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Preliminary Determination Regarding Energy Efficiency Improvements in ANSI/ASHRAE/IES Standard 90.1-2013: Energy Standard for Buildings, Except...

May 15, 2014

Preliminary Determination Regarding Energy Efficiency Improvements in ANSI/ASHRAE/IES Standard 90.1-2013: Energy Standard for Buildings, Except Low-Rise Residential Buildings

   DATES: Comments on the preliminary determination must be provided by June 16, 2014.

   ADDRESSES: Any comments submitted must identify provide docket number EERE-2014-BT-DET-0009, or Regulatory Information Number (RIN), 1904-AD27. Comments may be submitted using any of the following methods:

   1. Federal eRulemaking Portal: Follow the instructions for submitting comments.

   2. Email: Include the docket number and/or RIN in the subject line of the message.

   3. Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Office, EE-5B, 1000 Independence Avenue SW., Washington, DC 20585-0121. If possible, please submit all items on a CD, in which case it is not necessary to include printed copies.

   4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Office, 950 L'Enfant Plaza SW., Suite 600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, please submit all items on a CD, in which case it is not necessary to include printed copies.

   For detailed instructions on submitting comments and additional information on the rulemaking process, see section VIII of this document (Public Participation).

   Federal Register notices, comments, and other supporting documents/materials, is available for review at All documents in the docket are listed in the index. However, some documents listed in the index, such as those containing information that is exempt from public disclosure, may not be publicly available.

   A link to the docket Web page can be found at: This Web page will contain a link to the docket for this notice on the site. The Web page will contain simple instructions on how to access all documents, including public comments, in the docket. See section VIII for further information on how to submit comments through

   For further information on how to submit a comment, review other public comments and the docket, or participate in the public meeting, contact Ms. Brenda Edwards at (202) 586-2945 or by email:


Jeremiah Williams; U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, 1000 Independence Avenue SW., EE-5B, Washington, DC 20585; (202) 287-1941;

For legal issues, please contact Ami Grace-Tardy; U.S. Department of Energy, Office of the General Counsel, 1000 Independence Avenue SW., GC-71, Washington, DC 20585; (202) 586-5709;


I. Statutory Authority

II. Introduction

III. Methodology

IV. Summary of Findings

V. Preliminary Determination Statement

VI. State Certification

VII. Regulatory Review and Analysis

VIII. Public Participation

I. Statutory Authority

   Title III of the Energy Conservation and Production Act, as amended (ECPA), establishes requirements for building energy conservation standards, administered by the DOE Building Energy Codes Program. (42 U.S.C. 6831 et seq.) Section 304(b), as amended, of ECPA provides that whenever the ANSI/ASHRAE/IESNA Standard 90.1-1989 (Standard 90.1-1989 or 1989 edition), or any successor to that code, is revised, the Secretary of Energy (Secretary) must make a determination, not later than 12 months after such revision, whether the revised code would improve energy efficiency in commercial buildings, and must publish notice of such determination in the Federal Register . (42 U.S.C. 6833(b)(2)(A)) The Secretary may determine that the revision of Standard 90.1-1989, or any successor thereof, improves the level of energy efficiency in commercial buildings. If so, then not later than 2 years after the date of the publication of such affirmative determination, each State is required to certify that it has reviewed and updated the provisions of its commercial building code regarding energy efficiency with respect to the revised or successor code. (42 U.S.C. 6833(b)(2)(B)(i)) Each State must include in its certification a demonstration that the provisions of its commercial building code, regarding energy efficiency, meet or exceed the revised Standard. (42 U.S.C. 6833(b)(2)(B)(i))

   If the Secretary makes a determination that the revised Standard will not improve energy efficiency in commercial buildings, State commercial codes shall meet or exceed the last revised Standard for which the Secretary has made an affirmative determination. (42 U.S.C. 6833(b)(2)(B)(ii)) On October 19, 2011, DOE published a final determination in the Federal Register updating the reference code to Standard 90.1-2010. (76 FR 64904)

   ECPA requires the Secretary to permit extensions of the deadlines for the State certification if a State can demonstrate that it has made a good faith effort to comply with the requirements of Section 304(c) of ECPA and that it has made significant progress in doing so. (42 U.S.C. 6833(c)) DOE is also directed to provide technical assistance to States to support implementation of State residential and commercial building energy efficiency codes. (42 U.S.C. 6833(d))

II. Introduction

   ASHRAE and IES approved the publication of the 2013 edition of Energy Standard for Buildings Except Low-Rise Residential Buildings in October 2013. The Standard is developed under ANSI-approved consensus procedures, /2/ and is under continuous maintenance by a Standing Standard Project Committee. ASHRAE has established a program for regular publication of addenda, or revisions, including procedures for timely, documented, consensus action on requested changes to the Standard. ANSI approved the final addendum for inclusion in the 2013 edition in September 2013. Standard 90.1-2013 was published in October 2013. /3/ More information on ANSI/ASHRAE/IES Standard 90.1-2013 is available at:

   FOOTNOTE 2 An overview of the ANSI consensus process is available at END FOOTNOTE

   FOOTNOTE 3 ASHRAE press release available at END FOOTNOTE

III. Methodology

   In arriving at a preliminary determination, DOE reviewed all changes between the 2013 and 2010 editions of Standard 90.1. Standard 90.1 is complex and covers a broad spectrum of the energy-related components and systems in buildings, ranging from simpler commercial buildings to more complex hospitals and laboratory facilities. Standard 90.1-2013 was developed through the same approach as the previous 2010 edition, which involves committee approval through a consensus process consistent with ANSI procedures for developing industry standards. The 2013 edition contains no significant changes to the overall scope or the structure of the Standard. As a result, DOE preliminarily determined that the methodology used for the analysis of Standard 90.1-2010 should again be utilized for the analysis of Standard 90.1-2013.

Overview of Methodology

   The analysis methodology used by DOE contains both qualitative and quantitative components. A qualitative comparison is undertaken to identify textual changes between requirements in Standard 90.1-2013 and Standard 90.1-2010, followed by a quantitative assessment of energy savings conducted through whole-building simulations of buildings constructed to meet the minimum requirements of each Standard over the range of U.S. climates. A discussion of the analysis methodology, which was developed through public comment in past DOE determinations, can be found in the Notice of Preliminary Determination for Standard 90.1-2007 (75 FR 54117) and Notice of Preliminary Determination for Standard 90.1-2010 (76 FR 43298).

   Consistent with its previous determinations, DOE compared overall editions of Standard 90.1. DOE interprets the language in Section 304(b)(2) of ECPA to mean that when a comprehensive revision of the ASHRAE Standard is published (which in this case is ASHRAE Standard 90.1-2013), then that revised or successor Standard triggers the Secretary's obligation to issue a determination as to whether the revised Standard improves energy efficiency in commercial buildings. (See 42 U.S.C. 6833(b)(2)(A)) This determination is made by comparing the revised or successor Standard to the last predecessor Standard. While the continuous addenda review and update process is part of the ongoing maintenance of the Standard, DOE does not interpret each addendum update after the release of the full standard as an additional "revised or successor standard" requiring a determination by the Secretary.

Consideration for Technological and Economic Factors

   Section 304(b) of ECPA states that the Secretary is required to make a determination as to whether any successor standard to ASHRAE Standard 90.1-1989 will improve energy efficiency. (42 U.S.C. 6833(b)(2)(A)) Section 304 of ECPA does not include any reference to economic justification.

   Separate from the Secretary's determination under section 304(b), section 307 of ECPA requires DOE to periodically review the economic basis of the voluntary building energy codes and participate in the industry process for review and modification, including seeking adoption of all technologically feasible and economically justified energy efficiency measures. (42 U.S.C. 6836(b)) DOE fulfills this obligation in two ways. First, the ASHRAE process, in which DOE participates, provides consideration for the feasibility and economics of proposed addenda, with a defined methodology applied to test the cost-effectiveness of individual addenda. Next, DOE performs independent analysis of Standard 90.1 as part of its direction to assist States implementing building energy codes. (ASHRAE consideration for cost-effectiveness and technical assistance provided by DOE is further explained below.)

   The development of ASHRAE standards is based upon the ANSI consensus process, which ensures participation by any interested party, with representatives classified as producer (e.g., industry), user ( e.g., owners and designers), and general (e.g., government representatives or other general interests) segments of the building industry coming together to develop a consensus-based standard. DOE is an active participant in this process, and provided technical support to the development of the Standard through Pacific Northwest National Laboratory (PNNL). This approach allows DOE to meet its statutory obligation to participate in the industry process to review and modify Standard 90.1, and to seek adoption of all technologically feasible and economically justified energy efficiency measures. (42 U.S.C. 6836(b))

   The ASHRAE development process requires extensive committee deliberation and public review of each change to Standard 90.1, including consideration for the cost-effectiveness of proposed changes. One of the objectives considered by the committee developing Standard 90.1 is for the requirements of the Standard to be cost-effective for use in the public and private sectors. In recent years, one of the primary support functions provided by PNNL is assistance in the development of cost-effectiveness analyses that are considered by the development committee. Some proposed changes to the Standard do not require a cost-effectiveness evaluation, such as the following:

    * Changes that do not add cost to the building or where the added cost would be negligible;

    * Changes intending to clarify existing requirements of the Standard or to improve compliance with existing requirements of the Standard;

    * Changes to external references that are included in the Standard; or

    * Changes that reflect Federal requirements, such as appliance and commercial equipment standards.

   When evaluating proposed changes to the Standard where an additional cost to the building is anticipated, Standard 90.1 uses a defined methodology known as the Scalar Method /4/ to ensure that Standard 90.1 is cost effective. This method is based on ASTM Standard E917-- Standard Practice for Measuring Life-Cycle Costs of Buildings and Building Systems. Standard 90.1 has simplified the life-cycle cost (LCC) model in ASTM Standard E917 by condensing the economic variables into a single variable called the Scalar Ratio, which is simply a ratio of economic present worth factors. A maximum scalar ratio of 21.9, corresponding to a measure life of 40 years was used in the development of Standard 90.1-2013. This ratio is mathematically equivalent to a LCC analysis using the following parameters:

   FOOTNOTE 4 M.F. McBride, "Development of Economic Scalar Ratios for ASHRAE Standard 90.1 R," (presented at the Thermal Performance of the Exterior Envelopes of Buildings VI, ASHRAE, 1995), available at END FOOTNOTE GOES

Table III.1--ASHRAE Scalar Ratio Economic Parameters Parameter Rate (percent) Economic Life Up to 40 years. Loan Interest Rate 6.25. Heating Fuel 3.76. Escalation Rate Cooling Fuel 3.76. Escalation Rate Federal Tax Rate 34. State Tax Rate 6.5. Nominal Discount Rate 7. Real Discount Rate 6.05.

   The above economic parameters are vetted and updated by ASHRAE at the beginning of each three-year Standard 90.1 development cycle. If the scalar ratio for a particular measure is less than the scalar ratio limit established by the measure life and the parameters presented above, then the measure is considered cost-effective. The scalar ratio for a proposal is determined by the following equation:

See Illustration in Original Document.

   It should be noted that Standard 90.1 evaluates the cost-effectiveness of individual addenda, as applicable, but does not evaluate the cost-effectiveness of the Standard as a whole. However, this information is often desired by States to inform processes to update State energy codes. To address this need, and as part of DOE's direction to provide technical assistance to support the implementation of State energy efficiency codes (42 U.S.C. 6833(d)), DOE has worked with States to help them understand the energy and economic impacts associated with updated model energy codes. This approach allows DOE and the States to identify and collect necessary data, as available, and work with individual States to understand localized costs, construction practices, and unique State scenarios. DOE provided such State-level cost-effectiveness analysis for States considering adoption of recent editions of Standard 90.1, /5/ and plans to provide similar analysis for the 2013 edition by December 31, 2014.

   FOOTNOTE 5 Thornton et al., Cost-Effectiveness of ASHRAE Standard 90.1-2010 Compared to ASHRAE Standard 90.1-2007 (PNNL, Richland, WA (US), November 2013), available at END FOOTNOTE

   In preparation for future technical assistance activities, DOE is interested in receiving stakeholder feedback on the Department's practice of providing cost-effectiveness analysis to support State energy code adoption. DOE has issued past requests for information to guide the Department in establishing an appropriate methodology for evaluating the cost effectiveness of building energy codes (78 FR 47677), and expects to update this method to ensure its assumptions and economic criteria remain valid and adequate for States considering adoption of model building energy codes. DOE is specifically requesting public comments and additional information regarding the costs and benefits of the use of Standard 90.1-2013, as a whole, and appropriate methodologies for assessing costs, benefits, and cost-effectiveness in the Public Participation section of this notice.

IV. Summary of Findings

   In performing its preliminary determination, DOE performed both a qualitative and quantitative analysis of the requirements contained in the updated edition of Standard 90.1. The chosen methodology for these analyses is consistent with recent determinations actions, and provides a reasonable assessment of how the Standard will impact energy savings in commercial buildings. A summary of the analyses supporting DOE's preliminary determination is outlined in the following sections.

Qualitative Analysis

   DOE performed a comparative analysis of the textual requirements of Standard 90.1-2013, examining the specific changes (addenda) made between Standard 90.1-2010 and Standard 90.1-2013. ASHRAE publishes changes to its standards as individual addenda to the preceding Standard, and then bundles all addenda together to form the next published edition. In creating the 2013 edition, ASHRAE processed 110 total addenda. DOE evaluated each of these addenda in preparing this preliminary determination.

   Overall, DOE found that the vast majority of changes in creating Standard 90.1-2013 were positive (i.e., increased energy savings) or neutral (i.e., no direct impact on energy savings). Positive changes significantly outweigh any changes with a negative effect on energy efficiency in commercial buildings. Of the 110 total changes:

    * 52 were considered positive;

    * 53 were considered neutral; and

    * 5 were considered negative.

   Table IV.1 presents the findings resulting from the qualitative analysis, along with a description of the change, as well as an assessment of the anticipated impact on energy savings in commercial buildings. The full qualitative analysis is presented in a separate technical support document (TSD), /6/ available at

   FOOTNOTE 6 Halverson et al., ANSI/ASHRAE/IES Standard 90.1-2013 Preliminary Determination: Qualitative Analysis (PNNL, Richland, WA (US), March 2014), available at END FOOTNOTE

Table IV.1--Qualitative Analysis Findings No. Addendum to Sections affected Description of changes Impact on energy Standard within the efficiency 90.1-2010 Standard (justification) 1 90.1-2010a 10. Other Specifies that nominal Neutral (simply Equipment and 12. efficiencies for motors specifies Normative are required to be alternate rating References established in standard). accordance with DOE 10 CFR 431 instead of National Electrical Manufacturers Association (NEMA) Standards. Modifies the footnotes to Tables 10.8A, 10.8B, 10.8C (now Tables 10.8-1, 10.8-2, and 10.8-3 in Standard 90.1-2013). The corresponding reference for 10 CFR 431 has also been added 2 90.1-2010b 10. Other Requires escalators and Minor + (reduces Equipment and 12. moving walks to escalator and Normative automatically slow when moving walkway References not conveying energy). passengers. The corresponding reference to American Society of Mechanical Engineers (ASME) A17.1/CSA B44 has also been added to the Normative References 3 90.1-2010c Appendix G Adds requirements for Neutral (whole laboratory exhaust fans building to Section G3.1.1, performance Baseline HVAC System tradeoff method Type and Definition. only). Lab exhaust fans are required to be modeled as constant horsepower, reflecting constant volume stack discharge with outside air bypass 4 90.1-2010e Appendix G Updates language in Neutral (whole Section G3.1, part 5, building "Building Envelope," to performance require that existing tradeoff method buildings use the same only). envelope baseline as new buildings with the exception of fenestration area 5 90.1-2010f Appendix G Modifies Section G.3.1, Neutral (whole "Building Envelope." building Specifies the vertical performance fenestration area for tradeoff method calculating baseline only). building performance for new buildings and additions 6 90.1-2010g 6. Heating, Adds efficiency Neutral (adopts Ventilating, and requirements for Federal Air-Conditioning commercial standards). and 12. Normative refrigerators, References freezers, and refrigeration equipment. Table 6.8.1L and Table 6.8.1M (now Tables 6.8.1-12 and 6.8.1-13 in Standard 90.1-2013) have been added, which specify the energy use limits for refrigerators and freezers. The corresponding references have also been added in Chapter 12 7 90.1-2010h 6. Heating, Modifies the minimum Minor + Ventilating, and efficiency standards (increases Air-Conditioning for water-to-air heat stringency of pumps (water loop, existing ground water, and requirements). ground loop). The proposed cooling energy efficiency ratios (EERs) and heating coefficients of performance are more stringent than the present values. Also removes the small duct high velocity heat pump product class from Table 6.8.1B (now Table 6.8.1-2 in Standard 90.1-2013) 8 90.1-2010i 6. Heating, Increases the minimum Minor + Ventilating, and efficiency standards (increases Air-Conditioning for single-package stringency of and 3. vertical air existing Definitions conditioners (SPVAC) requirements). and single-package vertical heat pumps (SPVHP). Also creates a new product class for SPVAC and SPVHP used in space-constrained applications. This new product class only applies to non- weatherized products with cooling capacities <36,000 British thermal units per hour (Btu/h) and intended to replace an existing air- conditioning (AC) unit 9 90.1-2010j 6. Heating, Modifies the minimum Minor--(due to Ventilating, and efficiency requirements correction of an Air-Conditioning of evaporatively cooled error in the units, of size category previous 240,000 Btu/h to Standard). 760,000 Btu/h and heating type-other, in Table 6.8.1A (now Table 6.8.1-1 in Standard 90.1-2013). The value is reduced to account for increased pressure drop in such system types. The product class, small duct high velocity air conditioner, has been eliminated 10 90.1-2010k 8. Power and 12. Modifies notes to Table Neutral (simply Normative 8.1 and specifies that specifies References nominal efficiencies alternative would be established in rating standard). accordance with the 10 CFR 431 test procedure for low-voltage dry- type transformers. The corresponding references have also been added in Chapter 12 11 90.1-2010l 6. Heating, Clarifies fan power Neutral Ventilating, and limitations contained (editorial Air-Conditioning in Standard 90.1-2010 correction). that required the user to perform calculations for fan brake horsepower (bhp) even if the simplified nameplate horsepower (hp) option was being used 12 90.1-2010m 9. Lighting Adds some control Major + (adds requirements for control lighting alterations, requirements for for interior and lighting exterior applications. alterations). Adds a section for submittals and includes loading docks as a tradable surface. Modifies the provisions for additional interior lighting power, which would now be calculated on the basis of controlled wattage 13 90.1-2010n 10. Other Clarifies that the Neutral Equipment total lumens per watt (clarification for the entire elevator only). cab is required to meet the efficiency requirement and that each individual light source is not required to meet the lumens per watt value 14 90.1-2010o 5. Building Adds the definition for Minor + (reduces Envelope and 3. sectional garage doors. air leakage in Definitions Also modifies Section glazed sectional (d), garage doors). "fenestration air leakage provisions for doors," to include requirements for glazed sectional garage doors 15 90.1-2010p 5. Building Modifies Section Neutral (simply Envelope and 12. and requires specifies an Normative roof solar reflectance alternative References and thermal emittance rating standard). testing to be in accordance with Cool Roof Rating Council (CRRC)-1 Standard. Also modifies Section 12 by adding the reference for CRRC 16 90.1-2010q 5. Building Modifies Section 3 by Neutral Envelope, 3. changing the definition (clarification Definitions, and of dynamic glazing to only). 12. Normative include glazing systems References or infill as well as shading systems between glazing layers and chromogenic glazing. Also modifies Section by clarifying the requirements for labeling of fenestration and door products. The corresponding references to National Fenestration Rating Council (NFRC) in Chapter 12 have also been updated 17 90.1-2010r Appendix G and Clarifies the Neutral (whole 12. Normative requirements related to building References temperature and performance humidity control in tradeoff method Appendix G and only). relocates all related wording to the "Schedules" section of Table 3.1. Additionally, clarity is provided for modeling systems that provide occupant thermal comfort via means other than directly controlling the air dry-bulb and wet-bulb temperature (i.e., radiant cooling/heating, elevated air speed, etc.). Permits the use of ASHRAE Standard 55 for calculation of Predicted Mean Vote- Predicted Percentage Dissatisfied (PMV-PPD). Also updates the Normative References by including a reference to ASHRAE Standard 55- 2010 18 90.1-2010s 6. Heating, Modifies the Minor + (ensures Ventilating, and requirement for the savings from Air-Conditioning static pressure sensor static pressure location and the reset are control requirements achieved). for setpoint reset for systems with direct digital control (DDC) of individual zones. Ensures that savings from previously required static pressure reset will be realized 19 90.1-2010u 6. Heating, Adds new definition as Major + (applies Ventilating, and Fan Efficiency Grade new requirements Air-Conditioning, (FEG) and requires each to individual 3. Definitions, fan have a FEG of 67 or fans). and 12. Normative higher as defined by References Air Movement and Control Association (AMCA) 205-10, "Energy Efficiency Classification for Fans." 20 90.1-2010v 8. Power Clarifies the Neutral requirement for (clarification controlled receptacles only). in open offices applications by changing the requirement to the workstations themselves. Also requires the automatically controlled receptacles to be appropriately identified for the user's benefit 21 90.1-2010w 3. Definitions, Adds definitions for Neutral (whole 11. Energy Cost on-site renewable building Budget Method, energy and purchased performance and Appendix G energy. Clarifies the tradeoff method process for accounting only). for on-site renewable energy and purchased energy as well as calculating the annual energy costs in the ECB approach and Appendix G 22 90.1-2010y 3. Definitions Revises the definitions Neutral (adopts and 10. Other of general purpose Federal Equipment electric motors standards). (subtype I & II) based on information from NEMA. Also updates the Standard to include the new Federal energy efficiency standards used in HVAC equipment, to be in effect from 2015. Adds Table 10.8D (now Table 10.8-4 in Standard 90.1-2013), which specifies minimum average full-load efficiency for Polyphase Small Electric Motors; and Table 10.8E (now Table 10.8-5 in Standard 90.1-2013), which specifies minimum average full-load efficiency for Capacitor-Start Capacitor-Run and Capacitor-Start Induction-Run Small Electric Motors 23 90.1-2010z 6. Heating, Relocates the Neutral Ventilating, and requirements for water (editorial only). Air-Conditioning economizers into the main economizer section, Section 24 90.1-2010aa 6. Heating, Eliminates the Minor + (requires Ventilating, and contingency on DDC additional HVAC Air-Conditioning system existence for controls). and 3. setpoint overlap Definitions restrictions, humidification and dehumidification controls, variable air volume (VAV) fan control setpoint reset, multiple-zone VAV system ventilation optimization control, hydronic system differential pressure reset by valve position. Instead specifies for what system types or sizes DDC is required in new buildings and alterations. Also specifies minimal functional requirements for DDC systems. (Prior to this addendum certain controls requirements were only required when the controls were provided by a DDC system.) 25 90.1-2010ad 12. Normative Adds reference to Neutral (updates References specific addenda to references only). Air-Conditioning, Heating, and Refrigeration Institute (AHRI) standards 340/360 and 1230 being referenced 26 90.1-2010ae 12. Normative Adds reference to Neutral (updates References specific addenda to references only). AHRI standards 210/240 and 550/590 being referenced 27 90.1-2010af 6. Heating, Modifies heat rejection Minor + (reduces Ventilating, and equipment (cooling cooling tower Air-Conditioning tower) requirements to energy usage). require that variable speed drive controlled fans operate all fans at the same speed instead of sequencing them, and require that open-circuit towers with multiple cells operate all cells in parallel down to 50% of design flow 28 90.1-2010ag Appendix G and Establishes a method Neutral (whole 12. Normative for gaining credit in building References Appendix G for performance buildings that undergo tradeoff method whole building air only). leakage testing to demonstrate that they have an airtight building 29 90.1-2010ah Appendix G Sets system sizing Neutral (whole requirements in building Appendix G for humid performance climates based on tradeoff method humidity ratio instead only). of supply air temperature differential. Sets baseline system dehumidification requirements 30 90.1-2010ai Appendix G Modifies Appendix G to Neutral (whole account for three building prescriptive addenda performance that were incorporated tradeoff method into Standard 90.1- only). 2010, but did not make it into Appendix G in time for publication. Updates economizer requirements to match addendum cy, establishes baseline transformer efficiency requirements to match addendum o, and establishes path A for centrifugal chiller baselines from addendum m 31 90.1-2010aj 6. Heating, Requires fractional Minor + (reduces Ventilating, and horsepower motors fractional Air-Conditioning >/=1/12 hp to be horsepower motor electronically energy usage). commutated motors or have a minimum 70% efficiency in accordance with DOE 10 CFR 431. Also requires adjustable speed or other method to balance airflow 32 90.1-2010al Appendix G Establishes a Neutral (whole consistent fuel source building for space heating for performance baseline systems based tradeoff method on climate zone. only). Establishes a consistent fuel source for service water heating (SWH) based on building type 33 90.1-2010am 6. Heating, Establishes minimum Major + (reduces Ventilating, and turndown for boilers energy usage for Air-Conditioning and boiler plants with large boilers). design input power of at least 1,000,000 Btu/h 34 90.1-2010an Appendix C Rewrites entire Neutral Appendix C to use a (alternative simulation based compliance method approach for envelope only). tradeoffs 35 90.1-2010ap 6. Heating, Adds power usage Neutral Ventilating, and effectiveness (PUE) as (alternative Air-Conditioning an alternative compliance method and 3. compliance methodology only). Definitions for data centers 36 90.1-2010aq 6. Heating, Expands the Major + (reduces Ventilating, and requirements for fan fan energy Air-Conditioning speed control for both usage). and 11.Energy chilled water and Cost Budget unitary direct expansion systems. In addition enhances the requirements for integrated economizer control and defines direct expansion unit capacity staging requirements 37 90.1-2010ar 6. Heating, Adds mandatory and Neutral (adopts Ventilating, and prescriptive Federal Air-Conditioning requirements for walk- standards). and 3. in coolers and freezers Definitions and refrigerated display cases 38 90.1-2010as 6. Heating, Requires humidifiers Minor + (reduces Ventilating, and mounted in the humidification Air-Conditioning airstream to have an energy usage). automatic control valve shutting off preheat when humidification is not required, and insulation on the humidification system dispersion tube surface. (Avoidance of simultaneous heating and cooling at air- handling unit.) 39 90.1-2010at 3. Definitions, Deletes the term Neutral 5. Building "clerestory" and (clarification Envelope, and 9. instead adds "roof only). Lighting monitor" and clarifies the definition. Changes the references in Chapters 5 and 9 from clerestory to roof monitor 40 90.1-2010au 6. Heating, Modifies Table Minor + Ventilating, and, which (restricts sound Air-Conditioning addresses fan power attenuation limitation pressure credit and adds drop adjustment deductions for credits. Deductions certain systems). from allowed fan power are added for systems without any central heating or cooling as well as systems with electric resistance heating. Sound attenuation credit is modified to be available only when there are background noise criteria requirements 41 90.1-2010av 6. Heating, Modifies Section 6.5.1, Minor + (reduces Ventilating, and exception k, applicable number of Air-Conditioning to Tier IV data exceptions). centers, to make economizer exceptions more stringent and in agreement with ASHRAE TC 9.9 42 90.1-2010aw 11. Energy Cost Updates the reference Neutral (whole Budget and year for ASHRAE building Appendix G Standard 140 and performance exempts software used tradeoff method for ECB and Appendix G only). compliance from having to meet certain sections of ASHRAE Standard 140 43 90.1-2010ax Appendix G Modifies Table G3.1, Neutral (whole Part 14 of Appendix G building to exclude the performance condition that permits tradeoff method a building surface, only). shaded by an adjacent structure, to be simulated as north facing if the simulation program is incapable of simulating shading by adjacent structures 44 90.1-2010ay 3. Definitions Modifies daylighting Minor + (requires and 9. Lighting requirements. Modifies additional definitions for controls). daylight area under skylights, daylight area under roof monitors, primary sidelight area, and secondary sidelight area. Changes the criterion for applying automatic daylighting control for sidelighting and toplighting to a controlled lighting power basis and provides characteristics for the required photo controls. Adds control requirements for secondary sidelighted areas. Modifies Table 9.6.2 to include continuous dimming in secondary sidelighted areas, which is now based on an installed wattage rather than area of the space. Eliminates the need for effective aperture calculation 45 90.1-2010az 6. Heating, Increases the minimum Minor + (increase Ventilating, and efficiency of open efficiency of Air-Conditioning circuit axial fan cooling towers). cooling towers. An additional requirement has been added for all types of cooling towers which states that the minimum efficiency requirements applies to the tower including the capacity effect of accessories which affect thermal performance. An additional footnote clarifies that the certification requirements do not apply to field erected cooling towers 46 90.1-2010ba 6. Heating, Adds requirements for Minor + (reduces Ventilating, and door switches to heating and Air-Conditioning disable or reset cooling when mechanical heating or doors are left cooling when doors open). without automatic door closers are left open 47 90.1-2010bb 3. Definitions, Modifies the building Major + 5. Building envelope requirements (increases Envelope, 11. for opaque assemblies stringency of Energy Cost and fenestration in building envelope Budget Method, tables 5.5.1 through requirements). and Appendix A 5.5.8. Adds and modifies text in Section 5. Adds new visible transmittance (VT) requirement through Section Also updates the NFRC 301 reference, references in Section 11, and modifies two metal building roof assemblies in Table A2.3 48 90.1-2010bc 9. Lighting Modifies requirements Minor + (requires for automatic lighting automatic control control for guestroom of lighting and type spaces. Exceptions switched to this requirement are receptacles in lighting and switched hotel rooms). receptacles controlled by captive key systems 49 90.1-2010bd 9. Lighting Adds more specific Minor + (improves requirements for the functional functional testing of testing of lighting controls, lighting specifically, occupancy controls). sensors, automatic time switches, and daylight controls 50 90.1-2010be 9. Lighting Makes minor revisions Neutral to Section, (clarification which addresses the only). scope of the operating and maintenance manuals required for lighting equipment and controls 51 90.1-2010bf 8. Power Addresses Section 8.4.2 Minor + (reduces on automatic receptacle plug loads). control and increases the spaces where plug shutoff control is required. Clarifies the application of this requirement for furniture systems, lowers the threshold for turn off from 30 to 20 minutes, states a labeling requirement to distinguish controlled and uncontrolled receptacles and restricts the use of plug-in devices to comply with this requirement 52 90.1-2010bg 5. Building Adds low-emissivity Minor + (requires Envelope (low-E) requirements low-E storm for storm window windows in retrofits retrofits). 53 90.1-2010bh 9. Lighting Modifies Table 9.6.1 Minor + (overall Space-By-Space Lighting lighting power Power Density allowance densities are reduced). 54 90.1-2010bi 6. Heating, Increases seasonal Minor + Ventilating, and energy efficiency ratio (increases Air-Conditioning and heating seasonal stringency of performance factor for existing air-cooled commercial requirements). air conditioners and heat pumps below 65,000 Btu/h. (Effective 1/1/2015) 55 90.1-2010bj 6. Heating, Re-establishes the Neutral (re- Ventilating, and product class for small establishes Air-Conditioning duct high velocity air efficiency conditioners and heat requirements that pumps. Adds efficiency do not meet the requirements for level of Federal systems at <65.000 standards). Btu/h below level of current Federal standards 56 90.1-2010bk 6. Heating, Increases cooling Minor + Ventilating, and efficiency for packaged (increases Air-Conditioning terminal air stringency of conditioners existing requirements). 57 90.1-2010bl 11. Energy Cost Provides rules for Neutral (whole Budget and removing fan energy building Appendix G from efficiency metrics performance when modeling in ECB or tradeoff method Appendix G only). 58 90.1-2010bn 8. Power and 10. Establishes electric Neutral (metering Other Equipment and fuel metering by itself does requirements not save energy). 59 90.1-2010bo 7. Service Water Requires buildings with Minor + (requires Heating SWH capacity large new gas SWH >/=1million Btu/h to systems to have have average thermal higher average efficiency of at least efficiency). 90%. Updates Table 7.8 to reflect Federal requirements for electric water heaters. Updates the reference standard for swimming pool water heaters to ASHRAE Standard 146 60 90.1-2010bp 6. Heating, Adds efficiency Minor + (adds Ventilating, and requirements (Btu/h-hp) efficiency Air-Conditioning to Table 6.8.1G (now requirements for and 12. Normative Table 6.8.1-7 in new products). References Standard 90.1-2013) for evaporative condensers with ammonia refrigerants 61 90.1-2010bq 6. Heating, Adds prescriptive Major + (adds new Ventilating, and requirements for the efficiency Air-Conditioning efficiency and improved requirements for and 3. control of commercial commercial Definitions refrigeration systems refrigeration). 62 90.1-2010br 10. Other Updates motor Neutral Equipment efficiency tables (implements Federal standards). 63 90.1-2010bs 6. Heating, Reduces occupancy Minor + (reduces Ventilating, and threshold for demand ventilation Air-Conditioning controlled ventilation energy usage). from greater than 40 people per 1000 ft *2 to equal to or greater than 25 people per 1000 ft *2 with exemptions for certain occupancies 64 90.1-2010bt 6. Heating, Reduces the system size Minor + (expands Ventilating, and and outdoor air the use of Air-Conditioning thresholds at which exhaust air energy recovery is energy recovery required. (Relaxed in to lower percent some climate zones) outdoor air). 65 90.1-2010bv 5. Building Reduces the area Minor + (reduces Envelope threshold at which lighting energy skylights and usage). daylighting controls are required 66 90.1-2010bw 5. Building Modifies orientation Minor + (provides Envelope and 11. requirements and adds design Energy Cost solar heat gain flexibility). Budget Method coefficient tradeoff 67 90.1-2010bx 9. Lighting Clarifies exceptions to Neutral occupancy sensor (clarification requirements only). 68 90.1-2010by 9. Lighting Significantly modifies Major + (requires the way requirements more controls in are presented in more spaces and Section 9. Requires the reduces time to use of certain lighting reduction or controls in more space shutoff). types. Reduces the amount of time after occupants vacate a space for lights to be automatically reduced or shut off. Establishes table of lighting controls applicable to each space type 69 2007 90.1bz 8. Power Adds a Section 8.4.2, Neutral (metering which specifies by itself does requirements for not save energy). installation of basic electrical metering of major end uses (total electrical energy, HVAC systems, interior lighting, exterior lighting and receptacle circuits) to provide basic reporting of energy consumption data to building occupant 70 90.1-2010ca 6. Heating, Adds control Minor + (reduces Ventilating, and requirements for vestibule heating Air-Conditioning heating systems in energy usage). vestibules 71 90.1-2010cb 6. Heating, Revises night setback Minor + (expands Ventilating, and requirements to a reset heating and Air-Conditioning of 10 [degrees] F cooling heating and 5 setbacks). [degrees] F cooling and removes exceptions for climate zones. Changes optimum start requirement from >10,000 cubic feet per minute to any DDC system and adds a requirement that outside air temperature be used in optimum algorithms 72 90.1-2010cc 6. Heating, Adds efficiency Minor + (adds Ventilating, and requirements (Btu/h-hp) efficiency Air-Conditioning to Table 6.8.1G (now requirements for Table 6.8.1-7 in new products). Standard 90.1-2013) for evaporative condensers with R-507A 73 90.1-2010cd 6. Heating, Provides definition for Neutral Ventilating, and "piping" to include all (editorial only). Air-Conditioning, accessories in series 7. Service Water with pipe such as Heating, and 3. pumps, valves, Definitions strainers, air separators, etc. This is meant to clarify that these accessories need to be insulated 74 90.1-2010ce Appendix G Establishes a baseline Neutral (whole system type for retail building occupancies less than performance three stories in tradeoff method Appendix G only). 75 90.1-2010cf Appendix G Establishes baseline Neutral (whole window-to-wall ratio in building Appendix G for strip performance malls tradeoff method only). 76 90.1-2010cg 11. Energy Cost Modifies the simulation Neutral (whole Budget and requirements for building Appendix G modeling mandatory performance automatic daylighting tradeoff method controls as well as only). automatic lighting controls. Also modifies the simulation requirements for automatic lighting controls in the proposed design, beyond the minimum mandatory requirements. Table G3.2, which provided power adjustment percentages for automatic lighting controls, has been deleted and savings through automatic control devices are now required to be modeled in building simulation through schedule adjustments for the proposed design or by lighting power adjustments defined in Table 9.6.3 77 90.1-2010ch 6. Heating, Increases air- and Minor + Ventilating, and water-cooled chiller (increases Air-Conditioning efficiencies in Table stringency of 6.8.1C (now Table existing 6.8.1-3 in Standard requirements). 90.1-2013). Exempts water-cooled positive displacement chillers with leaving condenser temperature >/= 115 [degrees] F (typically heat reclaim chillers) 78 90.1-2010ci 3. Definitions, Modifies requirements Neutral (whole 11. Energy Cost for the cooling tower building Budget, and fans in Chapter 11 performance Appendix G baseline simulations, tradeoff method from two-speed to only). variable speed. A formula has been specified to calculate the condenser water design supply temperature. Similar revisions have been made to Appendix G for the cooling tower requirements. Definitions for cooling design wet-bulb temperature and evaporation design wet- bulb temperature have been added to Chapter 3 79 90.1-2010cj Appendix G Creates modeling rules Neutral (whole for computer rooms in building Appendix G performance tradeoff method only). 80 90.1-2010ck 6. Heating, Requires VAV dual Minor + (requires Ventilating, and maximum damper position dual maximum Air-Conditioning when DDC system is control for VAV present and clarifies zones with DDC. dual maximum sequence 81 90.1-2010cl 6. Heating, Increases integrated Minor + Ventilating, and energy efficiency ratio (increases Air-Conditioning requirements for air- stringency of cooled air conditioners existing and heat pumps and EER requirements). requirements for water and evaporatively cooled air conditioners and heat pumps in Tables 6.8.1A and B (now Tables 6.8.1-1 and 6.8.1-2 in Standard 90.1-2013) 82 90.1-2010cm 5. Building Clarifies how to Neutral Envelope interpret the use of (clarification dynamic glazing only). products given the requirements in Addendum bb (envelope requirements) 83 90.1-2010cn Appendix G Establishes modeling Neutral (whole rules for laboratories building with 100% outside air performance in Appendix G tradeoff method only). 84 90.1-2010co 9. Lighting Comprehensive update of Major + LPDs in Table 9.5.1-- (decreases LPD in Building Area Method most building types). 85 90.1-2010cp 5. Building Corrects non- Minor + Envelope residential U-factor (increases R and R value value requirements for steel requirements for joist floors in CZ3 steel joist floors). 86 90.1-2010cr 9. Lighting and Makes a number of Minor + (plus on 12. Normative adjustments to Table retail outweighs References 9.6.1, Space-by-space some negatives on LPD other building types). 87 90.1-2010ct Appendix G Identifies heated only Neutral (whole storage systems 9 and building 10 in Appendix G as performance being assigned one tradeoff method system per thermal zone only). 88 90.1-2010cv Appendix G Establishes baseline Neutral (whole system types in building Appendix G for Assembly performance occupancies tradeoff method only). 89 90.1-2010cy 6. Heating, Reduces the design Minor + (applies Ventilating, and supply fan air flow energy recovery Air-Conditioning rate for which energy requirements to recovery is required smaller fan for systems that systems). operate more than 8,000 hours per year 90 90.1-2010cz 6. Heating, Increases boiler Neutral (adopts Ventilating, and efficiency for Federal Air-Conditioning residential sized standards). (National Appliance Energy Conservation Act covered) equipment, <3,000 Btu/h 91 90.1-2010da 5. Building Relaxes air leakage Minor - (relaxes Envelope requirements for high- air leakage speed doors for vehicle requirements for access and material high-speed transport doors). 92 90.1-2010db 5. Building Corrects residential U- Minor - (relaxes Envelope factor and R-value steel joist floor requirements for steel requirements in joist floors in CZ3 CZ3). 93 90.1-2010dc 9. Lighting Clarifies automatic Neutral lighting and switched (clarification receptacle control in only). guest rooms as applied to individual spaces 94 90.1-2010dd 5. Building Clarifies roof Neutral Envelope and 3. insulation (clarification Definitions requirements, only). differentiating between roof recovering (on top of existing roof covering) and replacement of roof covering 95 90.1-2010de 6. Heating, Relaxes design Minor - (relaxes Ventilating, and requirements for economizer Air-Conditioning waterside economizers requirements for for computer rooms computer rooms). 96 90.1-2010dg 12. Normative Updates reference to Neutral (updates References ANSI/CRRC-l Standard references only). (related to 5. 2012 (cool roof Building ratings) Envelope) 97 90.1-2010di 6. Heating, Establishes limits on Minor + (reduces Ventilating, and using electric or humidification Air-Conditioning fossil fuel to humidify energy usage). or dehumidify between 30% and 60% relative humidity except certain applications. Requires deadband on humidity controls 98 90.1-2010dj 9. Lighting Additional lighting Neutral (tradeoff power allowance for of additional electrical/mechanical lighting power rooms made available to for additional match 2010 level control). provided there is separate control for the additional lighting 99 90.1-2010dk 9. Lighting Eliminates the Minor + (trades exemption for wattage blanket exemption used in spaces where for more targeted lighting is LPD increases). specifically designed for those with age- related eye conditions or other medical conditions related to the eye, where special lighting or light levels might be needed 100 90.1-2010dl 9. Lighting Modifies hotel and Minor + (new motel guest room LPD average LPD less than previous requirements). 101 90.1-2010dm 5. Building Modifies Section Minor + (reduces Envelope for vestibules. vestibule energy Adds a size limit for usage). large buildings, exemptions for semi- heated spaces and elevator lobbies in parking garages 102 90.1-2010dn 6. Heating, Reduces the limits on Minor + (reduces Ventilating, and hot gas bypass as a hot gas bypass). Air-Conditioning means of cooling capacity control 103 90.1-2010do 12. Normative Updates references to Neutral (updates References AHRI 550, AMCA 500, references only). (related to 6. ANSI Z21.10.3 and Heating, Z21.47, ASHRAE 90.1 and Ventilating, and 62.1, NEMA MG 1, and Air-Conditioning) NFPA 70 and 96 104 90.1-2010dp 3. Definitions Corrects the definition Neutral (related to 6. of walk-in-cooler to be (editorial only). Heating, consistent with Federal Ventilating, and requirements Air-Conditioning) 105 90.1-2010dq 6. Heating, Deletes sizing Minor - Ventilating, and requirements for pipes (eliminates Air-Conditioning >24 inches in diameter sizing requirements for pipes above 24" in diameter). 106 90.1-2010dr 3. Definitions Clarifies definition of Neutral (related to 5. building entrances to (clarification Building exclude electrical only). Envelope) room, mechanical rooms, and other utility service entrances 107 90.1-2010ds 5. Building Corrects the Neutral Envelope and 3. definitions of "primary (editorial only). Definitions sidelighted area," "secondary sidelighted area," and "sidelighting effective area" to use the term "vertical fenestration" instead of "window" to clarify that glazed doors and other fenestration products are included as well as windows. Additionally, the definition of "daylight area under rooftop monitors" is corrected to include the spread of light beyond the width of the rooftop monitor glazing 108 90.1-2010dt 9. Lighting Adds exceptions for Minor + control of exterior (expansion of lighting integral to requirement to signage. Requires all signage may certain types of outweigh addition exterior lighting of exception). exempt from LPD requirements to be separately controlled 109 90.1-2010dv 6. Heating, Establishes chiller and Minor + (reduces Ventilating, and boiler fluid flow off hour chiller Air-Conditioning isolation requirements and boiler energy so there is no flow use). through the equipment when not in use 110 90.1-2010dw 6. Heating, Revises high limit Minor + (adds Ventilating, and shutoff for air sensor accuracy Air-Conditioning economizers. Add sensor requirements). accuracy requirements Key: The following terms are used to characterize the effect of individual addenda on energy efficiency (as contained in the above table): Major + indicates that an addendum is anticipated to significantly improve energy efficiency; Minor + indicates that an addendum may improve energy efficiency in specific applications, Neutral indicates that an addenda is not anticipated to impact energy efficiency; and Minor - indicates that an addendum may increase energy use in certain applications.

   Table IV.2 summarizes the overall impact of the addenda in the qualitative analysis. Overall, the sum of the major positive and minor positive addenda (i.e., 52 addenda) greatly overwhelms the number of minor negative addenda (i.e., five addenda), leading to the qualitative conclusion that the overall impact of the addenda on the Standard is positive. GOES

Table IV.2--Overall Summary of Addenda Impact in Qualitative Analysis Major negative Minor Neutral Minor Major Total negative positive positive None 5 53 44 8 110

Quantitative Analysis

   The quantitative analysis of Standard 90.1-2013 was carried out using whole-building energy simulations of buildings designed to meet the requirements of Standard 90.1-2010 and Standard 90.1-2013. DOE simulated 16 representative building types across 15 U.S. climate locations, with locations selected to be representative of all U.S climate zones, as defined by Standard 90.1-2010 and Standard 90.1-2013 (climate zone criteria unchanged between the 2010 and 2013 editions). In addition, energy use intensities (EUIs) by fuel type and by end-use were extracted for each building type, and weighted by the relative square footage of construction (represented by that building type in each of the 15 climate regions) based on the McGraw Hill Construction (MHC) Projects Starts Database. /7/ The data is commonly used by other Federal agencies, such as the U.S. Census Bureau, the Federal Reserve, and the U.S. Department of Health and Human Services (HHS), to characterize U.S. building construction. In addition, the MHC database identifies multi-family residential buildings that would be covered under the scope of Standard 90.1.

   FOOTNOTE 7 Based on McGraw Hill Construction Projects Starts Database; see Weighting Factors for the Commercial Building Prototypes Used in the Development of ANSI/ASHRAE/IESNA Standard 90.1-2010 by Jarnagin, RE and GK Bandyopadhyay. 2010. PNNL-19116, Pacific Northwest National Laboratory, Richland, WA. Available at END FOOTNOTE

   EUIs developed for each representative building type are weighted by total national square footage of each representative building type to estimate the difference between the national energy use in buildings constructed to the 2010 and 2013 editions of Standard 90.1. Note that the buildings types used in the quantitative analysis reflect approximately 80% of the total square footage of commercial construction, including multi-family buildings greater than three stories that are covered within the scope of ASHRAE Standard 90.1.

   The preliminary quantitative analysis of buildings designed to meet the requirements of Standard 90.1-2013 indicates national primary energy savings of approximately 8.5 percent of commercial building energy consumption (in comparison to Standard 90.1-2010). Site energy savings over Standard 90.1-2010 are estimated to be approximately 7.6 percent. Using national average fuel prices for electricity and natural gas, DOE also estimates a reduction in energy expenditures of 8.7 percent compared to Standard 90.1-2010.

   Table IV.3 and Table IV.4 show the energy use and associated savings resulting from Standard 90.1-2013 by building type and on an aggregated national basis. Further details on the quantitative analysis can be found in the full technical support document (TSD) /8/ available at

   FOOTNOTE 8 Halverson et al., ANSI/ASHRAE/IES Standard 90.1-2013 Preliminary Determination: Quantitative Analysis (PNNL, Richland, WA (US), March 2014), available at END FOOTNOTE

Table IV.3--Estimated Energy Use Intensity by Building Type [Standard 90.1-2010] Whole building EUI Building Prototype Floor area Site EUI Source EUI ECI ( $/ft type (percent) (kBtu/ft (kBtu/ft *2 -yr) *2 -yr) *2 -yr) Office Small Office 5.61 6.05 33.0 36.8 100.4 105.9 $0.99 1.03 Medium Office 3.33 71.9 210.7 2.06 Large Office Retail Stand-Alone 15.25 5.67 53.4 60.4 142.9 164.1 1.38 1.58 Retail Strip Mall Education Primary School 4.99 10.36 59.0 47.7 151.1 130.3 1.44 1.26 Secondary School Healthcare Outpatient 4.37 3.45 120.0 131.0 324.3 321.1 3.13 3.04 Health Care Hospital Lodging Small Hotel 1.72 4.95 63.6 96.7 148.8 217.7 1.40 2.03 Large Hotel Warehouse Non-Refrigerated 16.72 18.2 43.2 0.41 Warehouse Food Service Fast-Food 0.59 0.66 591.5 383.9 1051.7 9.27 6.69 Restaurant Sit- 742.7 Down Restaurant Apartment Mid-Rise 7.32 8.97 46.3 50.4 131.4 124.9 1.28 1.19 Apartment High- Rise Apartment National 100 58.5 148.9 1.42

Table IV.4--Estimated Energy Use Intensity by Building Type [Standard 90.1-2013] Whole building EUI Building Prototype Floor area Site EUI Source EUI ECI type (percent) (kBtu/ft (kBtu/ft ( $/ft *2 *2 -yr) *2 -yr) -yr) Office Small Office 5.61 29.4 89.3 $0.88 Medium Office 6.05 34.1 97.9 0.95 Large Office 3.33 70.8 205.8 2.01 Retail Stand-Alone 15.25 45.9 124.6 1.20 Retail 5.67 55.1 147.3 1.42 Strip Mall Education Primary School 4.99 54.2 134.4 1.28 Secondary School 10.36 41.7 111.9 1.08 Healthcare Outpatient 4.37 115.8 311.8 3.00 Health Care 3.45 123.7 300.7 2.85 Hospital Lodging Small Hotel 1.72 60.0 137.6 1.29 Large Hotel 4.95 89.0 195.4 1.81 Warehouse Non-Refrigerated 16.72 17.1 40.6 0.38 Warehouse Food Service Fast-Food 0.59 576.4 1001.9 8.78 Restaurant 0.66 372.5 713.5 6.41 Sit-Down Restaurant Apartment Mid-Rise 7.32 43.9 124.8 1.21 Apartment 8.97 46.9 114.4 1.08 High-Rise Apartment National 100 54.1 136.2 1.30

   Table IV.5 presents the estimated energy savings (based on percent change in EUI) associated with Standard 90.1-2013. Overall, the updated Standard is expected to increase the energy efficiency of commercial buildings, as represented in Table IV.5. GOES

Table IV.5--Quantitative Analysis Findings Savings in whole-building EUI (percent) Building type Prototype Floor Site EUI Source ECI area EUI (percent) Office Small Office 5.61 11.0 11.0 11.0 Medium Office 6.05 7.4 7.5 7.5 Large Office 3.33 1.4 2.4 2.5 Retail Stand-Alone Retail 15.25 13.9 12.8 12.6 Strip Mall 5.67 8.8 10.2 10.5 Education Primary School 4.99 8.1 11.0 11.5 Secondary School 10.36 12.6 14.1 14.4 Healthcare Outpatient Health Care 4.37 3.6 3.9 3.9 Hospital 3.45 5.6 6.4 6.5 Lodging Small Hotel 1.72 5.7 7.5 7.9 Large Hotel 4.95 8.0 10.2 10.7 Warehouse Non-Refrigerated 16.72 6.0 6.1 6.1 Warehouse Food Service Fast Food Restaurant 0.59 2.6 4.7 5.3 Sit-Down Restaurant 0.66 3.0 3.9 4.2 Apartment Mid-Rise Apartment 7.32 5.4 5.1 5.0 High-Rise Apartment 8.97 6.9 8.4 8.7 National 100 7.6 8.5 8.7

V. Preliminary Determination Statement

   Review and evaluation of the 2010 and 2013 editions of Standard 90.1 indicate that there are significant differences between the two editions. Qualitative analysis of the updated Standard reveals that a majority of the addenda are anticipated to result in significant energy savings. In addition, quantitative analysis of the Standard indicates source and site energy savings of 8.5 percent and 7.6 percent, respectively. DOE has rendered the preliminary conclusion that Standard 90.1-2013 will improve energy efficiency in commercial buildings, and, therefore, should receive an affirmative determination under Section 304(b) of ECPA.

VI. State Certification

   If today's determination is finalized, each State would be required to review and update, as necessary, the provisions of its commercial building energy code to meet or exceed the provisions of the 2013 edition of Standard 90.1. (42 U.S.C. 6833(b)(2)(B)(i)) This action would be required not later than 2 years from the date of the final determination notice, unless an extension is provided.

State Review and Update

   DOE recognizes that some States do not have a State commercial building energy code, or have a State code that does not apply to all commercial buildings. If local building energy codes regulate commercial building design and construction (rather than a State code), the State must review and make all reasonable efforts to update, as authorized, those local codes to determine whether they meet or exceed the 2013 edition of Standard 90.1. States may base their certifications on reasonable actions by units of general-purpose local government. Each such State must review the information obtained from the local governments, and gather any additional data and testimony in preparing its own certification.

   The applicability of any State revisions to new or existing buildings would be governed by the State building codes. States should be aware that the DOE considers high-rise (greater than three stories) multi-family residential buildings as commercial buildings for energy code purposes, as is consistent with the scope of Standard 90.1. Consequently, commercial buildings, for the purposes of certification, would include high-rise multi-family residential buildings, hotels, motels, and other transient residential building types of any height.

State Certification Statements

   Section 304(b) of ECPA, as amended, requires each State to certify to the Secretary of Energy that it has reviewed and updated the provisions of its commercial building energy code regarding energy efficiency to meet or exceed the Standard 90.1-2013. (42 U.S.C. 6833(b)) The certification must include a demonstration that the provisions of the State's commercial building energy code regarding energy efficiency meets or exceeds Standard 90.1-2013. If a State intends to certify that its commercial building energy code already meets or exceeds the requirements of Standard 90.1-2013, the State should provide an explanation of the basis for this certification (e.g., Standard 90.1-2013 is incorporated by reference in the State's building code regulations). The chief executive of the State (e.g., the governor), or a designated State official (e.g., director of the State energy office, State code commission, utility commission, or equivalent State agency having primary responsibility for commercial building energy codes), would provide the certification to the Secretary. Such a designated State official would also provide the certifications regarding the codes of units of general purpose local government based on information provided by responsible local officials.

   The DOE Building Energy Codes Program tracks and reports State code adoption and certifications. /9/ Once a State has adopted a new commercial code, DOE typically provides software, training, and support for the new code as long as the new code is based on the national model code (i.e., ASHRAE Standard 90.1-2013). DOE recognizes that some States develop their own codes that are only loosely related to the national model codes, and DOE does not typically provide technical support for those codes. However, DOE does provide incentive funding (e.g., grants) to these States through the State Energy Program. DOE does not prescribe how each State adopts and enforces its energy codes.


Requests for Extensions

   Section 304(c) of ECPA requires that the Secretary permit an extension of the deadline for complying with the certification requirements described above, if a State can demonstrate that it has made a good faith effort to comply with such requirements and that it has made significant progress toward meeting its certification obligations. (42 U.S.C. 6833(c)) Such demonstrations could include one or both of the following: (1) A plan for response to the requirements stated in Section 304; or (2) a statement that the State has appropriated or requested funds (within State funding procedures) to implement a plan that would respond to the requirements of Section 304 of ECPA. This list is not exhaustive. Requests are to be sent to the address provided in the ADDRESSES section above, or may be submitted to

VII. Regulatory Review and Analysis

Review Under Executive Orders 12866 and 13563

   Today's action is not a significant regulatory action under Section 3(f) of Executive Order 12866, "Regulatory Planning and Review" (58 FR 51735). Accordingly, today's action was not reviewed by the Office of Information and Regulatory Affairs (OIRA) in the Office of Management and Budget (OMB). DOE has also reviewed this regulation pursuant to Executive Order 13563, issued on January 18, 2011. (76 FR 3281). Executive Order 13563 is supplemental to and explicitly reaffirms the principles, structures, and definitions governing regulatory review established in Executive Order 12866.

Review Under the Regulatory Flexibility Act

   The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires the preparation of an initial regulatory flexibility analysis for any rule that by law must be proposed for public comment, unless the agency certifies that the rule, if promulgated, will not have a significant economic impact on a substantial number of small entities. As required by Executive Order 13272, "Proper Consideration of Small Entities in Agency Rulemaking" (67 FR 53461), DOE published procedures and policies on February 19, 2003, to ensure that the potential impacts of its rules on small entities are properly considered during the rulemaking process. (68 FR 7990) DOE has also made its procedures and policies available on the Office of General Counsel Web site. /10/

   FOOTNOTE 10 Available at END FOOTNOTE

   DOE has reviewed today's preliminary determination under the provisions of the Regulatory Flexibility Act and the procedures and policies published in February 2003. Once DOE finalizes this preliminary determination of improved energy efficiency, it would require States to undertake an analysis of their respective building codes. As such, the only entities directly regulated by this preliminary determination would be States. DOE does not believe that there will be any direct impacts on small entities, such as small businesses, small organizations, or small governmental jurisdictions.

   Based on the foregoing, DOE certifies that this preliminary determination would not have a significant economic impact on a substantial number of small entities. Accordingly, DOE has not prepared a regulatory flexibility analysis for this preliminary determination. DOE's certification and supporting statement of factual basis will be provided to the Chief Counsel for Advocacy of the Small Business Administration pursuant to 5 U.S.C. 605(b).

Review Under the National Environmental Policy Act of 1969

   Today's action is covered under the Categorical Exclusion found in DOE's National Environmental Policy Act regulations at paragraph A.6 of appendix A to subpart D, 10 CFR part 1021. That Categorical Exclusion applies to actions that are strictly procedural, such as rulemaking establishing the administration of grants. Today's action is required by Title III of ECPA, as amended, which provides that whenever the Standard 90.1-1989, or any successor to that code, is revised, the Secretary must make a determination, not later than 12 months after such revision, whether the revised code would improve energy efficiency in commercial buildings and must publish notice of such determination in the Federal Register . (42 U.S.C. 6833(b)(2)(A)) If the Secretary determines that the revision of Standard 90.1-1989, or any successor thereof, improves the level of energy efficiency in commercial buildings, then no later than 2 years after the date of the publication of such affirmative determination, each State is required to certify that it has reviewed and updated the provisions of its commercial building code regarding energy efficiency with respect to the revised or successor code. (42 U.S.C. 6833(b)(2)(B)(i)) If the Secretary makes a determination that the revised Standard will not improve energy efficiency in commercial buildings, then State commercial codes shall meet or exceed the last revised Standard for which the Secretary has made a positive determination. (42 U.S.C. 6833(b)(2)(B)(ii)) Therefore, DOE has preliminarily determined that the Secretary's determination is not a major Federal action that would have direct environmental impacts. Accordingly, DOE has not prepared an environmental assessment or an environmental impact statement.

Review Under Executive Order 13132, "Federalism"

   Executive Order 13132 (64 FR 43255) imposes certain requirements on agencies formulating and implementing policies or regulations that pre-empt State law or that have federalism implications. Agencies are required to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the States and carefully assess the necessity for such actions. DOE has reviewed the statutory authority, and Congress found that:

   (1) Large amounts of fuel and energy are consumed unnecessarily each year in heating, cooling, ventilating, and providing domestic hot water for newly constructed residential and commercial buildings because such buildings lack adequate energy conservation features;

   (2) Federal voluntary performance standards for newly constructed buildings can prevent such waste of energy, which the Nation can no longer afford in view of its current and anticipated energy shortage;

   (3) The failure to provide adequate energy conservation measures in newly constructed buildings increases long-term operating costs that may affect adversely the repayment of, and security for, loans made, insured, or guaranteed by Federal agencies or made by federally insured or regulated instrumentalities; and

   (4) State and local building codes or similar controls can provide an existing means by which to ensure, in coordination with other building requirements and with a minimum of Federal interference in State and local transactions, that newly constructed buildings contain adequate energy conservation features. (42 U.S.C. 6831)

   Pursuant to Section 304(b) of ECPA, DOE is statutorily required to determine whether the most recent edition of Standard 90.1 would improve the level of energy efficiency in commercial buildings as compared to the previous edition. If DOE makes a positive determination, the statute requires each State to certify that it has reviewed and updated the provisions of its commercial building code regarding energy efficiency with respect to the revised or successor codes. (42 U.S.C. 6833(b)(2)(B)(i))

   Executive Order 13132 requires meaningful and timely input by State and local officials in the development of regulatory policies that have federalism implications unless funds necessary to pay the direct costs incurred by the State and local governments in complying with the regulation are provided by the Federal Government. (62 FR 43257) Pursuant to Section 304(e) of ECPA, the DOE Secretary is required to provide incentive funding to States to implement the requirements of section 304, and to improve and implement State residential and commercial building energy efficiency codes, including increasing and verifying compliance with such codes. In determining whether, and in what amount, to provide incentive funding, the Secretary must consider the actions proposed by the State to implement the requirements of this section, to improve and implement residential and commercial building energy efficiency codes, and to promote building energy efficiency through the use of such codes. (See 42 U.S.C. 6833(e)) Therefore, consultation with States and local officials regarding this preliminary determination was not required.

   However, DOE notes that State and local governments were invited to participate in the development Standard 90.1-2013. The ASHRAE Standard is developed in a national, ANSI-approved consensus process open to the public, and in which State and local governments may participate, along with the general public. The updated Standard is the product of a series of amendments to the prior edition of the Standard, with each addendum made available for public review with any interested party having the ability to submit comments. Comments on the addendum are received, reviewed, and resolved through an established process commonly utilized in generating industry consensus standards. Members of the Standard 90.1 project committee have included representatives of State and local governments. DOE believes that this process has given State and local jurisdictions extensive opportunity to comment and express any concerns on Standard 90.1-2013, the subject of this preliminary determination.

   On issuance of a final determination that Standard 90.1-2013 would improve the energy efficiency of commercial buildings, ECPA requires each State to certify to the Secretary that it has reviewed and updated the provisions of its commercial building code regarding energy efficiency to meet or exceed the requirements of Standard 90.1-2013. DOE notes that ECPA sets forth this requirement for States. (42 U.S.C. 6833(b)(2)(B)(i)) States are given broad freedom to either adopt Standard 90.1-2013 or develop their own code that meets or exceeds Standard 90.1-2013.

Review Under Unfunded Mandates Reform Act of 1995

   The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) generally requires Federal agencies to examine closely the impacts of regulatory actions on State, local, and tribal governments. Subsection 101(5) of Title I of that law defines a Federal intergovernmental mandate to include any regulation that would impose upon State, local, or tribal governments an enforceable duty, except a condition of Federal assistance or a duty arising from participating in a voluntary Federal program. Title II of that law requires each Federal agency to assess the effects of Federal regulatory actions on State, local, and tribal governments, in the aggregate, or to the private sector, other than to the extent such actions merely incorporate requirements specifically set forth in a statute. Section 202 of that title requires a Federal agency to perform an assessment of the anticipated costs and benefits of any rule that includes a Federal mandate that may result in costs to State, local, or tribal governments, or to the private sector, of $100 million or more. Section 204 of that title requires each agency that proposes a rule containing a significant Federal intergovernmental mandate to develop an effective process for obtaining meaningful and timely input from elected officers of State, local, and tribal governments.

   Consistent with previous determinations, DOE has completed its review, and concluded that impacts on state, local and tribal governments are less than the $100 million threshold specified in the Unfunded Mandates Act. Accordingly, no further action is required under the Unfunded Mandates Reform Act of 1995. Documentation supporting this review is contained in Appendix D of the full Quantitative Analysis technical support document (TSD) /11/ available at http://

   FOOTNOTE 11 Halverson et al., ANSI/ASHRAE/IES Standard 90.1-2013 Preliminary Determination: Quantitative Analysis (PNNL, Richland, WA (US), March 2014), available at END FOOTNOTE

Review Under the Treasury and General Government Appropriations Act of 1999

   Section 654 of the Treasury and General Government Appropriations Act of 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family Policymaking Assessment for any rule that may affect family well-being. Today's action would not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to prepare a Family Policymaking Assessment.

Review Under the Treasury and General Government Appropriations Act of 2001

   Section 515 of the Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516) provides for agencies to review most disseminations of information to the public under guidelines established by each agency pursuant to general guidelines issued by the Office of Management and Budget (OMB). Both OMB and DOE have published established relevant guidelines (67 FR 8452 and 67 FR 62446, respectively). DOE has reviewed today's action under the OMB and DOE guidelines, and has concluded that it is consistent with applicable policies in those guidelines.

Review Under Executive Order 13211

   Executive Order 13211, "Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use," (66 FR 28355), requires Federal agencies to prepare and submit to the OMB a Statement of Energy Effects for any proposed significant energy action. A "significant energy action" is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that: (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy; or (3) is designated by the Administrator of the OMB Office of Information and Regulatory Affairs (OIRA) as a significant energy action. For any proposed significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use, should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use. Today's action would not have a significant adverse effect on the supply, distribution, or use of energy and is therefore not a significant energy action. Accordingly, DOE has not prepared a Statement of Energy Effects.

Review Under Executive Order 13175

   Executive Order 13175, "Consultation and Coordination with Indian tribal Governments" (65 FR 67249), requires DOE to develop an accountable process to ensure "meaningful and timely input by tribal officials in the development of regulatory policies that have tribal implications." "Policies that have tribal implications" refers to regulations that have "substantial direct effects on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes." Today's action is not a policy that has "tribal implications" under Executive Order 13175. DOE has reviewed today's action under Executive Order 13175 and has determined that it is consistent with applicable policies of that Executive Order.

VIII. Public Participation

   DOE will accept comments, data, and information regarding this proposed rule no later than the date provided in the DATES section at the beginning of this preliminary determination. Interested parties may submit comments, data, and other information using any of the methods described in the ADDRESSES section at the beginning of this notice.

Submitting Comments via the Web site

   The Web page will require you to provide your name and contact information. Your contact information will be viewable to DOE Building Technologies staff only. Your contact information will not be publicly viewable except for your first and last names, organization name (if any), and submitter representative name (if any). If your comment is not processed properly because of technical difficulties, DOE will use this information to contact you. If DOE cannot read your comment due to technical difficulties and cannot contact you for clarification, DOE may not be able to consider your comment.

   However, your contact information will be publicly viewable if you include it in the comment itself or in any documents attached to your comment. Any information that you do not want to be publicly viewable should not be included in your comment, nor in any document attached to your comment. Otherwise, persons viewing comments will see only first and last names, organization names, correspondence containing comments, and any documents submitted with the comments.

   Do not submit to 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 cannot be claimed as CBI. Comments received through the Web site will waive any CBI claims for the information submitted. For information on submitting CBI, see the Confidential Business Information section below.

   DOE processes submissions made through 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 provides after you have successfully uploaded your comment.

Submitting Comments via Email, Hand Delivery/Courier, or Mail

   Comments and documents submitted via email, hand delivery, or mail also will be posted to 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 mail or hand delivery/courier, please provide all items on a CD, if feasible. 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, that are written in English, and that are free of any defects or viruses. Documents should not contain special characters or any form of encryption and, if possible, they should carry the electronic signature of the author.

Campaign Form Letters

   Please submit campaign form letters by the originating organization in batches of between 50 to 500 form letters per PDF or as one form letter with a list of supporters' names compiled into one or more PDFs. This reduces comment processing and posting time.

Confidential Business Information

   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 or on a CD, if feasible. DOE will make its own determination about the confidential status of the information and treat it according to its determination.

   Factors of interest to DOE when evaluating requests to treat submitted information as confidential include: (1) A description of the items; (2) whether and why such items are customarily treated as confidential within the industry; (3) whether the information is generally known by or available from other sources; (4) whether the information has previously been made available to others without obligation concerning its confidentiality; (5) an explanation of the competitive injury to the submitting person which would result from public disclosure; (6) when such information might lose its confidential character due to the passage of time; and (7) why disclosure of the information would be contrary to the public interest.

   It is DOE's policy that all comments may be included in the public docket, without change and as received, including any personal information provided in the comments (except information deemed to be exempt from public disclosure).

Notification of Special Requests

   In preparation for future technical assistance activities, DOE is interested in public comments and additional information regarding the costs and benefits associated with the adoption and use of Standard 90.1, as a whole, and appropriate methodologies for assessing costs, benefits and cost-effectiveness. As discussed in the Methodology section of this document, DOE is directed to provide technical assistance to States to support implementation of State residential and commercial building energy efficiency codes. (42 U.S.C. 6833(d)) As part of its technical assistance role, DOE previously established a methodology by which it evaluates the cost effectiveness of energy codes (78 FR 47677). In the coming months, DOE intends to publish a request for information (RFI) to update this methodology, and to ensure DOE activities continue to remain in alignment with the national model code development processes. In particular, DOE will be interested in public comments identifying available and adequate sources of data to support national and State-level cost analysis, such as localized cost data and construction practices. DOE expects to use such input in updating its own cost-effectiveness methodology, and in applying this methodology through technical assistance functions, including the evaluation of published model energy codes, as well as proposed changes.

   Issued in Washington, DC, on May 8, 2014.

Kathleen B. Hogan,

Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and Renewable Energy.

[FR Doc. 2014-11218 Filed 5-14-14; 8:45 am]


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Source: Federal Register

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