response to the September 2019 NODA/RFI, several stakeholders 
commented that DOE should not adopt the efficiency levels in ASHRAE 
Standard 90.1-2016 and should instead adopt the levels in the Second 
Public Review Draft of Addendum `be' to ASHRAE Standard 90.1-2016 
(``the second public review draft''),\22\ which were subsequently 
included in ASHRAE Standard 90.1-2019. (AHRI, No. 7 at p. 3; Trane, No. 
5 at p. 1) AHRI also commented that the levels in the second public 
review draft were generated by AHRI, discussed with DOE, and approved 
by the ASHRAE 90.1 committee to address all backsliding concerns from 
the ASHRAE Standard 90.1-2016 levels. AHRI further stated that the 
levels in the second public review draft are all equal to or greater 
than the DOE crosswalk values from the current Federal standard and 
would resolve their concerns over DOE's crosswalk findings presented in 
the September 2019 NODA/RFI. Specifically, AHRI stated that the levels 
in the second public review draft represent an increase in stringency 
by 3 to 5 percent from current Federal minimums for most equipment 
classes. AHRI recommended that DOE adopt new energy efficiency metrics 
for the national standards and revise capacity demarcations for 
relevant equipment classes to be published in the 2019 edition of 
ASHRAE Standard 90.1. (AHRI, No. 7 at pp. 2-4)
---------------------------------------------------------------------------

    \22\ The second public review draft was published by ASHRAE in 
November 2018. The same levels were included in the subsequent 
ASHRAE Standard 90.1-2019, which did not publish until after the 
September 2019 NODA/RFI.
---------------------------------------------------------------------------

    Trane commented that there have been no recent technological 
advancements for CRACs that would merit an increase of stringency in 
standards relative to the current efficiency levels (which are

[[Page 60661]]

denominated in terms of SCOP), and, therefore, that the levels in 
ASHRAE Standard 90.1-2019 are the ``most stringent across of all the 
CRAC systems,'' in addition to being technically feasible and 
economically justified. (Trane, No. 5 at p. 1) The CA IOUs stated that 
the publication of ASHRAE Standard 90.1-2019 triggered DOE's statutory 
requirements to adopt those levels or more-stringent standards, and 
that the levels in ASHRAE Standard 90.1-2019 ensure that CRAC 
efficiency levels will be maintained or strengthened. (CA IOUs, No. 6 
at pp. 2-3)
    AHRI and Trane both recommended that DOE analyze and adopt the 
levels in ASHRAE Standard 90.1-2019 for all CRAC classes rather than 
amend efficiencies for only a small subset of products. (Trane, No. 5 
at p. 2; AHRI, No. 7 at p. 7) Along these lines, AHRI cautioned that a 
``no-new-standards'' decision for a subset of CRACs would ``create a 
serial rulemaking situation for this equipment.'' (AHRI, No. 7 at p. 7) 
The CA IOUs similarly encouraged DOE to move forward with an expanded 
energy conservation standards analysis for all equipment subject to the 
ASHRAE trigger, as well as the covered equipment classes subject to the 
six-year-lookback provision. CA IOUs also recommended that DOE not make 
the decision on whether efficiency levels above ASHRAE 90.1 levels can 
be justified for CRACs until all energy savings and cost-benefit 
analyses have been completed. (CA IOUs, No. 6 at p. 3)
    In response to these comments, DOE notes that this NODA/RFI 
evaluates the efficiency levels for CRACs included in ASHRAE Standard 
90.1-2019. Section III.F of this NODA/RFI includes discussion of DOE's 
consideration of standards more stringent than the levels in ASHRAE 
Standard 90.1-2019 for all CRAC equipment classes. Regarding AHRI's 
concern of a ``serial rulemaking,'' DOE notes that EPCA prescribes 
specific timing requirements. As discussed, this NODA/RFI evaluates 
potential standards pursuant to the ASHRAE trigger in EPCA (42 U.S.C. 
6313(a)(6)(A)), as well as pursuant to the periodic lookback review 
required by EPCA (42 U.S.C. 6313(a)(6)(C)). While DOE has some 
flexibility to consolidate the reviews mandated by the two separate 
statutory obligations, EPCA prescribes the specific timing 
requirements.
    In general, EPCA requires DOE conduct an evaluation of each class 
of covered equipment within six years following an amendment to the 
Federal standards. (42 U.S.C. 6313(a)(6)(C)(i)) For equipment classes 
evaluated pursuant to the 6-year-lookback and for which DOE determines 
amended standards are not justified, EPCA requires DOE to conduct a 
subsequent review within three years of such a determination. (42 
U.S.C. 6313(a)(6)(C)(iii)(II)) As DOE has stated, it may decide in 
appropriate cases to simultaneously conduct an ASHRAE trigger 
rulemaking and a lookback rulemaking so as to address all classes of an 
equipment category at the same time (see 85 FR 8626, 8645 (Feb. 14, 
2020), but DOE is still bound by the timeframes established in EPCA.
4. CRAC Standards Amended Under ASHRAE Standard 90.1-2019
    As discussed, DOE has analyzed the updated CRAC efficiency levels 
in ASHRAE Standard 90.1-2019 for the purpose of satisfying the 
requirements of 42 U.S.C. 6313(a)(6)(A). DOE identified 48 equipment 
classes for which the ASHRAE Standard 90.1-2019 efficiency levels are 
more stringent than current DOE efficiency levels (expressed in 
NSenCOP, see the crosswalk results presented in section II.A.2 of this 
document), 6 equipment classes for which the ASHRAE Standard 90.1-2019 
efficiency levels are equal to the current DOE efficiency levels, and 
66 classes of CRACs for which standards are specified in ASHRAE 
Standard 90.1-2019 that are not currently subject to DOE's standards 
(i.e., horizontal-flow and ceiling-mounted classes).
    DOE was unable to obtain the market share data needed to 
disaggregate energy savings for the 6 air-cooled with fluid economizer 
equipment classes that currently have DOE standards (i.e., upflow 
ducted, upflow non-ducted, and down-flow) and that DOE identified as 
having more-stringent standards under ASHRAE Standard 90.1-2019. 
Additionally, DOE lacked market share data to establish a market 
baseline for estimating energy savings potential for the 66 horizontal-
flow or ceiling-mounted equipment classes. Thus, DOE conducted an 
energy savings analysis, presented in section III of this document, for 
42 of the 48 CRAC classes that currently have DOE standards and that 
DOE identified as having more-stringent standards under ASHRAE Standard 
90.1-2019.
B. Air-Cooled, Three-Phase, Small Commercial Package AC and HP (<65 K) 
Equipment
    DOE's current standards for small three-phase, air-cooled, 
commercial package AC and HP (<65 K) equipment cover four equipment 
classes codified at 10 CFR 431.97, including both single package and 
split systems. The energy efficiency metric as measured under the DOE 
test procedure listed in Table 1 to 10 CFR 431.96 is SEER for all 
equipment types in cooling mode and HSPF for heat pumps operating in 
heating mode.
    ASHRAE Standard 90.1-2019 adopted new energy efficiency levels for 
air-cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment levels, as well as a metric change. The energy efficiency 
levels in ASHRAE Standard 90.1-2019 maintain the previous ASHRAE 
Standard 90.1-2016 levels until January 1, 2023. After this date, the 
levels for almost all equipment classes in ASHRAE Standard 90.1-2019 
will align with Federal standards for air-cooled, single-phase, central 
air conditioners at 10 CFR 430.32(c)(5), which will also be effective 
on January 1, 2023. The one exception is the ASHRAE Standard 90.1-2019 
energy efficiency level for three-phase space-constrained (S-C) heat 
pumps, which matches the SEER2 Federal standard for single-phase S-C 
air conditioners in cooling mode, rather than for single-phase S-C heat 
pumps in cooling mode. In aligning levels with single-phase central air 
conditioning standard, the efficiency rating metrics in ASHRAE 90.1-
2019 change from SEER to SEER2 and HSPF to HSPF2 effective January 1, 
2023.
    As discussed, the current DOE test procedure at 10 CFR 431.96 for 
air-cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment incorporates by reference ANSI/AHRI 210/240-2008. AHRI has 
recently published updated industry standards in AHRI 210/240-2017 
(published in December 2017), as well as AHRI 210/240-2017 with 
Addendum 1 (published in April 2019). While ASHRAE Standard 90.1-2016 
references AHRI 210/240-2008 with Addendum 1 and 2, ASHRAE Standard 
90.1-2019 references AHRI 210/240-2017 for the period prior to January 
1, 2023. The reference to AHRI 210/240-2017 does not include Addendum 
1, which DOE believes was an oversight.
    As part of the October 2018 TP RFI, DOE reviewed AHRI 210/240-2017 
(with and without Addendum 1) and initially determined that it is 
consistent with AHRI 210/240-2008 and would not be expected to impact 
the measured efficiency of the subject equipment during a 
representative average use cycle as compared to the 2008 version. 83 FR 
49501, 49503 (Oct. 2. 2018). Therefore, DOE determined that the pre-
2023 levels in ASHRAE Standard 90.1-2019 based on AHRI 210/240-2017 are 
consistent with those levels in ASHRAE

[[Page 60662]]

Standard 90.1-2016 based on AHRI 210/240-2008 and do not constitute a 
change in efficiency levels that requires a crosswalk analysis.
    For the period beginning January 1, 2023, ASHRAE Standard 90.1-2019 
references AHRI 210/240-2023 (to align with updates to minimum 
efficiency standards that take effect on January 1, 2023). AHRI 210/
240-2023, which published in May 2020, adopts the SEER2 and HSPF2 
metrics and aligns with the test procedure for single-phase central air 
conditioners in DOE's test procedure at Appendix M1 to 10 CFR part 430, 
subpart B.
    For the analysis of air-cooled, three-phase, small commercial 
package AC and HP (<65 K) equipment conducted for this NODA to assess 
whether the post-2023 levels in ASHRAE Standard 90.1-2019 are a change 
that triggers DOE review, DOE has applied the crosswalk from SEER to 
SEER2 (and HSPF to HSPF2 for heat pumps) developed for single-phase 
products switching to the SEER2 (and HSPF2 for heat pumps) metric. DOE 
will update the crosswalk as needed based on any separate test 
procedure rulemaking that DOE may conduct. The crosswalk methodology 
and results are discussed in the following section.
    DOE also notes that ASHRAE Standard 90.1-2019 provides separate 
levels for small-duct high-velocity (SDHV) and S-C heat pumps, as did 
ASHRAE Standard 90.1-2013 and ASHRAE Standard 90.1-2016 \23\ (using the 
nomenclature ``through the wall'' rather than space-constrained). In 
the notice of proposed rule preceding the July 2015 final rule, DOE 
stated that EPCA does not separate these equipment from other types of 
small commercial package air-conditioning and heating equipment in its 
definitions, and, therefore, EPCA's definition of ``small commercial 
package air conditioning and heating equipment'' includes SDHV and S-C 
heat pumps. 80 FR 1172, 1184 (Jan. 8, 2015). As the levels for those 
classes in ASHRAE Standard 90.1-2013 were lower than the Federal 
standards for the main classes, DOE concluded that it was not required 
to take action on those classes. Id. As DOE has previously determined 
that the pre-2023 levels for SDHV and S-C, which are equivalent to the 
ASHRAE Standard 90.1-2013 levels, constitute backsliding in relation to 
the Federal standards, DOE is now assessing whether the ASHRAE Standard 
90.1-2019 post-2023 levels for SDHV and S-C equipment constitute an 
increase in stringency as compared to the current Federal standards for 
the broader equipment classes of single-package and split-system air 
conditioners and heat pumps. DOE notes that there are currently no 
three-phase SDHV or S-C air conditioners or heat pumps on the market.
---------------------------------------------------------------------------

    \23\ DOE notes that ASHRAE Standard 90.1-2016 did not amend 
levels relative to ASHRAE Standard 90.1-2013 for air-cooled, three-
phase, small commercial package AC and HP (<65 K) equipment.
---------------------------------------------------------------------------

1. Crosswalk Methodology and Results
    Given the similarity of the changes occurring, DOE based its 
preliminary crosswalk analysis on the analysis conducted for single-
phase residential central air conditioners and heat pumps switching 
from SEER and HSPF to SEER2 and HSPF2 in the January 6, 2017 Direct 
Final Rule for Residential Central Air Conditioners and Heat Pumps 
(January 2017 direct final rule) published in the Federal Register. 82 
FR 1786, 1857-1858 (Jan. 6, 2017). The January 2017 direct final rule 
provides the adopted standard levels for single-phase central air 
conditioners and heat pumps in terms of SEER (and HSPF for heat pumps) 
and corresponding crosswalked SEER2 (and HSPF2 for heat pumps) values. 
82 FR 1786, 1848-1849, Tables V-29 and V-30 (Jan. 6, 2017). For three-
phase equipment classes with Federal standards matching SEER and HPSF 
standards in Table V-29 of the January 2017 direct final rule, DOE used 
the corresponding SEER2 and HSPF2 value from Table V-30 of the January 
2017 direct final rule.
    For three-phase equipment classes that did not have matching SEER 
values in Table V-29 of the January 2017 direct final rule, DOE 
evaluated the stringency of the ASHRAE Standard 90.1-2019 SEER2 levels 
relative to the Federal SEER standard by qualitatively assessing how 
the testing method changes made for single-phase equipment switching 
from SEER to SEER2 would impact three-phase equipment. For ducted 
equipment, the difference between Appendix M to 10 CFR part 430 (the 
pre-2023 test method) and Appendix M1 to 10 CFR part 430 (the post-2023 
test method) that impacts measured energy use is an increase in 
external static pressure. For a given unit, the increase in external 
static pressure in the post-2023 test method leads to an increased 
measurement of unit energy consumption, resulting in a lower SEER2 
rating (relative to the unit's comparable SEER rating). For SDHV 
equipment classes, the specified external static pressure is the same 
in both the pre-2023 and post-2023 test method. Consequently, for a 
given unit, there is no change between SEER and SEER2 rating.
    For three-phase equipment classes that did not have matching HSPF 
values in Table V-29 of the January 2017 direct final rule, DOE also 
evaluated the stringency of the ASHRAE Standard 90.1-2019 HSPF2 levels 
relative to the Federal HSPF standard by qualitatively assessing how 
the testing method changes made for single-phase equipment switching 
from HSPF to HSPF2 would impact three-phase equipment. The primary 
difference between the pre-2023 test method and the post-2023 test 
method is a change in heating load line. For a given unit, the change 
in heating load line in the post-2023 test method leads to an increased 
measurement of unit energy consumption, resulting in a significantly 
lower HSPF2 rating (relative to the unit's comparable HSPF rating). DOE 
applied these changes in order to compare the current Federal HSPF to 
the ASHRAE Standard 90.1-2019 HSPF2.
    The results of DOE's preliminary crosswalk are found Table II-6. 
The last column in the table, labeled ``Crosswalk Comparison,'' 
indicates whether the ASHRAE Standard 90.1-2019 levels beginning on 
January 1, 2023, are less stringent, equivalent to, or more stringent 
than the crosswalked Federal standards, based on DOE's analysis.

                     Table II-6--Crosswalk Results for Air-Cooled, Three-Phase, Small Commercial Package AC and HP (<65 K) Equipment
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                             Energy efficiency        Federal energy
     ASHRAE Standard 90.1-2019         Current federal        levels in ASHRAE         conservation      Cross-walked current  Crosswalk  comparison \1\
          equipment class              equipment class      Standard  90.1-2019        standard(s)        federal standard(s)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Air-cooled Air Conditioner, Three-  Air-cooled Air         14.0 SEER before 1/1/  14.0 SEER............  13.4 SEER2..........  Equivalent.
 Phase, Single-Package, <65,000      Conditioner, Three-    2023; 13.4 SEER2 on
 Btu/h.                              Phase, Single-         and after 1/1/2023.
                                     Package, <65,000 Btu/
                                     h.

[[Page 60663]]

 
Air-cooled Air Conditioner, Three-  Air-cooled Air         13.0 SEER before 1/1/  13.0 SEER............  <13.0 SEER2 \2\.....  More Stringent.
 Phase, Split-System, <65,000 Btu/   Conditioner, Three-    2023; 13.4 SEER2 on
 h.                                  Phase, Split-System,   and after 1/1/2023.
                                     <65,000 Btu/h.
Air-cooled Heat Pump, Three-Phase,  Air-cooled Heat Pump,  14.0 SEER/8.0 HSPF     14.0 SEER; 8.0 HSPF..  13.4 SEER2; 6.7       Equivalent.
 Single-Package, <65,000 Btu/h.      Three-Phase, Single-   before 1/1/2023;                              HSPF2.
                                     Package, <65,000 Btu/  13.4 SEER2/6.7 HSPF
                                     h.                     on and after 1/1/
                                                            2023.
Air-cooled Heat Pump, Three-Phase,  Air-cooled Heat Pump,  14.0 SEER/8.2 HSPF     14.0 SEER; 8.2 HSPF..  13.4 SEER2; <7.5      More Stringent.
 Split-System, <65,000 Btu/h.        Three-Phase, Split-    before 1/1/2023;                              HSPF2 \3\.
                                     System, <65,000 Btu/   14.3 SEER2/7.5 HSPF2
                                     h.                     on and after 1/1/
                                                            2023.
Space-Constrained, Air-cooled Air   Air-cooled Air         12.0 SEER before 1/1/  14.0 SEER............  >11.7 SEER2 \4\.....  Less Stringent.
 Conditioner, Three-Phase, Single-   Conditioner, Three-    2023; 11.7 SEER2 on
 Package, <=30,000 Btu/h.            Phase, Single-         and after 1/1/2023.
                                     Package, <65,000 Btu/
                                     h.
Space-Constrained, Air-cooled Air   Air-cooled Air         12.0 SEER before 1/1/  13.0 SEER............  >11.7 SEER2 \4\.....  Less Stringent.
 Conditioner, Three-Phase, Split-    Conditioner, Three-    2023; 11.7 SEER2 on
 System, <=30,000 Btu/h.             Phase, Split-System,   and after 1/1/2023.
                                     <65,000 Btu/h.
Space-Constrained, Air-Cooled Heat  Air-cooled Heat Pump,  12.0 SEER/7.4 HSPF     14.0 SEER; 8.0 HSPF..  >11.7 SEER2; \4\      Less Stringent.
 Pump, Three-Phase, Single-          Three-Phase, Single-   before 1/1/2023;                              >6.3 HSPF2 \3\.
 Package, <=30,000 Btu/h.            Package, <65,000 Btu/  11.7 SEER2/6.3 HSPF2
                                     h.                     on and after 1/1/
                                                            2023.
Space-Constrained, Air-cooled Heat  Air-cooled Heat Pump,  12.0 SEER/7.4 HSPF     14.0 SEER; 8.2 HSPF..  >11.7 SEER2; \4\      Less Stringent.
 Pump, Three-Phase, Split-System,    Three-Phase, Split-    before 1/1/2023;                              >6.3 HSPF2 \3\.
 <=30,000 Btu/h.                     System, <65,000 Btu/   11.7 SEER2/6.3 HSPF2
                                     h.                     on and after 1/1/
                                                            2023.
Small Duct High Velocity, Air-      Air-cooled Air         12.0 SEER before 1/1/  13.0 SEER............  13.0 SEER2..........  Less Stringent.
 cooled Air Conditioner, Three-      Conditioner, Three-    2023; 12.0 SEER2 on
 Phase, Split-System, <65,000 Btu/   Phase, Split-System,   and after 1/1/2023.
 h.                                  <65,000 Btu/h.
Small Duct, High Velocity, Air-     Air-cooled Heat Pump,  12.0 SEER/7.2 HSPF     14.0 SEER; 8.2 HSPF..  14.0 SEER2; >6.1      Less Stringent.
 cooled Heat Pump, Three-Phase,      Three-Phase, Split-    before 1/1/2023;                              HSPF2 \3\.
 Split-System, <65,000 Btu/h.        System, <65,000 Btu/   12.0 SEER2/6.1 HSPF2
                                     h.                     on and after 1/1/
                                                            2023.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Column indicates whether the ASHRAE Standard 90.1-2019 levels beginning on January 1, 2023, are less stringent, equivalent to, or more stringent
  than the crosswalked Federal standards.
\2\ The Federal SEER standard is lower than the ASHRAE Standard 90.1-2019 SEER2 level indicating that the crosswalked Federal SEER2 standard will also
  be lower than the ASHRAE Standard 90.1-2019 SEER2 level.
\3\ For single-phase equipment, the decrease in HSPF2 compared to the equivalent HSPF is in the range of 1.1-1.3 points. 82 FR 1786, 1848-1849, Tables V-
  29 and V-30 (Jan. 6, 2017). We expect a similar relationship for three-phase equipment and use this to assess whether the crosswalked Federal standard
  HSPF2 value for a given HSPF value will be greater or less than the ASHRAE Standard 90.1-2019 HSPF2 level.
\4\ For S-C equipment classes, there is a small increase in external static pressure between the testing methods for SEER and SEER2 which, for a given
  unit, decreases the SEER2 rating slightly compared to the equivalent SEER rating. Therefore, the crosswalked Federal SEER2 is expected to be
  significantly higher than the ASHRAE Standard 90.1-2019 level of 11.7 SEER2.

    Based on DOE's preliminary crosswalk, two equipment classes have 
ASHRAE Standard 90.1-2019 levels that are more stringent that current 
Federal standards; two equipment classes are equivalent, and six 
equipment classes have ASHRAE Standard 90.1-2019 levels less stringent 
than the Federal standards.
    DOE notes that although the post-2023 values for S-C and SDHV 
equipment are less stringent than current Federal standards for these 
equipment, DOE still intends to consider these ASHRAE classes 
separately in this rulemaking as part of the six-year-lookback review.
    Three-Phase CAC/HP Issue 1: DOE requests feedback on its 
methodology for determining crosswalked SEER2 and HSPF2 values for 
three-phase equipment based on crosswalked values of single-phase 
residential central air conditioners.

III. Analysis of Standards Amended and Newly Established by ASHRAE 
Standard 90.1-2019

    As required under 42 U.S.C. 6313(a)(6)(A), for CRAC and air-cooled, 
three-phase, small commercial package AC and HP (<65 K) equipment 
classes for which ASHRAE Standard 90.1-2019 specifies amended energy 
efficiency levels that are more stringent than the corresponding 
Federal energy conservation standards, DOE performed an analysis to 
determine the energy-savings potential of amending Federal standards to 
the amended ASHRAE levels as specified in ASHRAE Standard 90.1-2019. 
DOE's energy savings analysis is limited to equipment classes for which 
sufficient data are available. However, as discussed in section III.F 
of this document, DOE has tentatively determined that it lacks clear 
and convincing evidence that standards more stringent than the amended 
ASHRAE Standard 90.1 levels for either CRACs or air-cooled, three-
phase, small commercial package AC and HP (<65 K) equipment would 
result in significant additional energy savings because of uncertainty 
in estimated energy savings resulting from the change in energy 
efficiency metrics.
    The following discussion provides an overview of the energy savings 
analysis conducted for 42 classes of CRACs and 2 classes of air-cooled, 
three-phase, small commercial package AC and HP (<65 K) as defined by 
ASHRAE Standard 90.1-2019, followed by summary results of that 
analysis. Although ASHRAE Standard 90.1-2019 included levels for 
horizontal flow and ceiling-mounted CRAC equipment classes (which 
currently do not have Federal standards), DOE was unable to find market 
data that could be used to establish a market baseline for these

[[Page 60664]]

classes and, thus, estimate energy savings.
    In addition to the specific issues identified in the following 
sections on which DOE requests comment, DOE requests comment on its 
overall approach and analyses used to evaluate potential standard 
levels for CRACs and air-cooled, three-phase, small commercial package 
AC and HP (<65 K).
    For the equipment classes where ASHRAE Standard 90.1-2019 specified 
more-stringent levels than the corresponding Federal energy 
conservation standard, DOE calculated the potential energy savings to 
the Nation associated with adopting ASHRAE Standard 90.1-2019 as the 
difference between a no-new-standards case projection (i.e., without 
amended standards) and the ASHRAE Standard 90.1-2019 standards-case 
projection (i.e., with adoption of ASHRAE Standard 90.1-2019 levels).
    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 
(i.e., capacity) depending upon whether DOE is acting under the ASHRAE 
trigger or the 6-year-lookback (see 42 U.S.C. 6313(a)(6)(D)). 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 in this document.

A. Annual Energy Use

    The purpose of the energy use analysis is to assess the energy 
savings potential of different equipment efficiencies in the building 
types that utilize the equipment. DOE uses the annual energy 
consumption and energy-savings potential in the life-cycle cost (LCC) 
and payback period (PBP) analyses \24\ to establish the savings in 
consumer operating costs at various equipment efficiency levels.
---------------------------------------------------------------------------

    \24\ The purpose of the LCC and PBP analyses are to analyze the 
effects of potential amended energy conservation standards on 
commercial consumers of CRACs and air-cooled, three-phase, small 
commercial AC and HP (<65 K) by determining how a potential amended 
standard affects the commercial consumers' operating expenses 
(usually decreased) and total installed costs (usually increased).
---------------------------------------------------------------------------

    The Federal standard and ASHRAE Standard 90.1-2019 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 Federal baseline efficiency level and 
the ASHRAE Standard 90.1-2019 level. These annual unit energy 
consumption (UEC) estimates form the basis of the national energy 
savings estimates discussed in section III.E of this document.
1. Computer Room Air Conditioners
a. Equipment Classes and Analytical Scope
    As noted previously in section II.A.4 of this document, DOE has 
conducted an energy savings analysis for the 42 CRAC classes that 
currently have both DOE standards and more-stringent standards under 
ASHRAE Standard 90.1-2019. DOE was unable to identify market data that 
would allow for disaggregating results for the six air-cooled with 
fluid economizer equipment classes with ASHRAE Standard 90.1-2019 
levels more stringent than current Federal standards. Although ASHRAE 
Standard 90.1-2019 included levels for horizontal flow and ceiling-
mounted equipment classes which currently are not subject to Federal 
standards, DOE was unable to identify market data that could be used to 
establish a market baseline for these classes in order to estimate 
energy savings. Based on information received in response to this 
document or otherwise identified, DOE may disaggregate these equipment 
classes in future analyses and analyze them separately.
    In the May 2012 final rule, DOE conducted an energy analysis for 15 
downflow CRAC equipment classes using a modified outside temperature 
bin analysis. 77 FR 28928, 28954 (May 16, 2012). For each air-cooled 
equipment class, DOE calculated fan energy and condensing unit power 
consumption at each 5 [deg]F outdoor air dry-bulb temperature bin. The 
condensing unit power in this context included the compressor(s) and 
condenser fan(s) and/or pump(s) included as part of the equipment 
rating. For water-cooled and glycol-cooled equipment, the May 2012 
final rule analysis first estimated the entering fluid temperature from 
either an evaporative cooling tower or a dry cooler for water-cooled 
and for glycol-cooled CRAC equipment, respectively, based on binned 
weather data. Using these results, DOE then estimated the condensing 
unit power consumption and adds to this the estimated supply fan power. 
The sum of the CRAC condensing unit power and the CRAC supply fan power 
is the estimated average CRAC total power consumption for each 
temperature bin. Annual estimates of energy use are developed by 
multiplying the power consumption at each temperature bin by the number 
of hours in that bin for each climate analyzed. In the May 2012 final 
rule, DOE then took a population-weighted average over results for 239 
different climate locations to derive nationally representative CRAC 
annual energy use values. DOE assumed energy savings estimates derived 
for downflow equipment classes would be representative of upflow 
equipment. 77 FR 28928, 28954 (May 16, 2012). In this document, DOE is 
using the results from the May 2012 final rule as the basis for the 
energy savings potential analysis of the CRAC equipment classes 
analyzed for this document, similar to the methodology used in the 
September 2019 NODA/RFI.
b. Efficiency Levels
    DOE analyzed the energy savings potential of adopting ASHRAE 
Standard 90.1-2019 levels for CRAC equipment classes that currently 
have a Federal standard and have an ASHRAE Standard 90.1-2019 standard 
more stringent than the current Federal standard. For each equipment 
class, energy savings are measured relative to the baseline (i.e., the 
current Federal standard for that class).
c. Analysis Method and Annual Energy Use Results
    For this analysis, DOE used a similar analysis to that presented in 
the September 2019 NODA/RFI. To derive UECs for the equipment classes 
analyzed in this document, DOE started with the adopted standard level 
UECs (i.e., the current DOE standard) for downflow equipment classes 
analyzed in the May 2012 final rule. DOE assumed that these UECs 
correspond to the NSenCOP derived through the crosswalk analysis (i.e., 
``Cross-walked Current Federal Standard'' column in Table II-5). DOE 
determined the UEC for the ASHRAE Standard 90.1-2019 level by dividing 
the baseline NSenCOP level by the NSenCOP for the ASHRAE Standard 90.1-
2019 level and multiplied the resulting percentage by the baseline UEC.
    In the May 2012 final rule, DOE assumed energy savings estimates 
derived for downflow equipment classes would be representative of 
upflow equipment classes which differed by a fixed 0.11 SCOP. 77 FR 
28928, 28954 (May 16, 2012). Because of the fixed 0.11 SCOP difference 
between upflow and downflow CRAC units in ASHRAE Standard 90.1-2013, 
DOE determined

[[Page 60665]]

that the per-unit energy savings benefits for corresponding CRACs at 
higher efficiency levels could be represented using the 15 downflow 
equipment classes. Id. However, in this analysis, the efficiency levels 
for the upflow non-ducted equipment classes do not differ from the 
downflow equipment class by a fixed amount. For this document, DOE 
assumed that the fractional increase/decrease in NSenCOP between upflow 
and downflow units corresponds to a proportional decrease/increase in 
the baseline UEC within a given equipment class grouping of condenser 
system and capacity.
    In response to the September 2019 NODA/RFI, AHRI stated that DOE's 
proposed approach to determine the UEC of upflow units using the 
fractional increase or decrease in NSenCOP relative to the baseline 
downflow unit in a given equipment class grouping of condenser system 
and capacity was reasonable and an acceptable method to use. (AHRI, No. 
7 at p. 5) Trane stated that return air conditions are becoming more 
likely to approach AHRI 1360 class 4 levels in response to increased 
use of High-Performance Computing models. At higher return 
temperatures, CRACs can avoid latent cooling and be more efficient. 
(Trane, No. 5 at p. 2) However, Trane stated that using the UECs 
derived for the 2012 rule might be the most workable option for 
evaluating the impact of proposed standards. (Trane, No. 5 at p. 2) 
After consideration of these comments, DOE has tentatively decided to 
maintain the same methodology in this document.
    CRAC Issue 2: DOE seeks comment on its energy-use analysis 
methodology.
    Table III-1 shows UEC estimates for the equipment classes triggered 
by ASHRAE Standard 90.1-2019 (i.e., equipment classes for which the 
ASHRAE Standard 90.1-2019 energy efficiency level is more stringent 
than the current applicable Federal standard).

                                           Table III-1--National UEC Estimates (kWh/Year) for CRAC Systems \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Current federal standard        ASHRAE Standard 90.1-2019
        Condenser system type            Airflow configuration     Current net sensible  ---------------------------------------------------------------
                                                                     cooling capacity         NSenCOP        UEC (kwh)        NSenCOP        UEC (kwh)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Air-cooled...........................  Downflow................  <65,000 Btu/h..........            2.62          27,411            2.70          26,599
                                                                 >=65,000 Btu/h and                 2.50         102,762            2.58          99,575
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.26         246,011            2.36         235,587
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.65          27,100            2.67          26,897
                                                                 >=240,000 Btu/h and                2.26         247,104            2.33         238,620
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.09          34,362            2.16          33,248
                                                                 >=65,000 Btu/h and                 1.99         129,097            2.04         125,933
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                1.79         310,606            1.89         294,172
                                                                  <760,000 Btu/h.
Water-cooled.........................  Downflow................  <65,000 Btu/h..........            2.73          24,726            2.82          23,850
                                                                 >=65,000 Btu/h and                 2.63          92,123            2.73          88,749
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.54         208,727            2.67         198,564
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.77          24,280            2.79          24,106
                                                                 >=240,000 Btu/h and                2.56         207,096            2.64         200,821
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.25          29,891            2.43          27,677
                                                                 >=65,000 Btu/h and                 2.17         112,169            2.32         104,433
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.09         254,888            2.20         240,985
                                                                  <760,000 Btu/h.
Water-cooled with fluid economizer...  Downflow................  <65,000 Btu/h..........            2.68          15,443            2.77          14,885
                                                                 >=65,000 Btu/h and                 2.59          57,537            2.68          55,390
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.50         129,787            2.61         123,819
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.72          15,159            2.74          15,048
                                                                 >=240,000 Btu/h and                2.51         128,753            2.58         125,259
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.21          18,657            2.35          17,546
                                                                 >=65,000 Btu/h and                 2.13          70,022            2.24          66,271
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.05         158,416            2.12         152,438
                                                                  <760,000 Btu/h.
Glycol-cooled........................  Downflow................  <65,000 Btu/h..........            2.43          24,671            2.56          23,419
                                                                 >=65,000 Btu/h and                 2.15         101,844            2.24          97,297
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.11         227,098            2.21         215,794
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.47          24,272            2.53          23,696
                                                                 >=65,000 Btu/h and                 2.19          99,975            2.21          98,618
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.11         226,021            2.18         218,764
                                                                  <760,000 Btu/h.

[[Page 60666]]

 
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.03          29,679            2.08          28,823
                                                                 >=65,000 Btu/h and                 1.77         123,833            1.90         114,708
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                1.73         275,668            1.81         263,483
                                                                  <760,000 Btu/h.
Glycol-cooled with fluid economizer..  Downflow................  <65,000 Btu/h..........            2.39          19,813            2.51          18,866
                                                                 >=65,000 Btu/h and                 2.11          81,668            2.19          78,312
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.06         182,034            2.15         174,414
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.43          19,567            2.48          19,094
                                                                 >=65,000 Btu/h and                 2.14          80,142            2.16          79,400
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.07         182,034            2.12         176,882
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            1.99          23,796            2.00          23,677
                                                                 >=65,000 Btu/h and                 1.73          99,135            1.82          94,232
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                1.69         221,888            1.73         216,757
                                                                  <760,000 Btu/h.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The air-cooled, upflow ducted, >65,000 Btu/h and <240,000 Btu/h; water-cooled, upflow ducted, >65,000 Btu/h and <240,000 Btu/h; and water-cooled
  with fluid economizer, upflow ducted, >65,000 Btu/h and <240,000 Btu/h equipment classes are not included in this table, as the ASHRAE Standard 90.1-
  2019 levels for these equipment classes are equivalent to the current Federal standard.

2. Air-Cooled, Three-Phase, Small Commercial Package AC and HP (<65 K) 
Equipment
a. Equipment Classes and Analytical Scope
    In response to the ASHRAE trigger at 42 U.S.C. 6313(a)(6)(A), DOE 
conducted an analysis of energy savings potential for two equipment 
classes of air-cooled, three-phase, small commercial package AC and HP 
(<65 K) equipment: (1) Air-cooled, three-phase, split-system air 
conditioners less than 65,000 Btu/h, and (2) air-cooled, three-phase, 
split-system heat pumps less than 65,000 Btu/h.
b. Efficiency Levels
    DOE analyzed the energy savings potential of adopting the post-2023 
ASHRAE Standard 90.1-2019 levels for air-cooled, three-phase, small 
commercial package AC and HP (<65 K) classes that currently have a 
Federal standard and have an ASHRAE Standard 90.1-2019 standard more 
stringent than current Federal standards. For each equipment class, 
energy savings are measured relative to the baseline (i.e., current 
Federal standard for that class).
c. Annual Energy Use Results
    The energy use analysis provides estimates of the annual energy 
consumption of air-cooled, three-phase, small commercial package AC and 
HP (<65 K), at the current Federal baseline and at the ASHRAE Standard 
90.1-2019 level. To estimate the savings of the ASHRAE Standard 90.1-
2019 level relative to the current Federal baseline, DOE used the 
cooling UECs that were developed for the same kind of split systems in 
the July 2015 final rule. 80 FR 42614, 42625 (July 17, 2015). The UECs 
in the July 2015 final rule came from the national impact analysis of a 
direct final rule for residential central air conditioners and heat 
pumps published June 27, 2011 (76 FR 37408) (June 2011 DFR), 
specifically the UECs for residential split-system equipment that were 
used in commercial buildings. (EERE-2011-BT-STD-0011-0011) In the July 
2015 final rule, DOE accounted for variability by climate and building 
type by using estimates of the Full Load Equivalent Operating Hours 
(FLEOH) for cooling and heating equipment from a Pacific Northwest 
National Laboratory report.\25\ In the July 2015 final rule, DOE 
reviewed the heating loads that were used to determine heating energy 
use for the June 2011 DFR and determined that the heating loads were 
small (less than 500 kWh/year) and, therefore, did not include any 
energy savings due to the increase in HSPF for this equipment in the 
July 2015 final rule. 80 FR 42614, 42625 (July 17, 2015). DOE 
maintained that approach to develop UECs in its current analysis for 
this rulemaking. The UECs for split-system air conditioners and split-
system heat pumps are shown in Table III-2.
---------------------------------------------------------------------------

    \25\ See Appendix D of the 2000 Screening Analysis for EPACT-
Covered Commercial HVAC and Water-Heating Equipment. (EERE-2006-STD-
0098-0015).

  Table III-2--Unit Energy Consumption of Split-System Air Conditioners
                             and Heat Pumps
------------------------------------------------------------------------
                                                                 Three-
                                                                 phase,
                                                 Three-phase,     air-
                                                  air-cooled     cooled
                                                 split-system    split-
                Efficiency Level                      air        system
                                                 conditioners     heat
                                                 <65,000 Btu/    pumps
                                                       h        <65,000
                                                                 Btu/h
------------------------------------------------------------------------
                                                 Annual Energy Use (kWh)
                                                ------------------------
Federal Baseline...............................        2,701       2,660
ASHRAE Standard 90.1-2019......................         2614       2,502
------------------------------------------------------------------------

    Three-Phase CAC/HP Issue 2: DOE requests comment on its approach to 
estimate the energy use of air-cooled, three-phase, small commercial 
package AC and HP (<65 K).

B. Shipments

    DOE uses shipment projections by equipment class to calculate the 
national impacts of standards on energy consumption, as well as net 
present value and future manufacturer cash flows. DOE shipments 
projections typically are based on available historical data broken out 
by equipment. Current sales estimates allow for a more accurate model 
that captures recent trends in the market.

[[Page 60667]]

1. Computer Room Air Conditioners
    In the September 2019 NODA/RFI, DOE performed a ``bottom-up'' 
calculation to estimate CRAC shipments based on the cooling demand 
required from CRAC-cooled data centers. Where possible, DOE has 
incorporated data and information received in comments to that document 
to better inform its analysis. DOE's approach in this document 
estimates total annual shipments for the entire CRAC market and then 
uses market share data to estimate shipments for ASHRAE Standard 90.1-
2019 triggered equipment classes.
    DOE's shipments model first estimates the installed CRAC base stock 
by equipment size from information on data centers in the 2012 
Commercial Business Energy Consumption Survey (CBECS).\26\ CBECS 
identifies buildings that contain data centers, the number of servers 
in the data center, and associated square footage. CBECS does not 
specifically inquire about the presence of CRACs.
---------------------------------------------------------------------------

    \26\ U.S. Department of Energy--Energy Information 
Administration, 2012 CBECS Survey Data (Last accessed March 9, 2020) 
(Available at: https://www.eia.gov/consumption/commercial/data/2012/
). This is the most recent release of CBECS.
---------------------------------------------------------------------------

    In the September 2019 NODA/RFI, DOE assumed any building identified 
as having a data center in CBECS 2012 that did not have a central 
chiller or district chilled water system would be serviced by a CRAC. 
DOE assumed that a building with a central chiller or district chilled 
water system would use a computer room air handler (CRAH) and not a 
CRAC for its data center cooling, and, thus, such building was not 
included in the analysis.\27\ Additionally, DOE assumed buildings that 
contained 10 or more servers (but did not explicitly identify as having 
a data center) and did not have a central chiller or district chilled 
water system would also be serviced by CRAC units.
---------------------------------------------------------------------------

    \27\ A ``CRAH'' is a specialized air handling unit designed for 
use in data centers with an internal cooling coil supported by 
centralized chilled water system. In contrast, CRACs contain a 
cooling coil filled with a refrigerant.
---------------------------------------------------------------------------

    In response to the September 2019 NODA/RFI, DOE received a number 
of comments on DOE's assumptions for identifying data centers that 
would be serviced by CRACs. AHRI stated that DOE's methodology for 
using server count to identify data centers could be improved by using 
either counts by ``rack'' or estimates for ``kW per rack.'' \28\ (AHRI, 
No. 7 at p. 5) Trane recommended using the definitions of ``computer 
room'' in ASHRAE Standard 90.1, the International Energy Conservation 
Code (IECC), and the CFR, rather than use a threshold of 10 servers, to 
determine whether CRACs should be used for cooling. (Trane, No. 5 at p. 
2) Regarding DOE's assumption that buildings with a central chiller or 
district water system would not utilize a CRAC, AHRI stated that edge 
computing centers \29\ may use a chilled water system that may also use 
a CRAC for cooling. (AHRI, No. 7 at pgs. 6-7)
---------------------------------------------------------------------------

    \28\ Server racks are racks designed to hold and organize 
multiple servers and supporting information technology (IT) 
equipment. The amount of energy produced by a server rack can be 
measured in terms of kW per rack.
    \29\ ``Edge'' data centers are small-scale data centers built 
closer to the end user, thereby reducing the time it takes for a 
server to respond to a user's request.
---------------------------------------------------------------------------

    For this RFI/NODA, DOE adjusted its assumptions for identifying 
data centers in CBECS 2012 that would utilize CRACs. DOE is unable to 
use rack counts or ``kW per rack'' to identify data centers in CBECS 
2012 because this information is not recorded in the survey. CBECS 2012 
provides a variable as to whether or not the building has a data 
center. In this RFI/NODA, DOE assumed that any building with a data 
center, regardless of the building's main cooling system, would use a 
CRAC, in order to account for the use of CRACs in edge computing 
centers and to align with the ASHRAE Standard 90.1 definition of a 
``computer room''.
    CRAC Issue 3: DOE seeks comment on its methodology for identifying 
data centers within CBECS 2012.
    After identifying buildings with data centers in CBECS 2012, DOE 
then estimated the CRAC cooling capacity required by estimating the 
total heat generated from servers, networks, and storage equipment 
within data centers. In the September 2019 NODA/RFI, DOE used estimates 
from the Lawrence Berkeley National Laboratory (LBNL) data center 
report to estimate average power consumption of volume servers, network 
equipment, and storage equipment.\30\ Servers that were not in a data 
center were assumed to only have network equipment, while servers in a 
data center had both network and storage equipment, and thus a higher 
power draw.\31\ DOE assumed 100 percent of the power draw was converted 
into heat exhaust that would need to be removed by a CRAC.
---------------------------------------------------------------------------

    \30\ Shehabi, A., Smith, S.J., Horner, N., Azevedo, I., Brown, 
R., Koomey, J., Masanet, E., Sartor, D., Herrlin, M. and Lintner, 
W., United States data center energy usage report (2016), Lawrence 
Berkeley National Laboratory, LBNL-1005775 (Available at: https://datacenters.lbl.gov/sites/all/files/DataCenterEnergyReport2016_0.pdf) (Last accessed June 6, 2019).
    \31\ Id.
---------------------------------------------------------------------------

    In comments in the September 2019 NODA/RFI, AHRI recommended using 
ASHRAE Datacom Series Book 2, ``IT Equipment Power Trends,'' third 
edition, published in 2018, which shows power consumption trends for 
all types of IT equipment through 2026. AHRI noted that that source is 
what the industry uses to estimate server power, expectations of future 
server stock, and energy use in many different types of data centers. 
(AHRI, No. 7 at p. 6) Trane also suggested using the same source for 
projecting future server power consumption. (Trane, No. 5 at p. 2)
    In this analysis, DOE used estimates for server power draw for 
different IT applications matched to CBECS building type based on 
ASHRAE Datacom Series Book 2, ``IT Equipment Power Trends.'' \32\ For 
volume servers used in office buildings, DOE assumed a typical power 
consumption of 575 W based on the typical heat load for a business 
analytics 2U server.\33\ For volume servers used in buildings 
identified as laboratories, DOE used a typical power consumption of 
1150 W based on the typical heat load for a scientific computing 2U 
server. DOE used a multiplier of 1.265 to account for the heating load 
due to network devices connected to servers within the data center 
based on the LBNL data center report.\34\ The LBNL data center report 
assigned mid-range and high-end servers, which have estimated power 
consumptions of 2 kW and 12 kW, respectively, to localized, mid-tier, 
and high-end data centers. To account for the higher cooling needs of 
these servers with high power consumption, DOE assumed that 1 percent 
of servers in CBECS 2012 were high end, and that 6 percent were mid-
range. The LBNL data center report did not provide estimates of the 
high-end and mid-range server stock; however, it did provide estimates 
of total electricity consumption by server class. The high-end and mid-
range classes represent about 30 percent of electricity consumption 
(when

[[Page 60668]]

removing unbranded servers, which are used in hyperscale data centers 
that are not considered in this report as they do not used CRACs). By 
assigning 1 percent of the servers in CBECS to high-end and 6 percent 
to mid-range, the total CRAC cooling required by those servers is 
approximately 30 percent of the total calculated for all CBECS data 
centers.
---------------------------------------------------------------------------

    \32\ ASHRAE, IT Equipment Power Trends, Third Edition, ASHRAE 
Datacom Series: Book 2 (2018).
    \33\ In Table 4.4 of the ASHRAE IT Equipment Power Trends book, 
an example of the server heat by workload is given. 575 W represents 
the workloads for analytics, storage, and visualization and audio. 
550 Watts is the workload for business processing. In non-scientific 
buildings, these workloads are likely the most common. Therefore, 
DOE used 575 W for the servers in most data centers.
    \34\ Shehabi, A., Smith, S.J., Horner, N., Azevedo, I., Brown, 
R., Koomey, J., Masanet, E., Sartor, D., Herrlin, M. and Lintner, 
W., United States data center energy usage report (2016), Lawrence 
Berkeley National Laboratory, LBNL-1005775 (Available at: https://datacenters.lbl.gov/sites/all/files/DataCenterEnergyReport2016_0.pdf) (Last accessed June 6, 2019).
---------------------------------------------------------------------------

    In the September 2019 NODA/RFI, DOE calculated the cooling load for 
each data center by multiplying the total server power draw by the 
number of servers in each CBECS-identified building and then applying 
an oversize factor of 1.3. Research has shown that oversizing of the 
cooling load gives the data center operator the flexibility to add more 
servers (and thus more heat) without having to increase the size of the 
cooling system.\35\ 84 FR 48006, 48028 (Sept. 11, 2019).
---------------------------------------------------------------------------

    \35\ Rasmussen, N., Calculating Total Cooling Requirements for 
Data Centers--White paper 25. Schneider Electric (Available at: 
https://www.apcdistributors.com/white-papers/Cooling/WP-25%20Calculating%20Total%20Cooling%20Requirements%20for%20Data%20Centers.pdf) (Last accessed June 6, 2019).
---------------------------------------------------------------------------

    In response to the September 2019 NODA/RFI, Trane stated that 
redundant or oversized units, if used, would be closely tied to 
specific needs of the system they are cooling, so the commenter does 
not recommend using broad assumptions for CRAC oversizing. (Trane, No. 
5 at p. 2) AHRI stated that DOE is likely overestimating energy use by 
using an oversize factor and recommended DOE not oversize equipment in 
its energy use analysis. (AHRI, No. 7 at p. 5) Based on information 
gathered by Red Car Analytics, the CA IOUs stated that oversizing 
factors of 20 to 30 percent are common for CRACs. (CA IOUs, No. 6 at p. 
3).
    In response, DOE continues to believe that oversizing is occurring 
in data center settings, based upon the available literature and the 
comment of the CA IOUs. However, DOE is taking account of other 
commenters' suggestions that the Department's previous oversize factor 
of 1.3 may have been too high. Accordingly, for this analysis, based on 
AHRI's and Trane's comments, DOE has adjusted the oversizing factor to 
1.2, consistent with the lower estimate provided by the CA IOUs.
    CRAC Issue 4: DOE requests comment on its server power consumption 
estimates and any information or data on expectations of future server 
stock and energy use in small data centers.
    One ton of cooling can remove 3.5 kW of heat from a space.\36\ All 
data centers without central chillers were assumed to have CRACs, and 
the cooling capacity of the CRAC units were based on the three 
representative capacities analyzed in the May 2012 final rule. 77 FR 
28928, 28954 (May 16, 2012). For CRACs with a cooling capacity of less 
than 65,000 Btu/h, a 3-ton unit was assigned as the representative 
capacity; cooling capacities from 65,000 Btu/h to 240,000 Btu/h were 
assigned a representative capacity of 11 tons, and air conditioners 
greater than or equal to 240,000 Btu/h and less than 760,000 Btu/h were 
assigned a 24-ton unit.
---------------------------------------------------------------------------

    \36\ Rasmussen, N., Calculating Total Cooling Requirements for 
Data Centers--White paper 25. Schneider Electric (Available at:  
https://www.apcdistributors.com/white-papers/Cooling/WP-25%20Calculating%20Total%20Cooling%20Requirements%20for%20Data%20Centers.pdf) (Last accessed June 6, 2019).
---------------------------------------------------------------------------

    The final part of the stock methodology is estimating the 
redundancy requirements of the data center which reduces the per-unit 
energy use and increases the total estimated shipment of CRACs. 
Redundancy varies significantly across data centers, ranging from 
having one extra CRAC unit (N + 1 redundancy) to having complete 
redundancy (2N redundancy).\37\
---------------------------------------------------------------------------

    \37\ Shehabi, A., Smith, S.J., Horner, N., Azevedo, I., Brown, 
R., Koomey, J., Masanet, E., Sartor, D., Herrlin, M. and Lintner, 
W., United States data center energy usage report (2016) Lawrence 
Berkeley National Laboratory, LBNL-1005775 (Available at:  https://datacenters.lbl.gov/sites/all/files/DataCenterEnergyReport2016_0.pdf) (Last accessed June 6, 2019).
---------------------------------------------------------------------------

    In the September 2019 NODA/RFI, DOE assigned redundancy depending 
on the data center square footage provided in CBECS 2012. Categories 1-
4 (data centers under 10,000 square feet) were given N + 1 redundancy; 
category 5 (greater than 10,000+ sq. ft.) was assigned 2N redundancy. 
DOE assumed that servers that were not in a data center do not have 
cooling redundancy. 84 FR 48006, 48028 (Sept. 11, 2019).
    In response to the September 2019 NODA/RFI, AHRI stated that 
redundancy can be N + 1 or 2N, but argued that it will not be 
operational all the time. (AHRI, No. 7 at p. 5) Trane states that the 
level of redundancy is dependent on the size and need of the data 
center. (Trane, No. 5 at p. 2) The CA IOUs recommended DOE base the 
breakout between N + 1 and 2N redundancy on total load (with a cut-off 
of 50 cooling tons) and load density (with a cut-off of 100 watts/
square foot (ft\2\)). The CA IOUs suggested that load densities above 
this threshold would have higher redundancy. (CA IOUs, No. 6 at pp. 3-
4).
    Through a confidential data submission, AHRI provided DOE with a 
CRAC shipments time series from 2012-2018 and market shares broken out 
by the 30 Federal equipment classes. Accordingly, for this analysis, 
DOE calibrated the stock of CRACs in CBECS 2012 to an amount that would 
be equal to the number of 2012 shipments multiplied by the average 
lifetime of a CRAC (i.e., 15 years). In this model, DOE assumed an N + 
1 redundancy in this NODA/RFI for any data center that is larger than 
1,501 square feet and has a cooling load that requires a CRAC that is 
larger than 65,000 Btu/h. All data centers with a cooling load less 
than 65,000 Btu/h were assigned one CRAC without redundancy. For 
buildings that had more than 20 servers but did not identify as having 
a data center in CBECS, a CRAC without redundancy was used, regardless 
of the cooling load. As DOE was able to calibrate shipments without 
using 2N redundancy, DOE did not consider those levels of redundancy in 
this analysis. As in the May 2012 final rule, DOE assumed the average 
sensible cooling load on a CRAC unit would be 65 percent of the unit's 
sensible capacity, factoring in operation of redundant CRAC units, 
oversizing, and the diversity in server loads.
    In the September 2019 NODA/RFI, DOE estimated future CRAC shipments 
in the no-new standards case (i.e., shipments in the absence of an 
amended standard) by estimating future cooling demand for CRAC-cooled 
data centers using projected trends in data center growth. DOE used two 
variables to change the future server stock: (1) A 10-percent reduction 
in the number of servers in small data centers in 2050 (the final year 
of the shipments period for that analysis) and (2) a doubling of the 
power per server by 2050. DOE then calculated the stock using the same 
approach used to calculate stock in 2012. DOE then used model counts 
from the CCMS database to determine market shares by equipment class. 
84 FR 48006, 48028 (Sept. 11, 2019).
    AHRI commented that DOE's total shipments estimates for 2012 were 
reasonable. (AHRI, No.7 at p. 6) However, AHRI argued that DOE 
estimates based on model counts in the CCMS database significantly 
overestimated shipments of the water-cooled and glycol-cooled equipment 
classes. (AHRI, No 7 at p. 3).
    In this analysis, DOE used the confidential shipments data provided 
by AHRI to calibrate its shipment model to produce a revised breakdown 
by equipment class. DOE then used a stock turnover model to project 
shipments over the shipments analysis period assuming a constant annual 
growth in stock, calibrated using confidential shipments data provided 
by AHRI,

[[Page 60669]]

within a given cooling capacity equipment size. Total shipments are 
projected to grow slightly over the analysis period as shown in Table 
III-3.

                   Table III-3--Estimated CRAC Shipments by SCOP Net Sensible Cooling Capacity
----------------------------------------------------------------------------------------------------------------
                                                         >=65,000 Btu/h and  >=240,000 Btu/h and       Total
                                        <65,000 Btu/h      <240,000 Btu/h       <760,000 Btu/h       shipments
----------------------------------------------------------------------------------------------------------------
2020 Shipments.......................            3,208                2,132                3,190           8,530
2052 Shipments.......................            2,634                3,650                3,178           9,462
----------------------------------------------------------------------------------------------------------------

    The AHRI market share data provided to DOE was broken out by the 30 
currently defined Federal equipment classes. DOE assumed upflow market 
share would be evenly split between the upflow ducted and upflow non-
ducted equipment classes. As the AHRI data does not include market 
share for horizontal-flow, ceiling-mounted, and air-cooled with fluid 
economizer CRAC equipment classes, DOE was unable to disaggregate 
savings for these classes.
    CRAC Issue 5: DOE requests shipments data on horizontal-flow, 
ceiling-mounted, and air-cooled with fluid economizer CRAC equipment 
classes.
2. Air-Cooled, Three-Phase, Small Commercial Package AC and HP (<65 K) 
Equipment
    DOE based shipments estimates for air-cooled, three-phase, small 
commercial package AC and HP (<65 K) equipment on the model developed 
for the July 2015 final rule. 80 FR 42614, 42629-42630 (July 17, 2015). 
As explained more fully in that document, shipments projections in the 
July 2015 final rule relied on four data sources: A 1999 estimate of 
shipments from the 2000 Screening Analysis for EPACT-Covered Commercial 
HVAC and Water-Heating Equipment (EERE-2006-STD-0098-0015), data from 
the U.S. Census Bureau for central AC and HP shipments (for both 
single-phase and three-phase equipment),\38\ data from AHRI \39\ (for 
both single-phase and three-phase equipment), and commercial floor 
space projections from the 2014 Annual Energy Outlook (AEO 2014).\40\ 
The shipments model began with the 1999 estimates and projected 
shipments within 2000-2010 using the year-over-year growth rate from 
U.S. Census data. Shipments in 2011 shipments were estimated using the 
AHRI shipments data. From 2012 through 2049 (the end of the analysis 
period) shipments were based on the growth rate of commercial floor 
space from AEO 2014.
---------------------------------------------------------------------------

    \38\ U.S. Census Bureau, Current Industrial Reports for 
Refrigeration, Air Conditioning, and Warm Air Heating Equipment, 
MA333M (Available at: http://www.census.gov/manufacturing/cir/historical_data/ma333m/index.html).
    \39\ AHRI, HVACR & Water Heating Industry Statistical Profile 
(2012) (Available at: http://www.ari.org/site/883/Resources/Statistics/AHRIIndustry-Statistical-Profile). See also AHRI Monthly 
Shipments: http://www.ari.org/site/498/Resources/Statistics/Monthly-Shipments; especially December 2013 release: http://www.ari.org/App_Content/ahri/files/Statistics/Monthly%20Shipments/2013/December2013.pdf; May 2014 release: http://www.ari.org/App_Content/ahri/files/Statistics/Monthly%20Shipments/2014/May2014.pdf.
    \40\ 2014 Annual Energy Outlook, Energy Information 
Administration, Commercial Sector Key Indicators (Available at: 
https://www.eia.gov/outlooks/aeo/data/browser/#/?id=5-AEO2014&cases=ref2014&region=0-0).
---------------------------------------------------------------------------

    In the current analysis, DOE updated the shipments model in two 
ways: (1) The shipments estimates from 2012-2018 were updated using the 
growth rates from the most recent AHRI data,\41\ and (2) the 
projections from 2019 through 2054 were based on the commercial floor 
space projections from AEO 2020.\42\ The shipments estimates for the 
compliance year, end year, and select years in-between can be found in 
Table III-4.
---------------------------------------------------------------------------

    \41\ AHRI Historical Data: Central Air Conditioners and Heat 
Pumps (Available at: http://ahrinet.org/Resources/Statistics/Historical-Data/Central-Air-Conditioners-and-Air-Source-Heat-Pumps) 
(Last accessed July 9, 2020).
    \42\ 2020 Annual Energy Outlook, Energy Information 
Administration, Commercial Sector Key Indicators (Available at: 
https://www.eia.gov/outlooks/aeo/data/browser/#/?id=5-AEO2020&cases=ref2020&sourcekey=0).

  Table III-4--Shipments of Split-System, Air-Cooled, Three-Phase, Air
                Conditioners and Heat Pumps <65,000 Btu/h
------------------------------------------------------------------------
                        Year                             AC        HP
------------------------------------------------------------------------
2025................................................   116,300    35,045
2030................................................   122,300    36,853
2035................................................   128,503    38,721
2040................................................   134,418    40,504
2045................................................   140,464    42,326
2050................................................   146,648    44,189
2054................................................   151,704    45,713
------------------------------------------------------------------------

    Three-Phase CAC/HP Issue 3: DOE requests comment on it approach to 
estimate the shipments of air-cooled, three-phase, small commercial 
package AC and HP (<65 K) equipment.

C. No-New-Standards-Case Efficiency Distribution

    The no-new-standards case efficiency distribution is used to 
establish the market share of each efficiency level in the case where 
there is no new or amended standard. DOE is unaware of available market 
data that reports CRAC efficiency in terms of NSenCOP that can be used 
to determine the no-new-standards case efficiency distribution. For 
this analysis, DOE relied on DOE's Compliance Certification Database 
for CRACs which reports efficiency in terms of SCOP. DOE applied the 
crosswalk methodology discussed in section II.A.1 of this document to 
translate each model's reported SCOP into NSenCOP.
    DOE estimated the no-new-standards case efficiency distribution for 
each CRAC equipment class using model counts from DOE's Compliance 
Certification Database.\43\ DOE calculated the fraction of models that 
are above the current Federal baseline and below the ASHRAE Standard 
90.1-2019 level and assigned this to the Federal baseline. All models 
that are at or above that ASHRAE Standard 90.1-2019 are assigned to the 
ASHRAE level. The no-new-standard case distribution for CRACs can be 
found in Table III-5.
---------------------------------------------------------------------------

    \43\ Available at: https://www.regulations.doe.gov/certification-data/CCMS-4-Air_Conditioners_and_Heat_Pumps_-_Computer_Room_Air_Conditioners.html#q=Product_Group_s%3A%22Air%20Conditioners%20and%20Heat%20Pumps%20-%20Computer%20Room%20Air%20Conditioners%22.

[[Page 60670]]



                    Table III-5--No-New-Standards Case Efficiency Distribution for CRACs \1\
----------------------------------------------------------------------------------------------------------------
                                                                                                   ASHRAE 90.1-
       Condenser system type        Airflow configuration   Current net sensible      Federal     2019 level (%)
                                                              cooling capacity     baseline (%)
----------------------------------------------------------------------------------------------------------------
Air-cooled........................  Downflow.............  <65,000 Btu/h........               2              98
                                                           >=65,000 Btu/h and                 22              78
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                20              80
                                                            <760,000 Btu/h.
                                    Upflow, ducted.......  <65,000 Btu/h........               0             100
                                                           >=240,000 Btu/h and                 4              96
                                                            <760,000 Btu/h.
                                    Upflow, non-ducted...  <65,000 Btu/h........               4              96
                                                           >=65,000 Btu/h and                 11              89
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                23              77
                                                            <760,000 Btu/h.
Water-cooled......................  Downflow.............  <65,000 Btu/h........              11              89
                                                           >=65,000 Btu/h and                 15              85
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                24              76
                                                            <760,000 Btu/h.
                                    Upflow, ducted.......  <65,000 Btu/h........               0             100
                                                           >=240,000 Btu/h and                13              87
                                                            <760,000 Btu/h.
                                    Upflow, non-ducted...  <65,000 Btu/h........              11              89
                                                           >=65,000 Btu/h and                 21              79
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                27              73
                                                            <760,000 Btu/h.
Water-cooled with fluid economizer  Downflow.............  <65,000 Btu/h........               2              98
                                                           >=65,000 Btu/h and                 13              87
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                38              62
                                                            <760,000 Btu/h.
                                    Upflow, ducted.......  <65,000 Btu/h........               2              98
                                                           >=240,000 Btu/h and                13              87
                                                            <760,000 Btu/h.
                                    Upflow, non-ducted...  <65,000 Btu/h........               8              92
                                                           >=65,000 Btu/h and                 16              84
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                20              80
                                                            <760,000 Btu/h.
Glycol-cooled.....................  Downflow.............  <65,000 Btu/h........              57              43
                                                           >=65,000 Btu/h and                 31              69
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                36              64
                                                            <760,000 Btu/h.
                                    Upflow, ducted.......  <65,000 Btu/h........              20              80
                                                           >=65,000 Btu/h and                  6              94
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                30              70
                                                            <760,000 Btu/h.
                                    Upflow, non-ducted...  <65,000 Btu/h........              20              80
                                                           >=65,000 Btu/h and                 38              62
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                30              70
                                                            <760,000 Btu/h.
Glycol-cooled with fluid            Downflow.............  <65,000 Btu/h........              57              43
 economizer.
                                                           >=65,000 Btu/h and                 31              69
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                31              69
                                                            <760,000 Btu/h.
                                    Upflow, ducted.......  <65,000 Btu/h........              10              90
                                                           >=65,000 Btu/h and                  8              92
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                33              67
                                                            <760,000 Btu/h.
                                    Upflow, non-ducted...  <65,000 Btu/h........               2              98
                                                           >=65,000 Btu/h and                 30              70
                                                            <240,000 Btu/h.
                                                           >=240,000 Btu/h and                27              73
                                                            <760,000 Btu/h.
----------------------------------------------------------------------------------------------------------------
\1\ The air-cooled, upflow ducted, >65,000 Btu/h and <240,000 Btu/h; water-cooled, upflow ducted, >65,000 Btu/h
  and <240,000 Btu/h; and water-cooled with fluid economizer, upflow ducted, >65,000 Btu/h and <240,000 Btu/h
  equipment classes are not included in this table, as the ASHRAE Standard 90.1-2019 levels for these equipment
  classes are equivalent to the current Federal standard.

    CRAC Issue 6: DOE requests efficiency data for CRACs in terms of 
NSenCOP that can be used to estimate the no-new-standards case 
efficiency distribution.
    For air-cooled, three-phase, small commercial package AC and HP 
(<65 K) equipment, DOE estimated the market share of equipment at the 
current Federal baseline and the ASHRAE efficiency level using DOE's 
Compliance Certification Database. Table III-6 and Table III-7 show the 
model counts and their percentage by the Federal or the ASHRAE Standard 
90.1-2019 efficiency level. The fraction of the market that meets or 
exceeds the ASHRAE Standard 90.1-2019 level is attributed to the ASHRAE 
Standard 90.1-2019 level.

  Table III-6--No-New-Standards Case Efficiency Distribution for Split-
                         System Air Conditioners
------------------------------------------------------------------------
                   EL                       Model count       % by EL
------------------------------------------------------------------------
Federal Baseline........................          10,268              23
ASHRAE 90.1-2019........................          34,580              77
------------------------------------------------------------------------


  Table III-7--No-New-Standards Case Efficiency Distribution for Split-
                            System Heat Pumps
------------------------------------------------------------------------
                   EL                       Model count       % by EL
------------------------------------------------------------------------
Federal Baseline........................           6,438              57

[[Page 60671]]

 
ASHRAE 90.1-2019........................           4,858              43
------------------------------------------------------------------------

    For assessing the energy savings potential of adopting ASHRAE 
Standard 90.1-2019 levels, DOE assumed shipments at the Federal 
baseline efficiency would most likely roll up to the ASHRAE Standard 
90.1-2019 level.
    CRAC Issue 7: DOE seeks input on its determination of the no-new-
standards case distribution of efficiencies for CRACs.
    Three-Phase CAC/HP Issue 4: DOE seeks input on its determination of 
the no-new-standards case distribution of efficiencies for air-cooled, 
three-phase, small commercial package AC and HP (<65 K) equipment.

D. Other Analytical Inputs

1. Equipment Lifetime
    DOE defines ``equipment lifetime'' as the age at which a unit is 
retired from service. For the September 2019 NODA/RFI, DOE used a 15-
year lifetime for all CRAC equipment classes based on the lifetime used 
in the May 2012 final rule. 84 FR 48006. 48030 (Sept. 11, 2019) (citing 
the May 2012 final rule at 77 FR 28928, 28958 (May 16, 2012)). In 
response to the September 2019 NODA/RFI, AHRI and Trane agreed that 15 
years was a reasonable average lifetime. (AHRI, No. 7 at p.7; Trane, 
No. 5 at p. 2) Accordingly, DOE maintains an equipment lifetime of 15 
years for this analysis.
    For the other set of equipment under consideration, DOE based 
equipment lifetime on a retirement function in the form of a Weibull 
probability distribution in its analysis of air-cooled, three-phase, 
small commercial package AC and HP (<65 K). A Weibull distribution is a 
probability distribution function that is commonly used to measure 
failure rates. Its form is similar to an exponential distribution, 
which would model a fixed failure rate, except that it allows for a 
failure rate that changes over time. DOE used a mean lifetime of 19 
years for air conditioners and 16.2 years for heat pumps. These are the 
same values that were used in the July 2015 final rule. 80 FR 42614, 
42627 (July 17, 2015).
    Three-Phase CAC/HP Issue 5: DOE seeks comment on the approach of 
using a Weibull probability distribution with an average lifetime of 19 
years for air conditioners and 16.2 years for heat pumps. DOE also 
requests data or information which can be used to inform the equipment 
lifetime for air-cooled, three-phase, small commercial package AC and 
HP (<65 K).
2. Compliance Dates and Analysis Period
    If DOE were to prescribe energy conservation standards at the 
efficiency levels contained in ASHRAE Standard 90.1-2019, EPCA states 
that any such standard shall become effective on or after a date that 
is two or three years (depending on the equipment type or size) after 
the effective date of the applicable minimum energy efficiency 
requirement in the amended ASHRAE standard. (42 U.S.C. 6313(a)(6)(D)).
    ASHRAE Standard 90.1-2019 does not list an effective date for CRAC 
levels. For estimating the energy savings potential of adopting ASHRAE 
Standard 90.1-levels, DOE assumed a compliance date of an amended 
Federal standard relative to the publication of ASHRAE Standard 90.1-
2019 (i.e., October 23, 2019).
    For air-cooled, three-phase, small commercial package AC and HP 
(<65 K), ASHRAE Standard 90.1-2019 maintains ASHRAE Standard 90.1-2016 
levels, which are consistent with the current Federal standards, until 
January 1, 2023, after which levels are changed, triggering DOE's 
review. DOE assumed a compliance date of an amended Federal standard 
relative to the effective date of January 1, 2023.
    If DOE were to prescribe standards more stringent than the 
efficiency levels contained in ASHRAE Standard 90.1-2019, EPCA dictates 
that any such standard will become effective for equipment manufactured 
on or after a date which is four years after the date of publication of 
a final rule in the Federal Register. (42 U.S.C. 6313(a)(6)(D)) For 
equipment classes where DOE is acting under its 6-year lookback 
authority, if DOE were to adopt more-stringent standards, EPCA states 
that any such standard shall apply to equipment manufactured after a 
date that is the latter of the date three years after publication of 
the final rule establishing such standard or six years after the 
effective date for the current standard. (42 U.S.C. 6313(a)(6)(C)(iv)) 
However, as explained in sections III.F and IV of this document, DOE 
has tentatively concluded that it lacks the clear and convincing 
evidence that would be required to adopt more-stringent standard 
levels.
    For purposes of calculating the national energy savings (NES) for 
the equipment in this evaluation, DOE used a 30-year analysis period 
starting with the assumed year of compliance listed in Table III-8 for 
equipment analyzed in this NODA/RFI. This is the standard analysis 
period of 30 years that DOE typically uses in its NES analysis. For 
equipment classes with a compliance date in the last six months of the 
year, DOE starts its analysis period in the first full year after 
compliance. For example, if CRACs less than 65,000 Btu/h were to have a 
compliance date of October 23, 2021, the analysis period for 
calculating NES would begin in 2022 and extend to 2051.

      Table III-8--Approximate Compliance Date of an Amended Energy
          Conservation Standard for Triggered Equipment Classes
------------------------------------------------------------------------
                                                 Approximate compliance
                                                 date for adopting the
               Equipment class                    efficiency levels in
                                               ASHRAE Standard 90.1-2019
------------------------------------------------------------------------
                     Computer Room Air Conditioners
------------------------------------------------------------------------
Equipment with current NSCC <65,000 Btu/h....                 10/23/2021
Equipment with current NSCC >=65,000 and                      10/23/2022
 <240,000 Btu/h..............................

[[Page 60672]]

 
Equipment with current NSCC >=240,000 Btu/h                   10/23/2022
 and <760,000 Btu/h..........................
------------------------------------------------------------------------
   Air-cooled, three-phase, small commercial package AC and HP (<65 K)
------------------------------------------------------------------------
All Equipment Classes........................                   1/1/2025
------------------------------------------------------------------------

E. Estimates of Potential Energy Savings

    DOE estimated the potential site, primary, and full-fuel-cycle 
(FFC) energy savings in quads (i.e., 10\15\ Btu) for adopting ASHRAE 
Standard 90.1-2019 within each equipment class analyzed. The potential 
energy savings of adopting ASHRAE Standard 90.1-2019 levels are 
measured relative to the current Federal standards. Table III-9 and 
Table III-10 show the potential energy savings resulting from the 
analyses conducted for CRACs and air-cooled, three-phase, small 
commercial package AC and HP (<65 K), respectively. The reported energy 
savings are cumulative over the period in which equipment shipped in 
the 30-year analysis continues to operate.

                                Table III-9--Potential Energy Savings of Adopting ASHRAE Standard 90.1-2019 for CRACs \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                              ASHRAE       Site savings       Primary       FFC savings
                                                                                            efficiency   ----------------     savings    ---------------
        Condenser system type            Airflow configuration     Current net sensible        level                     ----------------
                                                                     cooling capacity    ----------------      quads                           quads
                                                                                              NSenCOP                          quads
--------------------------------------------------------------------------------------------------------------------------------------------------------
Air-cooled...........................  Downflow................  <65,000 Btu/h..........            2.70          0.0000          0.0000          0.0000
                                                                 >=65,000 Btu/h and                 2.58          0.0011          0.0029          0.0030
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.36          0.0071          0.0185          0.0193
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.67          0.0000          0.0000          0.0000
                                                                 >=240,000 Btu/h and                2.33          0.0001          0.0003          0.0003
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.16          0.0000          0.0001          0.0001
                                                                 >=65,000 Btu/h and                 2.04          0.0003          0.0007          0.0008
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                1.89          0.0014          0.0037          0.0039
                                                                  <760,000 Btu/h.
Water-cooled.........................  Downflow................  <65,000 Btu/h..........            2.82          0.0000          0.0000          0.0000
                                                                 >=65,000 Btu/h and                 2.73          0.0001          0.0003          0.0003
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.67          0.0003          0.0007          0.0008
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.79          0.0000          0.0000          0.0000
                                                                 >=240,000 Btu/h and                2.64          0.0000          0.0001          0.0001
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.43          0.0001          0.0004          0.0004
                                                                 >=65,000 Btu/h and                 2.32          0.0002          0.0005          0.0006
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.20          0.0001          0.0003          0.0003
                                                                  <760,000 Btu/h.
Water-cooled with fluid economizer...  Downflow................  <65,000 Btu/h..........            2.77          0.0000          0.0000          0.0000
                                                                 >=65,000 Btu/h and                 2.68          0.0000          0.0000          0.0000
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.61          0.0001          0.0002          0.0002
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.74          0.0000          0.0000          0.0000
                                                                 >=240,000 Btu/h and                2.58          0.0000          0.0000          0.0000
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.35          0.0000          0.0000          0.0000
                                                                 >=65,000 Btu/h and                 2.24          0.0000          0.0000          0.0000
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.12          0.0000          0.0000          0.0000
                                                                  <760,000 Btu/h.
Glycol-cooled........................  Downflow................  <65,000 Btu/h..........            2.56          0.0000          0.0000          0.0000
                                                                 >=65,000 Btu/h and                 2.24          0.0001          0.0002          0.0002
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.21          0.0001          0.0003          0.0003
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.53          0.0000          0.0000          0.0000
                                                                 >=65,000 Btu/h and                 2.21          0.0000          0.0000          0.0000
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.18          0.0000          0.0000          0.0000
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.08          0.0000          0.0000          0.0000

[[Page 60673]]

 
                                                                 >=65,000 Btu/h and                 1.90          0.0001          0.0003          0.0003
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                1.81          0.0000          0.0001          0.0001
                                                                  <760,000 Btu/h.
Glycol-cooled with fluid economizer..  Downflow................  <65,000 Btu/h..........            2.51          0.0000          0.0001          0.0001
                                                                 >=65,000 Btu/h and                 2.19         >0.0003          0.0007          0.0007
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.15          0.0009          0.0022          0.0023
                                                                  <760,000 Btu/h.
                                       Upflow, ducted..........  <65,000 Btu/h..........            2.48          0.0000          0.0000          0.0000
                                                                 >=65,000 Btu/h and                 2.16          0.0000          0.0000          0.0000
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                2.12          0.0002          0.0004          0.0004
                                                                  <760,000 Btu/h.
                                       Upflow, non-ducted......  <65,000 Btu/h..........            2.00          0.0000          0.0000          0.0000
                                                                 >=65,000 Btu/h and                 1.82          0.0003          0.0007          0.0008
                                                                  <240,000 Btu/h.
                                                                 >=240,000 Btu/h and                1.73          0.0001          0.0003          0.0003
                                                                  <760,000 Btu/h.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The air-cooled, upflow ducted, >65,000 Btu/h and <240,000 Btu/h; water-cooled, upflow ducted, >65,000 Btu/h and <240,000 Btu/h; and water-cooled
  with fluid economizer, upflow ducted, >65,000 Btu/h and <240,000 Btu/h equipment classes are not included in this table, as the ASHRAE Standard 90.1-
  2019 levels for these equipment classes are equivalent to the current Federal standard.


     Table III-10--Potential Energy Savings for Air-Cooled, Three-Phase, Small Commercial Packaged AC and HP
                                                     [<65 K]
----------------------------------------------------------------------------------------------------------------
                                        Split-system, air conditioner             Split-system, heat pump
                                   -----------------------------------------------------------------------------
                                      ASHRAE efficiency                      ASHRAE efficiency
                                            Level               quads              level               quads
----------------------------------------------------------------------------------------------------------------
                                          Site Energy Savings Estimate
----------------------------------------------------------------------------------------------------------------
Level 0--ASHRAE...................  13.4 SEER2...........          0.0007  14.3 SEER2, 7.5 HSPF2          0.0017
----------------------------------------------------------------------------------------------------------------
                                         Primary Energy Savings Estimate
----------------------------------------------------------------------------------------------------------------
Level 0--ASHRAE...................  13.4 SEER2...........          0.0017  14.3 SEER2, 7.5 HSPF2          0.0044
----------------------------------------------------------------------------------------------------------------
                                           FFC Energy Savings Estimate
----------------------------------------------------------------------------------------------------------------
Level 0--ASHRAE...................  13.4 SEER2...........          0.0018  14.3 SEER2, 7.5 HSPF2          0.0047
----------------------------------------------------------------------------------------------------------------

F. Consideration of More-Stringent Energy Efficiency Levels

    EPCA requires DOE to establish an amended uniform national standard 
for equipment classes at the minimum level specified in the amended 
ASHRAE Standard 90.1 unless DOE determines, by rule published in the 
Federal Register, and supported by clear and convincing evidence, that 
adoption of a uniform national standard more stringent than the amended 
ASHRAE Standard 90.1 for the equipment class would result in 
significant additional conservation of energy and is technologically 
feasible and economically justified. (42 U.S.C. 6313(a)(6)(A)(ii)(I)-
(II)) As discussed in the following paragraphs, because of uncertainty 
in estimated energy savings resulting from the change in energy 
efficiency metrics, DOE has tentatively determined that it lacks clear 
and convincing evidence that standards more stringent than the amended 
ASHRAE Standard 90.1 levels for either CRACs or air-cooled, three-
phase, small commercial package AC and HP (<65 K) equipment would 
result in significant additional energy savings.
    For CRACs, further energy savings analysis would rely on market 
efficiency data in terms of the analyzed metric (i.e., NSenCOP). In 
order to determine whether the adoption of an updated metric for CRACs 
in ASHRAE Standard 90.1 triggered DOE's obligation under EPCA, DOE was 
required to perform a crosswalk between the Federal energy conservation 
standards and the amended ASHRAE levels. (See 42 U.S.C. 
6313(a)(6)(A)(i)) This crosswalk required only that DOE translate the 
efficiency levels between the metrics at the baseline levels, and not 
all efficiency levels currently represented in the market (i.e., high 
efficiency levels). In addition, the analysis of the amended ASHRAE 
levels does not require analysis of higher efficiency models because 
DOE's analyses assume that a standards change only affects shipments 
with efficiency lower than the analyzed efficiency level (i.e., ``roll-
up'' shipments scenario). Additionally, as discussed in section II.A.3 
of this document, DOE's crosswalk was used to confirm levels separately 
generated by AHRI for inclusion in ASHRAE Standard 90.1-2019 (i.e., DOE 
was able to compare its crosswalk to the crosswalk conducted by 
industry).
    An estimation of energy savings potentials of energy efficiency 
levels more stringent than the amended ASHRAE Standard 90.1 levels 
would require developing efficiency data for the entire market in terms 
of the NSenCOP metric. This much broader crosswalk would require DOE to 
translate the individual SCOP ratings to NSenCOP ratings for all models 
certified

[[Page 60674]]

in DOE's CCMS Database. As the range of model efficiencies increases, 
so does the number of different technologies used to achieve such 
efficiencies. With this increase in variation, there is an increase in 
the potential for variation in the crosswalk results from the actual 
performance under the new metric of the analyzed models. As noted, 
there is limited market data regarding the performance of CRACs as 
represented according to the updated metric, and there is not a 
comparable industry analysis (i.e., translating ratings to the updated 
metric for all models on the market) for comparison.
    For air-cooled, three-phase, small commercial package AC and HP 
(<65 K) equipment, ASHRAE Standard 90.1-2019 amended the applicable 
metric, and the amended standards that rely on the updated metric are 
intended to apply in 2023. As with the amended CRAC standards, DOE was 
required to conduct a crosswalk to compare the stringency levels of the 
Federal standards and the amended ASHRAE Standard 90.1-2019 efficiency 
levels to determine whether its obligation under EPCA to adopt amended 
ASHRAE Standard 90.1 efficiency levels was triggered. (42 U.S.C. 
6313(a)(6)(A)(i)).
    As with an analysis of the CRAC standards amended by ASHRAE 
Standard 90.1-2019, an analysis of standard levels more stringent than 
the amended standards in ASHRAE Standard 90.1 for air-cooled, three-
phase, small commercial package AC and HP (<65 K) equipment) would 
require DOE to crosswalk the entire market for this equipment. As 
noted, the amended ASHRAE Standard 90.1-2019 levels for air-cooled, 
three-phase, small commercial package AC and HP (<65 K) equipment rely 
on updated metrics (i.e., SEER2 and HSPF2), and they have the added 
issue that the amended ASHRAE Standard 90.1 efficiency levels in terms 
of the new SEER2 and HSPF2 metrics are not applicable until 2023. This 
future applicability date compounds the problem of a lack of market 
data.
    As discussed in the October 2018 TP RFI for air-cooled, three-
phase, small commercial package AC and HP (<65 K) equipment, such 
equipment is essentially identical to its single-phase residential 
counterparts, is manufactured on the same production lines, and is 
physically identical to their corresponding single-phase central air 
conditioner and heat pump models (with the exception of the electrical 
systems and compressors). 83 FR 49501, 49504 (Oct. 2, 2018). Single-
phase central air conditioners are subject to new Federal standards 
based on SEER2 and HSPF2 beginning January 1, 2023. 10 CFR 
430.32(c)(5)-(6). Currently, manufacturers are permitted to make 
representations under the SEER2 and HSPF2 representations metrics only 
if they certify to compliance to the 2023 standards. As a result, there 
is a lack of SEER2 and HSPF2 data available for single-phase central 
air conditioners and central air conditioning heat pumps, which if 
available may have provided for a certain level of assessment of the 
air-cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment market.
    The market for air-cooled, three-phase, small commercial package AC 
and HP (<65 K) equipment has not responded to the change in the 
metrics, particularly given that ASHRAE Standard 90.1-2019 does not 
specify use of SEER2 and HSPF2 until 2023. Likewise, the closely 
related single-phase market has not yet fully responded to the amended 
Federal metrics and standards, for which manufacturers are not required 
to comply until 2023. Given the change in metrics and the future 
compliance dates of the ASHRAE Standard 90.1-2019 amendments, and the 
comparable changes to the Federal requirements for the closely related 
single-phase market, determination of max-tech levels and projections 
of market distribution according to efficiency levels have an increased 
degree of uncertainty.
    As noted previously, EPCA provides that in order to adopt a 
standard more stringent than an amended ASHRAE Standard 90.1, DOE must 
determine, by rule published in the Federal Register, and supported by 
clear and convincing evidence, that adoption of a uniform national 
standard more stringent than the amended ASHRAE Standard 90.1 would 
result in significant additional conservation of energy and is 
technologically feasible and economically justified. (42 U.S.C. 
6313(a)(6)(A)(ii)(II)) In the updated Process Rule, DOE reiterated the 
existing statutory requirement stating that the statutory threshold of 
``clear and convincing evidence'' is a very high bar. 85 FR 8626, 8708 
(Feb. 14, 2020). Clear and convincing evidence would exist only where 
the specific facts and data made available to DOE regarding a 
particular ASHRAE amendment demonstrates that there is no substantial 
doubt that a standard more stringent than that contained in the ASHRAE 
Standard 90.1 amendment is permitted because it would result in a 
significant additional amount of energy savings, is technologically 
feasible and economically justified. Id.
    The lack of market data and the uncertainties in the market and 
technology projections regarding energy efficiency levels under the new 
metrics for CRACs and air-cooled, three-phase, small commercial package 
AC and HP (<65 K) equipment create substantial doubt in any analysis of 
energy savings that would result from efficiency levels more stringent 
than the amended ASHRAE Standard 90.1-2019 levels for this equipment. 
Regardless of the results of any such analysis, the degree of 
uncertainty would create substantial doubt as to whether a standard 
more stringent than the ASHRAE Standard 90.1-2019 amendment would 
result in a significant additional amount of energy savings as required 
for DOE to establish more-stringent standards. As a result, DOE did not 
conduct an analysis of any associated energy savings for more-stringent 
standards for the subject equipment in this document.
    CRAC Issue 8: DOE is requesting data and information that could 
enable the agency to determine whether standards levels more stringent 
than the levels in ASHRAE Standard 90.1-2019 for CRACs would result in 
significant additional energy savings for classes for which DOE is 
triggered.
    Three-Phase CAC/HP Issue 6: DOE is requesting data and information 
that could enable the agency to determine whether standards levels more 
stringent than the levels in ASHRAE Standard 90.1-2019 for air-cooled, 
three-phase, small commercial package ACs and HPs (<65 K) would result 
in significant additional energy savings for classes for which DOE is 
triggered.

IV. Review Under Six-Year-Lookback Provisions: Requested Information

    As discussed, DOE is 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)) Accordingly, DOE is also evaluating the 
remaining 6 CRAC equipment classes and 8 air-cooled, three-phase, small 
commercial package AC and HP (<65 K) equipment classes for which ASHRAE 
Standard 90.1-2019 did not increase the stringency of the standards. As 
explained in the February 2020 final rule updating DOE's Process Rule, 
EPCA applies the ``clear and convincing'' evidentiary threshold to both 
ASHRAE ``trigger'' and 6-year-lookback rulemakings. 85 FR 8626, 8647 
(Feb. 14, 2020). Thus, when conducting a six-year look-back review, DOE 
may establish a uniform national standard more stringent than the 
corresponding ASHRAE Standard 90.1 level only upon a determination, 
supported by clear and convincing evidence, that such an amended 
Federal standard would result in significant additional conservation of

[[Page 60675]]

energy and is technologically feasible and economically justified. (42 
U.S.C. 6313(a)(6)(C)(i)(I) (referencing 42 U.S.C. 6313(a)(6)(B), which 
in turn references 42 U.S.C. 6313(a)(6)(A)(ii)(II)).
    The 6 equipment classes of CRACs and 8 equipment classes of air-
cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment suffer from the same lack of data and market uncertainties 
resulting from the metric changes and future compliance dates as with 
the equipment classes for which DOE was triggered, as discussed in 
section III.F of this document. As such, any analysis of energy 
efficiency standards more stringent than the current levels would be 
subject to a degree of uncertainty that would create substantial doubt 
as to whether a standard more stringent than the current Federal 
standard would result in a significant additional amount of energy 
savings as required for DOE to establish more-stringent standards. 
Because DOE does not have sufficient data to meet the ``clear and 
convincing'' threshold, DOE did not conduct an energy savings analysis 
of standard levels more stringent than the current Federal standard 
levels for CRACs and air-cooled, three-phase, small commercial package 
AC and HP (<65 K) equipment that were not amended in ASHRAE Standard 
90.1-2019. See section III.F of this notice for further discussion of 
the consideration of energy efficiency levels more stringent than the 
ASHRAE Standard 90.1-2019 levels.
    CRAC Issue 9: DOE is requesting data and information that could 
enable the agency to determine whether standards levels more stringent 
than the levels in ASHRAE Standard 90.1-2019 for CRACs would result in 
significant additional energy savings for classes for which DOE is not 
triggered.
    Three-Phase CAC/HP Issue 7: DOE is requesting data and information 
that could enable the agency to determine whether standards levels more 
stringent than the levels in ASHRAE Standard 90.1-2019 for air-cooled, 
three-phase, small commercial package ACs and HPs (<65 K) would result 
in significant additional energy savings for classes for which DOE is 
not triggered.

V. Public Participation

A. Submission of Comments

    DOE invites all interested parties to submit in writing by the date 
specified previously in the DATES section of this document, comments, 
data, and information on matters addressed in this document and on 
other matters relevant to DOE's consideration of amended energy 
conservation standards for CRACs and air-cooled, three-phase, small 
commercial package AC and HP (<65 K) equipment. Interested parties may 
submit comments, data, and other information using any of the methods 
described in the ADDRESSES section at the beginning of this document.
    Submitting comments via http://www.regulations.gov. The http://www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment 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. Following such instructions, persons viewing comments 
will see only first and last names, organization names, correspondence 
containing comments, and any documents submitted with the comments.
    Do not submit to http://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
http://www.regulations.gov cannot be claimed as CBI. Comments received 
through the website will waive any CBI claims for the information 
submitted. For information on submitting CBI, see the Confidential 
Business Information section.
    DOE processes submissions made through http://www.regulations.gov 
before posting. Normally, comments will be posted within a few days of 
being submitted. However, if large volumes of comments are being 
processed simultaneously, your comment may not be viewable for up to 
several weeks. Please keep the comment tracking number that http://www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email, hand delivery/courier, or postal 
mail. Comments and documents submitted via email, hand delivery/
courier, or postal mail also will be posted to http://www.regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information in a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via postal 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.
    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.
    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'' including all the 
information believed to be confidential, and one copy of the document 
marked ``non-confidential'' with the information believed to be 
confidential deleted. Submit these documents via email or on a CD, if 
feasible. DOE will make its own determination about the confidential 
status of the information and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items, (2) whether and why such items are customarily treated as 
confidential within the industry, (3) whether the information is 
generally known by or available from other sources, (4) whether the

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information has previously been made available to others without 
obligation concerning its confidentiality, (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure, (6) when such information might lose its 
confidential character due to the passage of time, and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).
    DOE considers public participation to be a very important part of 
the process for developing energy conservation standards. DOE actively 
encourages the participation and interaction of the public during the 
comment period in each stage of the rulemaking process. Interactions 
with and between members of the public provide a balanced discussion of 
the issues and assist DOE in the rulemaking process. Anyone who wishes 
to be added to the DOE mailing list to receive future notices and 
information about this process or would like to request a public 
meeting should contact Appliance and Equipment Standards Program staff 
at (202) 287-1445 or via email at 
[email protected].

B. Issues on Which DOE Seeks Comment

    DOE welcomes comments on any aspect of this document for CRAC and 
air-cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment classes where ASHRAE Standard 90.1-2019 increased stringency 
(thereby triggering DOE's review of amended standards) and for CRAC and 
air-cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment classes undergoing 6-year-lookback review.
    In the preceding sections, DOE has identified a variety of issues 
on which it seeks input to aid in the development of the technical and 
economic analyses regarding whether amended standards for CRACs and 
air-cooled, three-phase, small commercial package AC and HP (<65 K) 
equipment may be warranted. DOE notes that under Executive Order 13771, 
``Reducing Regulation and Controlling Regulatory Costs,'' Executive 
Branch agencies such as DOE are directed to manage the costs associated 
with the imposition of expenditures required to comply with Federal 
regulations. See 82 FR 9339 (Feb. 3, 2017). Consistent with that 
Executive Order, DOE encourages the public to provide input on measures 
DOE could take to lower the cost of its energy conservation standard 
rulemakings, recordkeeping and reporting requirements, and compliance 
and certification requirements applicable to CRACs and air-cooled, 
three-phase, small commercial package AC and HP (<65 K) equipment while 
remaining consistent with the requirements of EPCA. Other general 
topics of interest include the following.
Market Failures
    In the field of economics, a market failure is a situation in which 
the market outcome does not maximize societal welfare. Such an outcome 
would result in unrealized potential welfare. DOE welcomes comment on 
any aspect of market failures, especially those in the context of 
amended energy conservation standards for CRACs and air-cooled, three-
phase, small commercial package AC and HP (<65 K) equipment.
Network Mode/``Smart'' Equipment
    DOE recently published an RFI on the emerging smart technology 
appliance and equipment market. 83 FR 46886 (Sept. 17, 2018). In that 
RFI, DOE sought information to better understand market trends and 
issues in the emerging market for appliances and commercial equipment 
that incorporate smart technology. DOE's intent in issuing the RFI was 
to ensure that DOE did not inadvertently impede such innovation in 
fulfilling its statutory obligations in setting efficiency standards 
for covered products and equipment. DOE seeks comments, data, and 
information on the issues presented in the NODA/RFI as they may be 
applicable to CRACs and air-cooled, three-phase, small commercial 
package AC and HP (<65 K) equipment.
Other
    In addition to the issues identified earlier in this document, DOE 
welcomes comment on any other aspect of energy conservation standards 
for CRACs and air-cooled, three-phase, small commercial package AC and 
HP (<65 K) equipment not already addressed.
    To summarize the specific issues identified in this NODA/RFI, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following topics, listed by equipment 
category:
    CRAC Issue 1: DOE requests comment on the methodology and results 
of the crosswalk analysis.
    CRAC Issue 2: DOE seeks comment on its energy-use analysis 
methodology.
    CRAC Issue 3: DOE seeks comment on its methodology for identifying 
data centers within CBECS 2012.
    CRAC Issue 4: DOE requests comment on its server power consumption 
estimates and any information or data on expectations of future server 
stock and energy use in small data centers.
    CRAC Issue 5: DOE requests shipments data on horizontal-flow, 
ceiling-mounted, and air-cooled with fluid economizer CRAC equipment 
classes.
    CRAC Issue 6: DOE requests efficiency data for CRACs in terms of 
NSenCOP that can be used to estimate the no-new-standards case 
efficiency distribution.
    CRAC Issue 7: DOE seeks input on its determination of the no-new-
standards case distribution of efficiencies for CRACs.
    CRAC Issue 8: DOE is requesting data and information that could 
enable the agency to determine whether standards levels more stringent 
than the levels in ASHRAE Standard 90.1-2019 for CRACs would result in 
significant additional energy savings for classes for which DOE is 
triggered.
    CRAC Issue 9: DOE is requesting data and information that could 
enable the agency to determine whether standards levels more stringent 
than the levels in ASHRAE Standard 90.1-2019 for CRACs would result in 
significant additional energy savings for classes for which DOE is not 
triggered.
    Three-Phase CAC/HP Issue 1: DOE requests feedback on its 
methodology for determining crosswalked SEER2 and HSPF2 values for 
three-phase equipment based on crosswalked values of single-phase 
residential central air conditioners.
    Three-Phase CAC/HP Issue 2: DOE requests comment on its approach to 
estimate the energy use of air-cooled, three-phase, small commercial 
package AC and HP (<65 K).
    Three-Phase CAC/HP Issue 3: DOE requests comment on it approach to 
estimate the shipments of air-cooled, three-phase, small commercial 
package AC and HP (<65 K) equipment.
    Three-Phase CAC/HP Issue 4: DOE seeks input on its determination of 
the no-new-standards case distribution of efficiencies for air-cooled, 
three-phase, small commercial package AC and HP (<65 K) equipment.
    Three-Phase CAC/HP Issue 5: DOE seeks comment on the approach of 
using a Weibull probability distribution with an average lifetime of 19 
years for air conditioners and 16.2 years for heat pumps. DOE also 
requests data or information which can be used to inform the equipment 
lifetime for air-

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cooled, three-phase, small commercial package AC and HP (<65 K).
    Three-Phase CAC/HP Issue 6: DOE is requesting data and information 
that could enable the agency to determine whether standards levels more 
stringent than the levels in ASHRAE Standard 90.1-2019 for air-cooled, 
three-phase, small commercial package ACs and HPs (<65 K) would result 
in significant additional energy savings for classes for which DOE is 
triggered.
    Three-Phase CAC/HP Issue 7: DOE is requesting data and information 
that could enable the agency to determine whether standards levels more 
stringent than the levels in ASHRAE Standard 90.1-2019 for air-cooled, 
three-phase, small commercial package ACs and HPs (<65 K) would result 
in significant additional energy savings for classes for which DOE is 
not triggered.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
data availability and request for information.

Signing Authority

    This document of the Department of Energy was signed on August 21, 
2020, by Alexander N. Fitzsimmons, Deputy Assistant Secretary for 
Energy Efficiency, Energy Efficiency and Renewable Energy, pursuant to 
delegated authority from the Secretary of Energy. That document with 
the original signature and date is maintained by DOE. For 
administrative purposes only, and in compliance with requirements of 
the Office of the Federal Register, the undersigned DOE Federal 
Register Liaison Officer has been authorized to sign and submit the 
document in electronic format for publication, as an official document 
of the Department of Energy. This administrative process in no way 
alters the legal effect of this document upon publication in the 
Federal Register.

    Signed in Washington, DC, on August 21, 2020.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2020-18778 Filed 9-24-20; 8:45 am]
BILLING CODE 6450-01-P