[Federal Register Volume 85, Number 236 (Tuesday, December 8, 2020)]
[Proposed Rules]
[Pages 78967-78971]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-26722]


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DEPARTMENT OF ENERGY

10 CFR Part 431

[EERE-2019-BT-TP-0027]
RIN 1904-AE80


Energy Conservation Program: Test Procedures for Commercial 
Equipment; Early Assessment Review: Packaged Terminal Air Conditioners 
and Packaged Terminal Heat Pumps

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

ACTION: Request for information (RFI).

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SUMMARY: The U.S. Department of Energy (``DOE'') is undertaking an 
early assessment review to determine whether to proceed with a 
rulemaking to amend DOE's test procedures for packaged terminal air 
conditioners (``PTACs'') and packaged terminal heat pumps (``PTHPs'') 
to adopt the most recent procedures referenced in the American Society 
of Heating, Refrigerating and Air-Conditioning Engineers (``ASHRAE'') 
Standard 90.1, ``Energy Standard for Buildings Except Low-Rise 
Residential Buildings,'' which are consistent with DOE's current test 
procedures, unless there exists clear and convincing evidence 
supporting the adoption of alternate procedures. DOE welcomes written 
comments from the public on any subject within the scope of this 
document (including topics not raised in this RFI), as well as the 
submission of data and other relevant information concerning this early 
assessment review.

DATES: Written comments and information will be accepted on or before 
February 22, 2021.

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-2019-BT-
TP-0027 and/or RIN 1904-AE80, by any of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. Email: to [email protected]. Include docket number 
EERE-2019-BT-TP-0027 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, 
1000 Independence Avenue SW, Washington, DC 20585-0121.

[[Page 78968]]

Telephone: (202) 287-1445. If possible, please submit all items on a 
compact disc (``CD''), in which case it is not necessary to include 
printed copies.
    4. Hand Delivery/Courier: Appliance and Equipment Standards 
Program, U.S. Department of Energy, Building Technologies Office, 950 
L'Enfant Plaza SW, Suite 600, Washington, DC 20024. Telephone: (202) 
287-1445. If possible, please submit all items on a CD, in which case 
it is not necessary to include printed copies.
    No telefacsimiles (``faxes'') will be accepted. For detailed 
instructions on submitting comments and additional information on this 
process, see section III of this document.
    Docket: The docket for this activity, which includes Federal 
Register notices, comments, and other supporting documents/materials, 
is available for review at http://www.regulations.gov. All documents in 
the docket are listed in the http://www.regulations.gov index. However, 
some documents listed in the index, such as those containing 
information that is exempt from public disclosure, may not be publicly 
available.
    The docket web page can be found at http://www.regulations.gov/docket?D=EERE-2019-BT-TP-0027. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket. See section III for information on how to submit 
comments through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Mr. Bryan Berringer, 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) 586-0371. Email: 
[email protected].
    Ms. Jennifer Tiedeman, U.S. Department of Energy, Office of the 
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 287-6111. 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. Rulemaking History
II. Request for Information
    A. Energy Use Measurements
    B. Representative Average Use Cycle
III. Submission of Comments

I. Introduction

    DOE established an early assessment review process to conduct a 
more focused analysis of a specific set of facts or circumstances to 
allow DOE to determine that, based on statutory criteria, an amended 
test procedure is not warranted. In the case of PTACs and PTHPs, the 
purpose of the early assessment analysis is to assist DOE in 
determining whether to adopt industry standard ASHRAE 90.1-2019, which 
is consistent with DOE's current test procedures, or whether clear and 
convincing evidence exists that this standard would not meet the 
requirements in the Energy Policy and Conservation Act (``EPCA'').\1\ 
(42 U.S.C. 6314(a)(4)(B) and (C)) \2\ The purpose of the review is to 
limit the resources, from both DOE and stakeholders, committed to 
rulemakings that will not satisfy the requirements of EPCA. See 85 FR 
8626, 8653-8654 (Feb. 14, 2020).
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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 (October 23, 2018).
    \2\ Under the Energy Policy and Conservation Act, as amended 
(``EPCA''), if the industry test procedures for PTACs and PTHPs are 
amended, DOE must amend its test procedures to be consistent with 
the amended industry test procedure unless there is clear and 
convincing evidence that to do so would not meet the EPCA 
requirements that DOE's test procedure: (1) Be reasonably designed 
to measure energy efficiency or energy use during a representative 
average use cycle or period of use; and (2) not be unduly burdensome 
to conduct.
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    As part of the early assessment, DOE publishes an RFI in the 
Federal Register, announcing that DOE is soliciting comments, data and 
information on the question above. Based on the information received in 
response to the RFI and DOE's own analysis, DOE will determine whether 
to proceed with a rulemaking for an amended test procedure.
    If DOE makes an initial determination that clear and convincing 
evidence does not exist to justify procedures other than those 
consistent with the industry testing standards referenced in ASHRAE 
90.1-2019, DOE would engage in a notice and comment rulemaking to adopt 
the ASHRAE 90.1-2019 testing standards, which are consistent with the 
current test procedures and which would satisfy the Department's 7-
year-lookback test procedure review requirement under the statute (as 
discussed in section I.A of this document).
    Conversely, if DOE makes an initial determination that clear and 
convincing evidence does exist to justify the consideration of test 
procedures other than those referenced in ASHRAE 90.1-2019, DOE would 
undertake the preliminary stages of a rulemaking to issue amended test 
procedures. Beginning such a rulemaking, however, would not preclude 
DOE from later making a determination that any such amended test 
procedures would not satisfy the requirements in EPCA, based upon the 
full suite of DOE's analyses. Id. at 85 FR 8654.

A. Authority

    EPCA among other things authorizes DOE to regulate the energy 
efficiency of a number of consumer products and certain industrial 
equipment. (42 U.S.C. 6291-6317) Title III, Part C \3\ of EPCA 
established the Energy Conservation Program for Certain Industrial 
Equipment. This equipment includes PTACs and PTHPs, the subjects of 
this document. (42 U.S.C. 6311(1)(I))
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    \3\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
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    Under EPCA, DOE's energy conservation program consists essentially 
of four parts: (1) Testing, (2) labeling, (3) Federal energy 
conservation standards, and (4) certification and enforcement 
procedures. Relevant provisions of EPCA include definitions (42 U.S.C. 
6311), test procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C. 
6315), energy conservation standards (42 U.S.C. 6313), and the 
authority to require information and reports from manufacturers. (42 
U.S.C. 6316)
    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 instances for particular State laws or 
regulations, in accordance with the procedures and other provisions of 
EPCA. (42 U.S.C. 6316(b)(2)(D))
    EPCA requires that the test procedures for PTACs and PTHPs be those 
generally accepted industry testing standards or rating procedures 
developed or recognized by the Air-Conditioning, Heating, and 
Refrigeration Institute (``AHRI'') or by the American Society of 
Heating, Refrigerating and Air-Conditioning Engineers (``ASHRAE''), as 
referenced in ASHRAE Standard 90.1, ``Energy Standard for Buildings 
Except Low-Rise Residential

[[Page 78969]]

Buildings'' (``ASHRAE Standard 90.1''). (42 U.S.C. 6314(a)(4)(A)) If 
such an industry testing standard is amended, DOE must update its test 
procedure to be consistent with the amended industry testing standard, 
unless DOE determines, by rule published in the Federal Register and 
supported by clear and convincing evidence, that the amended test 
procedure would not meet the requirements in 42 U.S.C. 6314(a)(2) and 
(3) that DOE's test procedure: (1) Be reasonably designed to measure 
energy efficiency or energy use during a representative average use 
cycle or period of use; and (2) not be unduly burdensome to conduct. 
(42 U.S.C. 6314(a)(4)(B) and (C))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered equipment, including PTACs and 
PTHPs, to determine whether amended test procedures would more 
accurately or fully comply with the requirements for the test 
procedures to be reasonably designed to produce test results that 
reflect energy efficiency, energy use, and estimated operating costs 
during a representative average use cycle and to not be unduly 
burdensome to conduct. (42 U.S.C. 6314(a)(1)) DOE is publishing this 
RFI also to collect data and information to inform its decision to 
satisfy the 7-year-lookback review requirement.

B. Rulemaking History

    DOE's current test procedures for PTACs and PTHPs are codified at 
10 CFR 431.96. The test procedures were most recently amended after 
AHRI published AHRI Standard 310/380-2014, ``Standard for Packaged 
Terminal Air-Conditioners and Heat Pumps'' (``AHRI 310/380-2014'') in 
February 2014. The 2014 version of the standard updated and superseded 
AHRI Standard 310/380-2004. In a final rule published on June 30, 2015, 
DOE amended the test procedures for PTACs and PTHPs. 80 FR 37136, 
37136-37149. (``June 2015 Final Rule''). In the June 2015 Final Rule, 
DOE incorporated by reference certain sections of AHRI 310/380-2014. 
Id. at 80 FR 37148. DOE also incorporated by reference (1) American 
National Standard Institute (``ANSI'')/ASHRAE Standard 16-1983 
(RA2009), ``Method of Testing for Rating Room Air Conditioners and 
Packaged Terminal Air Conditioners'' (``ASHRAE Standard 16''); (2) 
ANSI/ASHRAE Standard 58-1986 (RA2009), ``Method of Testing for Rating 
Room Air Conditioner and Packaged Terminal Air Conditioner Heating 
Capacity'' (``ASHRAE Standard 58''); and (3) ANSI/ASHRAE Standard 37-
2009, ``Methods of Testing for Rating Electrically Driven Unitary Air-
Conditioning and Heat Pump Equipment'' (``ASHRAE Standard 37''). Id. 
Additionally, DOE amended the PTAC and PTHP test procedures to specify 
an optional break-in period; explicitly require that wall sleeves be 
sealed; allow for the pre-filling of the condensate drain pan; require 
that measurements of cooling capacity be conducted using electrical 
instruments accurate to  0.5 percent of reading; and 
require testing with 14-inch deep wall sleeves and the filter option 
most representative of a typical installation. Id. at 80 FR 37149.
    AHRI published AHRI Standard 310/380-2017, ``Packaged Terminal Air-
Conditioners and Heat Pumps'' (``AHRI 310/380-2017'') in July 2017. The 
2017 version of the standard updated and superseded AHRI Standard 310/
380-2014. The 2017 version of the standard incorporated DOE's 
additional PTAC and PTHP test procedure specifications listed above. 
The DOE test procedures for PTACs and PTHPs are consistent with AHRI 
310/380-2017.
    ASHRAE most recently updated Standard 90.1 in 2019. In the 2019 
update, ASHRAE updated the AHRI 310/380 reference to the 2017 edition. 
As discussed, the DOE test procedures for PTACs and PTHPs are 
consistent with AHRI 310/380-2017. Clear and convincing evidence is 
required for DOE to adopt other procedures. (42 U.S.C. 6314(a)(4)(A))
Current Market
    Over the past five years, several manufacturers have introduced 
PTAC and PTHP models that are designed to take outdoor air into the 
unit, dehumidify the outdoor air, and introduce the dehumidified 
outdoor air to the conditioned space. These models are commonly 
referred to as ``make-up air PTACs'' or ``make-up air PTHPs.'' The test 
procedures for PTACs and PTHPs referenced in ASHRAE Standard 90.1 do 
not specify how to measure the energy use associated with 
dehumidification of makeup air transferred through the test unit, nor 
do they account for the additional conditioning required for this 
makeup air.
    Additionally, over the past five years, several PTAC and PTHP 
models have been introduced to the market that incorporate variable-
speed compressors and are capable of part-load operation. The test 
procedures for PTACs and PTHPs referenced in ASHRAE Standard 90.1 do 
not specify how to measure the energy use associated with part-load 
performance of the test unit.

II. Request for Information

    DOE is publishing this RFI to collect data and information during 
the early assessment review to inform its determination of whether to 
adopt ASHRAE 90.1-2019 in the absence of clear and convincing evidence 
that would justify the adoption of procedures other than those 
referenced in ASHRAE 90.1-2019. See 42 U.S.C. 6314(a)(4)) Accordingly, 
DOE has identified specific issues on which it seeks input to aid in 
its analysis. DOE also welcomes comments on other issues relevant to 
its early assessment that may not specifically be identified in this 
document.

A. Energy Use Measurements

    DOE's current test procedures for PTACs and PTHPs are codified at 
10 CFR 431.96. The test procedures measure energy use by operating the 
equipment in cooling-only and heating-only modes at standard rating 
conditions per AHRI Standard 310/380-2014 and measuring the power input 
to the equipment in watts. The test metric for the cooling efficiency 
is the Energy Efficiency Ratio (``EER''), which is the ratio of the 
produced cooling effect of the PTAC or PTHP to its power input, 
expressed in Btu/watt-hour, and measured at standard rating conditions. 
The test metric for the heating efficiency is the Coefficient of 
Performance (``COP''), which is the ratio of the produced heating 
effect of the PTHP to its power input, expressed in watts/watts, and 
measured at standard rating conditions.
    Issue 1: DOE seeks comment on whether the test procedure 
requirements in ASHRAE 90.1-2019 (e.g., instrumentation testing 
configurations/specifications, calculation methodologies) accurately 
measure energy use without adding undue burden to the test procedure.
    Issue 2: DOE seeks information on the need for DOE's test procedure 
for PTACs and PTHPs to specify how to measure the energy use associated 
with dehumidification of ``makeup air'' for PTAC and PTHP models 
designed to take outdoor air into the unit, dehumidify the outdoor air, 
and introduce the dehumidified outdoor air to the conditioned space.
    Issue 3: DOE seeks information on the need for DOE's test procedure 
for PTACs and PTHPs to specify how to measure the energy use associated 
with part-load operation.
    Issue 4: DOE requests information on whether any existing industry 
test procedures may be used to measure the energy use associated with 
``makeup

[[Page 78970]]

air'' or part-load operation of PTACs and PTHPs.

B. Representative Average Use Cycle

    The current DOE test procedure for PTACs and PTHPs, adopted in 
2015, was reasonably designed to measure energy use during a 
representative average use cycle. Specifically, the test procedure 
adopted in 2015 provides instructions to measure the energy use of the 
equipment in cooling and heating modes at standard rating conditions, 
as prescribed in AHRI Standard 310/380-2014.
    Issue 5: DOE seeks comment on whether ASHRAE 90.1-2019 and the 
references therein is reasonably designed to measure energy use during 
a representative use cycle.
    Issue 6: DOE also seeks comment on ``make-up air'' and part load 
operation as they relate to a representative average use cycle for 
PTACs and PTHPs.

III. Submission of Comments

    DOE invites all interested parties to submit in writing by February 
22, 2021, comments and information on matters addressed in this notice 
and on other matters relevant to DOE's consideration of whether DOE 
should adopt the most recent version of ASHRAE 90.1, which makes no 
substantive changes to DOE's test procedures, or whether there is clear 
and convincing evidence that ASHRAE 90.1-2019 is not reasonably 
designed to measure energy efficiency or energy use during a 
representative average use cycle or period of use; and is not unduly 
burdensome to conduct.
    Submitting comments via http://www.regulations.gov. The http://www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. If this instruction is followed, 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 on 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. 
No facsimiles (``faxes'') will be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According 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 to 
[email protected] 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.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).
    DOE considers public participation to be a very important part of 
the process for developing test procedures and energy conservation 
standards. DOE actively encourages the participation and interaction of 
the public during the comment period in each stage of this process. 
Interactions with and between members of the public provide a balanced 
discussion of the issues and assist DOE in the process. Anyone who 
wishes to be added to the DOE mailing list to receive future notices 
and information about this process should contact Appliance and 
Equipment Standards Program staff at (202) 287-1445 or via email at 
[email protected].

Signing Authority

    This document of the Department of Energy was signed on November 
25, 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

[[Page 78971]]

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 December 1, 2020.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2020-26722 Filed 12-7-20; 8:45 am]
BILLING CODE 6450-01-P