[Federal Register Volume 69, Number 203 (Thursday, October 21, 2004)]
[Rules and Regulations]
[Pages 61962-61974]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-17731]


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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

10 CFR Part 431

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


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

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

ACTION: Direct final rule.

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SUMMARY: Pursuant to the Energy Policy and Conservation Act (EPCA), the 
Department of Energy (the Department) promulgates a rule that 
accomplishes three objectives. First and principally, the rule sets 
forth test procedures to rate the energy efficiency of commercial air 
conditioners and heat pumps. Second, for ease of reference by 
commercial air conditioner manufacturers, this rule also includes the 
energy conservation standards prescribed by EPCA for commercial 
equipment that the Department has not amended. Third, also for ease of 
reference by commercial air conditioner manufacturers, the rule moves 
commercial air conditioning and heat pump minimum efficiency levels to 
a separate subpart.

DATES: This direct final rule is effective December 20, 2004, unless 
significant adverse or critical comments are received by November 22, 
2004. If the effective date is delayed, a timely notice will be 
published in the Federal Register. The incorporation by reference of 
certain publications listed in this rule is approved by the Director of 
the Federal Register as of December 20, 2004.

ADDRESSES: You may submit comments, identified by docket number EE-RM/
TP-99-460 and/or RIN number 1904-AA97, by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected]. Include EE-RM/TP-99-460 and/or RIN 1904-AA97 in the subject 
line of the message.
     Mail: Ms. Brenda Edwards-Jones, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J, Direct Final Rule for 
Commercial AC and Heat Pumps, EE-RM/TP-99-460 and/or RIN 1904-AA97, 
1000 Independence Avenue, SW., Washington, DC, 20585-0121. Telephone: 
(202) 586-2945. Please submit one signed paper original.
     Hand Delivery/Courier: Ms. Brenda Edwards-Jones, U.S. 
Department of Energy, Building Technologies Program, Room 1J-018, 1000 
Independence Avenue, SW., Washington, DC, 20585.
    Instructions: All submissions received must include the agency name 
and docket number or Regulatory Information Number (RIN) for this 
rulemaking.
    Docket: For access to the docket to read background documents or 
comments received, go to the U.S. Department of Energy, Forrestal 
Building, Room 1J-018 (Resource Room of the Building Technologies 
Program), 1000 Independence Avenue, SW., Washington, DC, (202) 586-
9127, between 9 a.m. and 4 p.m., Monday through Friday, except Federal 
holidays. Please call Ms. Brenda Edwards-Jones at the above telephone 
number for additional information regarding visiting the Resource Room. 
Please note: The Department's Freedom of Information Reading Room 
(formerly Room 1E-190 at the Forrestal Building) is no longer housing 
rulemaking materials.

FOR FURTHER INFORMATION CONTACT: Mohammed Khan, Project Manager, U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, Forrestal Building, EE-2J, 1000 
Independence Avenue, SW., Washington, DC 20585-0121, (202) 586-7892, 
FAX (202) 586-4617, e-mail: [email protected], or Francine 
Pinto, Esq., U.S. Department of Energy, Office of General Counsel, 
Forrestal Building, GC-72, 1000 Independence Avenue, SW., Washington, 
DC 20585, (202) 586-9507, e-mail: [email protected].

SUPPLEMENTARY INFORMATION: This direct final rule incorporates, by 
reference, into Subpart F of Part 431, four test procedures for air 
conditioners and heat pumps contained in industry standards referenced 
by the American Society of Heating, Refrigerating and Air-Conditioning 
Engineers, Inc. (ASHRAE) and the Illuminating Engineering Society of 
North America (IES or IESNA) Standard 90.1 (ASHRAE/IES Standard 90.1). 
Two of these industry standards were published

[[Page 61963]]

by the Air-Conditioning and Refrigeration Institute (ARI), the third 
was published by the International Organization for Standardization 
(ISO), and the fourth was jointly published by the ARI and the Canadian 
Standards Association (CSA). These four standards are as follows:
     ARI Standard 210/240-2003, ``Unitary Air-Conditioning and 
Air-Source Heat Pump Equipment'',
     ARI Standard 340/360-2000, ``Commercial and Industrial 
Unitary Air-Conditioning and Heat Pump Equipment'',
     ISO Standard 13256-1, ``Water-source heat pumps--Testing 
and rating for performance--Part 1: Water-to-air and brine-to-air heat 
pumps'', and
     ARI Standard 310/380-2004 (which also has a CSA 
designation CSA-C744-04), ``Standard for Packaged Terminal Air-
Conditioners and Heat Pumps.''
    You can view copies of these standards in the resource of the 
Buildings Technologies Program, room 1J-018 of the Forrestal Building 
at the Department of Energy, 1000 Independence Avenue, SW., Washington, 
DC 20585, between the hours of 9 a.m. and 4 p.m., Monday through 
Friday, except Federal holidays. Please call Ms. Brenda Edwards-Jones 
at (202) 586-2945, for additional information regarding visiting the 
resource room. In addition, you can purchase copies of ASHRAE/IES 
Standard 90.1. from the American Society of Heating, Refrigerating, and 
Air-Conditioning Engineers, Inc., 1971 Tullie Circle, NE., Atlanta, GA 
30329, http://www.ashrae.org; you can purchase copies of ISO Standard 
13256-1 from the International Organization for Standardization, Case 
Postale 56, CH-1211, Geneva 20, Switzerland. http://www.iso.ch/ or from 
the American National Standards Institute, 25 West 43rd Street, New 
York, New York 10036, http://www.ansi.org/. Copies of ARI standards are 
available from the Air-Conditioning and Refrigeration Institute, 4301 
North Fairfax Drive, Suite 425, Arlington, VA 22203, http://www.ari.org.

I. Introduction
    A. Authority
    B. Background
    C. Summary of the Direct Final Rule
II. Discussion
    A. Test Procedures for All Commercial Air-Conditioning Equipment 
Other Than Water-Source Heat Pumps
    1. Adoption of Current Versions of ARI Test Procedures
    2. Test Procedures for Commercial and Industrial Unitary Air-
Conditioning and Heat Pump Equipment with Cooling Capacities from 
65,000 to 135,000 Btu per Hour
    3. Effect of Amended Test Procedures on Measured Energy 
Efficiency
    B. Test Procedures for Water-Source Heat Pumps
    1. Background
    2. Discussion
    3. Effect of Amended Test Procedures on Measured Energy 
Efficiency
    C. Products Not Covered in this Rulemaking
    1. Computer Room Air-conditioners and Heat Pumps
    2. Equipment with a Variable-Speed Drive
III. Final Action
IV. Procedural Requirements
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act
    D. Review Under the National Environmental Policy Act
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Congressional Notification
    N. Approval of the Office of the Secretary

I. Introduction

A. Authority

    Part B of Title III of the Energy Policy and Conservation Act 
(EPCA) of 1975, Public Law 94-163, as amended, by the National Energy 
Conservation Policy Act of 1978 (NECPA), Public Law 95-619, the 
National Appliance Energy Conservation Act of 1987 (NAECA), Public Law 
100-12, the National Appliance Energy Conservation Amendments of 1988 
(NAECA 1988), Public Law 100-357, and the Energy Policy Act of 1992 
(EPACT), Public Law 102-486, established the ``Energy Conservation 
Program for Consumer Products other than Automobiles.'' Part 3 of Title 
IV of NECPA amended EPCA to add ``Energy Efficiency of Industrial 
Equipment,'' which included air conditioning equipment and other types 
of commercial equipment.\1\
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    \1\ ``EPCA'' or the ``Act,'' as used in this notice of final 
rulemaking, refers to the Energy Policy and Conservation Act of 1975 
as amended by all of the statutes mentioned in this paragraph.
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    EPACT also amended EPCA with respect to certain commercial 
equipment. It provided definitions, test procedures, labeling 
provisions, energy conservation standards, and authority to require 
information and reports from manufacturers. See 42 U.S.C. 6311-6316. 
EPCA authorizes the Secretary of Energy to prescribe test procedures 
that are reasonably designed to produce results which reflect energy 
efficiency, energy use and estimated operating costs, and that are not 
unduly burdensome to conduct. (42 U.S.C. 6314)
    With respect to some commercial equipment for which EPCA prescribes 
energy conservation standards, including commercial air conditioners 
and heat pumps, ``the test procedures shall be those generally accepted 
industry testing procedures or rating procedures developed or 
recognized by the Air-Conditioning and Refrigeration Institute or by 
the American Society of Heating, Refrigerating and Air Conditioning 
Engineers, as referenced in ASHRAE/IES Standard 90.1 and in effect on 
June 30, 1992.'' (42 U.S.C. 6314(a)(4)(A)) Further, if such an industry 
testing or rating procedure is amended, the Department must revise its 
test procedure to be consistent with the amendment, unless the 
Secretary determines, based on clear and convincing evidence, that to 
do so would not meet certain general requirements spelled out in the 
statute for test procedures. (42 U.S.C. 6314(a)(4)(B)) Before 
prescribing any test procedures for such equipment, the Secretary must 
publish them in the Federal Register and afford interested persons at 
least 45 days to present data, views and arguments. (42 U.S.C. 6314(b)) 
Effective 360 days after a test procedure rule applicable to any 
covered commercial equipment, such as a commercial air conditioner and 
heat pump, is prescribed, no manufacturer, distributor, retailer or 
private labeler may make any representation in writing or in broadcast 
advertisement respecting the energy consumption or cost of energy 
consumed by such product, unless it has been tested in accordance with 
the prescribed procedure and such representation fairly discloses the 
results of the testing. (42 U.S.C. 6314(d)) Finally, EPACT extends 
certain powers, originally granted to the Secretary under NAECA, to 
require manufacturers of equipment covered by today's rule to submit 
information and reports for a variety of purposes, including ensuring 
compliance with requirements. See 42 U.S.C. 6316(b)(1).

B. Background

    The Department has an energy conservation program for consumer 
products, and certain commercial equipment, conducted under Part B of 
Title III of EPCA, 42 U.S.C. 6291-6309. Under EPCA, this program 
essentially consists of four parts: Test procedures, Federal energy 
conservation standards, labeling, and certification and

[[Page 61964]]

enforcement procedures. Except for labeling, for which the Federal 
Trade Commission (FTC) is responsible, the Department implements this 
program in Title 10 of the Code of Federal Regulations (CFR), Part 430, 
entitled ``Energy Conservation Program for Consumer Products.''
    Part 431 (10 CFR Part 431), entitled ``Certain Industrial 
Equipment,'' implements our program for most commercial and industrial 
equipment covered under EPCA. These will include commercial heating, 
air conditioning and water heating equipment. Part 431 will consist of: 
Test procedures, Federal energy conservation standards, labeling, and 
certification and enforcement procedures. EPCA directs the Department, 
rather than the FTC, to administer the statute's efficiency labeling 
provisions for this commercial equipment.
    In preparing proposed rules that would address test procedures, 
certification and enforcement procedures, and issues of EPCA's coverage 
for this equipment, the Department convened public workshops on April 
14 and 15, 1998, and on October 19, 1998. As to commercial air 
conditioners and heat pumps specifically, workshop discussions and 
comments dealt with the following six issues:

    (1) Coverage of heating-only heat pumps;
    (2) Coverage of computer room air conditioners;
    (3) Coverage of equipment with a variable-speed drive;
    (4) Test procedures to be adopted;
    (5) Minimum external static pressure; and
    (6) Test procedure for water-source heat pumps.

    The Department considered both oral and written comments, and 
incorporated recommendations where appropriate, in the Notice of 
Proposed Rulemaking (NOPR) of August 9, 2000. 65 FR 48828. The 
discussion section of the NOPR presented our position and explained the 
reasons for incorporating or not incorporating any significant 
recommendations. The NOPR was followed by a public hearing on September 
21, 2000, and an opportunity for submission of written comments. The 
Department received oral or written comments from interested persons. 
They questioned or disagreed with the Department's position as 
presented in the NOPR only as to computer room air conditioners, 
variable speed equipment, and the test procedure for water source heat 
pumps. These comments are discussed in Section II.
    Energy conservation standard levels were not at issue in these 
proceedings. The NOPR merely proposed to incorporate into the 
Department's regulations on efficiency requirements for small and large 
commercial package air conditioning and heating equipment the standard 
levels that had been established in Section 342(a) of EPCA for these 
products. Subsequent to issuance of the NOPR, in a separate proceeding, 
the Department promulgated a regulation (10 CFR part 431, Subpart Q) to 
replace some of these levels by adopting as Federal standards some of 
the efficiency levels contained in amendments to ASHRAE/IES Standard 
90.1. 66 FR 3336, 3354-55 (January 12, 2001). These new Federal 
standards became effective on October 29, 2003.

C. Summary of the Direct Final Rule

    Today's rule for commercial air conditioners and heat pumps 
includes: (1) Energy efficiency test procedures, (2) energy 
conservation standards, and (3) clarifications regarding EPCA's 
coverage.
    The four test procedures incorporated in the rule--three ARI 
Standards and one ISO Standard--are listed at the beginning of this 
SUPPLEMENTARY INFORMATION. In particular, for water-source heat pumps 
ISO Standard 13256-1 is the prescribed testing methodology. 
(Incorporated by reference, see Sec.  431.95). Furthermore, today's 
direct final rule adopts ARI Standard 340/360-2000 both without change 
as the test procedure for equipment with cooling capacities from 
135,000 to 240,000 Btu per hour, and also with modifications (taken 
from ARI Standard 210/240-2003) as the test procedure for equipment at 
or above 65,000 but less than 135,000 Btu per hour. These modifications 
will ensure the proper testing of equipment: (1) With desuperheater/
water heating devices, (2) manufactured without indoor air-circulating 
fans, (3) with indoor fans, and not made for use with field-installed 
duct systems (free discharge), or (4) that is water-cooled. Section II. 
discusses the modifications in detail.
    As described in the Discussion section below, this rule will adopt 
the most recent versions of the ARI test standards as referenced above. 
These revisions occurred subsequent to the publication of the NOPR on 
August 9, 2000. By adopting the revised ARI test standards, with 
certain modifications, this rule will be current with industry test 
standards and it will ensure that the equipment covered by this rule is 
tested properly. However, because there has not been prior opportunity 
for comment on these revisions, stakeholders will be given such an 
opportunity as described at the beginning of this notice.
    The Department has included the conservation standards so that they 
and the test procedures for commercial air conditioners and heat pumps 
will be in the same place in our regulations. The standards are the 
currently applicable minimum energy efficiency levels prescribed by 
Section 342(a) of EPCA, as well as the amendments to certain of these 
levels, referred to above. The amendments are being transferred from 10 
CFR part 431 Subpart Q.\2\
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    \2\ Efficiency levels prescribed by EPCA for which amendments 
are not included in Subpart Q, and in today's rule, are either under 
review by the Department or were not revised in ASHRAE/IES Standard 
90.1.
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    Because the Department believes that EPCA neither prescribes nor 
mandates efficiency standards or test procedures for computer room air 
conditioners, today's direct final rule does not cover this product. 
Nor does the rule include efficiency standards that account for partial 
load performance for commercial air conditioning equipment, except to 
restate those Seasonal Energy Efficiency Ratio (SEER) and Heating 
Seasonal Performance Factor (HSPF) standards already prescribed by EPCA 
for certain equipment less than 65,000 Btu per hour, since as to 
efficiency standards the purpose of today's rule is merely to 
incorporate existing requirements.
    Finally, today's rule provides neither methods for manufacturers to 
certify to us the efficiency of commercial central air conditioners and 
heat pumps, nor enforcement and other administrative provisions for 
this equipment. The Department proposed regulations on these subjects, 
for air conditioning and certain other commercial equipment, in a 
notice of proposed rulemaking on December 13, 1999. 64 FR 69597. Until 
the Department adopts such regulations, the provisions of EPCA will 
govern directly the enforcement and administration of efficiency 
requirements for commercial air conditioning equipment. The provisions 
currently in Part 431 will not apply to these products.

II. Discussion

    The following discussion is divided into two sections: (1) Section 
II.A discusses the test procedures, which ARI revised following 
publication of the NOPR, for equipment other than water-source heat 
pumps; and (2) section II.B discusses the issues raised by oral or 
written comments received in response to the NOPR.

[[Page 61965]]

A. Test Procedures for All Commercial Air-Conditioning Equipment Other 
Than Water-Source Heat Pumps

1. Adoption of Current Versions of ARI Test Procedures
    In the NOPR published on August 9, 2000, the Department proposed to 
adopt ARI Standard 210/240-94 and ARI Standard 340/360-93 for 
commercial and industrial unitary air conditioning and heat pump 
equipment, and ARI Standard 310/380-93 for packaged terminal air-
conditioners and heat pumps. ARI Standard 210/240-94 covers equipment 
with cooling capacities under 135,000 Btu per hour while ARI Standard 
340/360-93 covers equipment with cooling capacities greater than or 
equal to 135,000 Btu per hour.
    Since publication of the NOPR, ARI has issued new versions of these 
test standards. ARI Standard 210/240-2003 has superceded ARI Standard 
210/240-94, ARI Standard 340/360-2000 has superceded ARI Standard 340/
360-93, and ARI Standard 310/380-2004 has superceded ARI Standard 310/
380-93. The changes ARI made to its test standards are primarily 
editorial in nature, and alter neither efficiency test methods, nor 
calculation procedures, nor measured efficiencies for the equipment 
being tested, with one notable exception: Equipment with cooling 
capacities from 65,000 to 135,000 Btu per hour which were covered by 
ARI Standard 210/240 are now covered by ARI Standard 340/360.
    For all other equipment, the Department is adopting the most recent 
versions of the ARI test standards in today's direct final rule, 
without change. These new versions are more readily available than the 
older versions and are included in the rule for the convenience of the 
affected parties. Also, to the extent the current versions are 
considered amendments to the ARI test procedures, their adoption will 
render the DOE test procedure ``consistent with the amended industry 
test procedure,'' in accordance with 42 U.S.C. 6314(a)(4)(B). As 
detailed below (section II.A.2.), the Department is adopting ARI 
Standard 340/360-2000, but with certain modifications, for equipment 
with a cooling capacity from 65,000 to 135,000 Btu per hour, to ensure 
that the test procedure in today's direct final rule allows for the 
proper testing of such equipment.
2. Test Procedure for Commercial and Industrial Unitary Air-
Conditioning and Heat Pump Equipment With Cooling Capacities From 
65,000 to 135,000 Btu Per Hour
    The most significant outcome of ARI's revisions of its test 
standards has been to amend the test procedure for equipment with 
cooling capacities from 65,000 to 135,000 Btu per hour, by replacing 
ARI Standard 210/240 with ARI Standard 340/360. Under 42 U.S.C. 
6314(a)(4)(B), the Department must adopt the industry's amended test 
procedure unless there is ``clear and convincing'' evidence that to do 
so would result in a test procedure which produces results that do not 
reflect the energy efficiency of the equipment or which would be unduly 
burdensome to conduct.
    Although the organization and language of ARI Standards 340/360-
2000 and 210/240-94 differ substantially, for the most part the 
substance of the efficiency test method and calculation procedures in 
the two standards is the same. In addition, the test method in Standard 
340/360-2000 improves upon the method in 210/240-94 in that Standard 
340/360-2000 provides a clarification of the test conditions used to 
rate air conditioning equipment with optional outdoor air cooling 
coils. ARI Standard 340/360, however, lacks certain provisions that are 
in ARI Standard 210/240, and for certain types of equipment with 
cooling capacities from 65,000 to 135,000 Btu per hour, these omissions 
represent a substantial change in the test procedure. The Department 
has determined that, due to these omissions, ARI Standard 340/360-2000 
clearly would not produce test results that would accurately reflect 
the equipment's measured efficiency. As a result, for equipment with 
cooling capacities from 65,000 to 135,000 Btu per hour, the Department 
is adopting ARI Standard 340/360-2000, as modified, by adding concepts 
and language from ARI Standard 210/240-2003 to ensure that the test 
procedure in today's direct final rule accurately measures the 
efficiency of all such equipment.
    The following sets forth the reasons why ARI Standard 340/360-2000 
is inadequate to test this equipment, and the modifications which the 
Department is incorporating into its test procedure to correct these 
deficiencies:
     Equipment with a Desuperheater/Water Heating Device: ARI 
Standard 340/360-2000 does not address the rating of equipment with 
desuperheater/water heating devices. The energy efficiency test results 
for such equipment will vary depending on whether the desuperheater/
water heating device is left in operation. To ensure consistent and 
accurate test results for units equipped with a desuperheater/water 
heating device, today's test procedure provides that such equipment 
must be rated while the device is inoperative, consistent with Section 
2.2.5 of ARI Standard 210/240-2003. To provide clarity, the rule 
language characterizes a desuperheater/water heating device as a 
refrigerant-to-water heat exchanger to heat domestic water.
     Models Manufactured Without Indoor Air-Circulating Fans: 
ARI Standard 340/360-2000 fails to include provisions to account for 
the input power of the indoor air-circulating fan for units which do 
not have such fans furnished as part of the model. Because these units 
are always installed and operated with such fans, by not providing for 
the input power of the indoor fan, the test procedure would 
underestimate the overall input power of the unit, thereby resulting in 
an energy efficiency rating which would be higher than it otherwise 
would be if the indoor fan input power were included. To ensure that 
the effects of air-circulation fans on equipment capacity and input 
power are accounted for in units which do not have indoor air-
circulating fans furnished as part of the model, the Department is 
incorporating with minor editorial modifications a portion of Section 
6.1 and the full text of Section 6.1.3.3c. of ARI Standard 210/240-2003 
into its test procedure for equipment with cooling capacities from 
65,000 to 135,000 Btu per hour.
    The following is the language being incorporated from Section 6.1: 
``Standard Ratings of units which do not have indoor air-circulating 
fans furnished as part of the model, i.e., split systems with indoor 
coil alone, shall be established by subtracting for the total cooling 
capacity 1,250 Btu/h per 1,000 cfm [775 W/m\3\/s], and by adding the 
same amount to the heating capacity. Total power input for both heating 
and cooling shall be increased by 365 W per 1,000 cfm [226 W/m\3\/s] of 
indoor air circulated.''
    The full text of section 6.1.3.3c, modified to reference the 
appropriate section in ARI Standard 340/360-2000, states: ``Equipment 
which does not incorporate an indoor fan, but is rated in combination 
with a device employing a fan shall be rated as described in 6.1.3.2a 
of 340/360-2000. For equipment of this class which is rated for general 
use to be applied to a variety of heating units, the indoor-coil 
airflow rate shall be specified by the

[[Page 61966]]

manufacturer in Standard Ratings, not to exceed 37.5 SCFM/1,000 Btu/h 
[0.06 m\3\/s per 1,000 W] of rated capacity or the airflow rate 
obtained through the indoor coil assembly when the pressure drop across 
the indoor coil assembly and the recommended enclosures and attachment 
means is not greater than 0.30 inch of water [75 Pa], whichever is 
less.''
     Equipment with Indoor Fans, Not Made for Use With Field 
Installed Duct Systems: ARI Standard 340/360-2000 does not provide 
external pressure specifications for units with indoor fans not 
intended for use with field-installed duct systems (free discharge). 
Without explicit provisions, these units would be tested with an 
external pressure greater than 0 inches of water. The resultant power 
input for the indoor fan would be greater than it otherwise should be, 
thereby resulting in a measured energy efficiency lower than it 
otherwise should be. To ensure that equipment with indoor fans not 
intended for use with field-installed duct systems (free discharge) are 
tested with the appropriate external pressure, the Department is 
incorporating with minor editorial modifications the full text of 
Section 6.1.3.3b and a portion of Section 6.1.3.6 of ARI Standard 210/
240-2003 into its test procedure for equipment with cooling capacities 
from 65,000 to 135,000 Btu per hour.
    The full text of section 6.1.3.3b states: ``Equipment with indoor 
fans not intended for use with field installed duct systems (free 
discharge) shall be rated at the indoor-coil airflow rate delivered 
when operating at 0 in [sic] H2O [0 Pa] external pressure as 
specified by the manufacturer.''
    The language incorporated from Section 6.1.3.6 states: ``Indoor 
air-moving equipment not intended for use with field installed duct 
systems (free discharge) shall be tested at 0 in [sic] H2O 
[0 Pa] external pressure.''
     Water-Cooled Equipment: ARI Standard 340/360-2003 does not 
include an allowance for the power inputs for the cooling tower fan and 
circulating water pump motors for water-cooled units. By not including 
the input power of the fan and pump, the overall input power of the 
unit would be underestimated, thereby resulting in an energy efficiency 
rating which would be higher than it otherwise should be if the power 
inputs of the fan and pump were included. To ensure that water-cooled 
units include a total allowance for cooling tower fan and circulating 
water pump motor power inputs, the Department is incorporating with 
minor editorial modifications the following portion of Section 6.1 of 
ARI Standard 210/240-2003 into its test procedure: ``Standard Ratings 
of water-cooled units shall include a total allowance for cooling tower 
fan motor and circulating water pump power inputs to be added in the 
amount of 10.0 W per 1,000 Btu/h [34.1 W per 1,000 W] cooling 
capacity.''
3. Effect of Amended Test Procedures on Measured Energy Efficiency
    In accordance with 42 U.S.C. 6293(e), the Department has determined 
that none of the test procedure changes specified in the foregoing 
section alter the measured efficiency of equipment with cooling 
capacities from 65,000 to 135,000 Btu per hour.

B. Test Procedure for Water-Source Heat Pumps

1. Background
    At the time the NOPR was published, ASHRAE/IES Standard 90.1 
specified ARI Standard 320, ``Water-Source Heat Pumps,'' as the test 
procedure for water-source heat pumps. Standard 90.1 also provided 
that, effective October 29, 2001, efficiency levels would increase for 
this equipment, and ISO Standard 13256-1, ``Water-Source Heat Pumps--
Testing and Rating for Performance--Part 1: Water-to-Air and Brine-to-
Air Heat Pumps,'' would replace ARI Standard 320 as the applicable test 
procedure. In the NOPR, the Department expressed its intention to 
prescribe ARI Standard 320-98 as the Department test procedure for 
water-source heat pumps, and to consider adopting the ISO standard to 
replace the ARI standard in a subsequent proceeding. The Department 
also solicited comments, however, on the possibility of adopting the 
ISO standard, instead of the ARI standard, in the final rule in this 
proceeding.
    ARI provided oral comments during the Public Hearing on September 
21, 2000, and written comments dated September 14, 2000, and October 
25, 2000. The September 14 comments provided an overview of the 
differences between ARI Standard 320 and ISO Standard 13256-1. (ARI, 
No. 2EE, at 2-4) \3\ In its October 25 comments, ARI urged adoption of 
the ISO standard in the direct final rule. (ARI, No. 5, at 1-3) ARI 
cited international acceptance of the standard, ASHRAE's intention to 
adopt it through an addendum process in ASHRAE Standard 90.1 with an 
immediate effective date, and the use of the ISO standard in the ARI 
certification program. ARI provided test data on 15 water-source heat 
pumps tested under the two test procedures. The data showed that the 
EERs for a unit derived from the two test procedures are on average 
about the same, while the heating coefficient of performance (COP) is 
on average about 2.2% higher with the ISO test procedure.
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    \3\ A notation in this form identifies a written comment the 
Department received in this rulemaking subsequent to issuance of the 
NOPR. This notation refers to a comment (1) by ARI, (2) in document 
number 2EE in the docket in this matter, and (3) appearing at pages 
2-4 of document number 2EE.
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    Subsequently, in a final rule published on January 12, 2001, the 
Department amended EPCA's minimum efficiency levels for water-source 
heat pumps, adopting the new minimum efficiency levels stipulated by 
ASHRAE/IES Standard 90.1. 66 FR at 3354-55. These new efficiency levels 
apply as Federal requirements to all equipment manufactured after 
October 29, 2003. As mentioned above, ASHRAE/IES Standard 90.1 had been 
amended effective October 29, 2001, to specify ISO Standard 13256-1 (in 
place of ARI Standard 320) as the test procedure for water-source heat 
pumps, to provide a new method for determining compliance with these 
new efficiency levels under Standard 90.1. Because these levels are now 
also Federal requirements, the Department decided to address in today's 
direct final rule whether it will adopt the ISO test procedure for 
water source heat pumps.
    EPCA in essence directs the Department to revise its test procedure 
to be consistent with an amendment to an industry testing or rating 
procedure, unless the Department determines that the new procedure is 
``unduly burdensome to conduct'' or is not ``reasonably designed to 
produce test results which reflect energy efficiency, energy use and 
estimated operating costs.'' (42 U.S.C. 6314(a)(2) and (4)(B)) 
Additionally, the Department must determine ``to what extent, if any, 
the proposed [amended] test procedure would alter the measured energy 
efficiency * * * as determined under the existing test procedure.'' (42 
U.S.C. 6293(e) and 6314(a)(4)(C))
2. Discussion
    The Department's examination of the ISO test procedure indicates 
that ISO Standard 13256-1 requires laboratory facilities and 
instrumentation and a level of effort similar to what ARI Standard 320 
requires. In addition, ARI's comments urging DOE to adopt ISO Standard 
13256-1 demonstrate that DOE's adoption of that standard has 
substantial support from industry. In addition, DOE did not receive any 
other comments concerning the adoption of ISO Standard 13256-1. Thus, 
the Department has determined that the ISO

[[Page 61967]]

standard apparently is not unduly burdensome to use. Considering the 
data provided in the ARI comments, which indicate that results obtained 
from tests under ISO Standard 13256-1 are comparable to those obtained 
under ARI Standard 320, the Department also concludes that the ISO 
standard meets the statutory requirement that a test procedure be 
``reasonably designed to produce test results which reflect energy 
efficiency.''
3. Effect of Amended Test Procedures on Measured Energy Efficiency
    As to rulemakings to amend test procedures, section 323(e) of EPCA, 
42 U.S.C. 6293(e), provides that DOE shall determine whether the 
amended test procedure would alter measured energy efficiency of any 
covered product. If the amendment does alter measured efficiency, the 
Secretary must determine the average efficiency level under the new 
test procedure of products that minimally complied with the applicable 
energy conservation standard prior to the test procedure amendment, and 
must set the standard at that level. (42 U.S.C. 6293(e)(2)) In 
addition, any existing model of a product that complied with the 
previously applicable standard would be deemed to comply with the new 
standard. (42 U.S.C. 6293(e)(3)) These provisions prevent changes in a 
test procedure from indirectly altering the applicable Federal energy 
conservation standard. They also prevent products that complied with 
standards using the previous test procedure from being forced out of 
compliance by the new test procedure. The Department has determined 
that under the provisions of 42 U.S.C. 6293(e) that the Department's 
adoption here of ISO Standard 13256-1 would not alter the measured 
energy efficiency of water source heat pumps under the existing test 
procedure.
    As discussed above, higher minimum efficiency levels for water 
source heat pumps went into effect under ASHRAE/IES Standard 90.1 on 
October 29, 2001, and as Federal requirements on October 29, 2003. 
ASHRAE adopted the ISO test procedure as of the former date, so that 
this test procedure would apply in determining compliance with the new 
standards. Further, the Department understands that the new standards 
were developed based on measurements using the ISO test procedure.
    The new energy conservation standards that are in effect were 
developed using ISO Standard 13256-1, and ASHRAE clearly intended that 
the ISO test procedure be used to measure compliance with these 
standards. Thus, using ARI Standard 320 to determine whether 
manufacturers are meeting the new standards would produce inaccurate 
results. Only ISO Standard 13256-1 can accurately implement the new 
standards.
    Furthermore, even if today's amendments do change the energy 
efficiency rating of any model and would prevent it from complying with 
the current energy conservation standards, the standard for that model 
became more stringent on October 29, 2003, and today's amendments are 
designed to implement the new standard. This renders irrelevant the 
model's ability or inability to comply with the current or former 
standards based on efficiency determinations under the existing test 
procedure. Thus, a change resulting from today's amendments to the test 
procedure could simply mean that the product in question does not meet 
the new efficiency standard.
    In conclusion, today's rule provides that ISO Standard 13256-1 will 
be the sole test procedure under EPCA for water source heat pumps. This 
requirement is directly set forth in new section 431.262. It is also 
reflected in new section 431.271, which prescribes energy conservation 
standards, by incorporation of 30 [deg]C (86 [deg]F) as the entering 
water temperature at which EER must be rated, in place of the 85 [deg]F 
temperature that was included in Subpart Q of 10 CFR which is being 
eliminated in another final action published today.

C. Products Not Covered in This Rulemaking

1. Computer Room Air-Conditioners and Heat Pumps
    Mr. B. Subherwal of BR Laboratories spoke in favor of covering 
computer room air conditioners under this rule. He advocated using 
ASHRAE Standard 127-88 for testing because computer room air-
conditioners in field applications perform at different conditions than 
those specified in any ARI standard.
    The Department's view remains that computer room air conditioners 
are not currently covered by the standards and test procedures 
prescribed and mandated by EPCA. The reasons supporting this view--the 
primary one being that Congress appears not to have intended to cover 
this type of equipment--were presented in detail in Section II of the 
NOPR. As also set forth in the NOPR, if some of the relevant 
circumstances were to change--if, for example, ASHRAE Standard 90.1 
were to incorporate efficiency standards and test procedures for this 
equipment or the equipment was to become widely used for conventional 
air conditioning applications--the Department might re-visit this 
issue.
2. Equipment With a Variable-Speed Drive
    Mitsubishi Electronics America, Inc., submitted a written comment 
dated October 20, 2000, which recommended that part load performance be 
considered in evaluating the efficiency of inverter-driven equipment 
because it rarely operates at full load (typically less than 1% of the 
time). (Mitsubishi, No. 4, at 1-2). The comment suggested a procedure 
presented in ARI Standard 550/590-1998, Appendix D, D3, to be used for 
evaluating an Integrated Part Load Value. Further, the letter contended 
that incorporating a procedure similar to that presented in ARI 
Standard 550/590-1998 would encourage manufacturers to incorporate this 
advanced technology into their product line, and this would improve 
National Energy Savings.
    This comment essentially advocates that the Department establish 
efficiency standards and a performance descriptor that address part 
load performance of commercial air conditioning equipment. A similar 
comment was submitted to us earlier and is discussed in the NOPR. 65 FR 
48831-3. As indicated there, with regard to efficiency standards the 
purpose of this rulemaking is to incorporate the requirements already 
imposed under EPCA (including any amendments by the Department to the 
standards established by EPACT). These requirements incorporate 
standards for part load performance only for small commercial, air-
cooled package air-conditioning equipment having cooling capacity less 
than 65,000 Btu/h, which are included in today's rule. Therefore, 
Mitsubishi's suggestion that the Department prescribe efficiency 
standards for the part load performance of other air conditioning 
products is beyond the scope of this rulemaking. Nevertheless, as the 
Department recently stated when the Department addressed amendment of 
the standards established by EPACT, the Department will consider 
including integrated part load values in any prospective rulemaking for 
air conditioning equipment. 66 FR 3348.

III. Final Action

    DOE is publishing this direct final rule in order to allow 
stakeholders an opportunity to comment on revisions to this rule that 
have not had prior proposal. The direct final action will be effective 
December 20, 2004, unless significant adverse or critical comments

[[Page 61968]]

are received by November 22, 2004. DOE views these revisions as 
noncontroversial and anticipates no significant adverse comments. 
However, in the event that significant adverse or critical comments are 
filed, DOE will withdraw the rule before the effective date. In the 
case of withdrawal of this action, the withdrawal will be announced by 
a subsequent Federal Register document. All public comments will then 
be addressed in a separate proposed rule which will be issued at a 
later date. Any parties interested in commenting on this rule should do 
so at this time. If no significant adverse comments are received, the 
public is advised that this rule will be effective December 20, 2004.

IV. Procedural Requirements

A. Review Under Executive Order 12866

    The Office of Information and Regulatory Affairs of the Office of 
Management and Budget (OMB) has determined that today's regulatory 
action is not a ``significant regulatory action'' under Executive Order 
12866, ``Regulatory Planning and Review,'' 58 FR 51735 (October 4, 
1993). Accordingly, this action was not subject to review under the 
Executive Order.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
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 (August 16, 2002), 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 made its 
procedures and policies available on the Office of General Counsel's 
Web site: http://www.gc.doe.gov.
    DOE reviewed today's rule under the provisions of the Regulatory 
Flexibility Act, and certified in the NOPR that the proposed rule would 
not impose a significant economic impact on a substantial number of 
small entities. (65 FR 48828, 48833 (August 9, 2000)) We received no 
comments on this issue, and after considering the potential small 
entity impact of this direct final rule, DOE affirms the certification 
that this rule will not have a significant economic impact on a 
substantial number of small entities. Accordingly, DOE has not prepared 
a regulatory flexibility analysis for this rulemaking. DOE will 
transmit the certification and supporting statement of factual basis to 
the Chief Counsel for Advocacy of the Small Business Administration for 
review pursuant to 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act

    This rulemaking will impose no new information or record keeping 
requirements. Accordingly, OMB clearance is not required under the 
Paperwork Reduction Act (44 U.S.C. 3501 et seq.)

D. Review Under the National Environmental Policy Act

    DOE has determined that this rule falls into a class of actions 
that are categorically excluded from review under the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and the 
Department's implementing regulations at 10 CFR part 1021. 
Specifically, this rule amends an existing rule without changing the 
environmental effect of the rule being amended, and, therefore, is 
covered by the Categorical Exclusion in paragraph A5 to subpart D, 10 
CFR part 1021. Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations (65 FR 13735). DOE has examined today's rule and has 
determined that it does not preempt State law and does not have a 
substantial direct effect on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government. No further 
action is required by Executive Order 13132.

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995.

    Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and tribal governments and the 
private sector. With respect to a proposed regulatory action that may 
result in the expenditure by State, local and tribal governments, in 
the aggregate, or by the private sector of $100 million or more 
(adjusted annually for inflation), section 202 of the Act requires a 
Federal agency to publish estimates of the resulting costs, benefits, 
and other effects on the national economy (2 U.S.C. 1532(a),(b)). The 
Act also requires a Federal agency to develop an effective process to 
permit timely input by elected officers of State, local, and tribal 
governments on a

[[Page 61969]]

proposed ``significant intergovernmental mandate,'' and requires an 
agency plan for giving notice and opportunity for timely input to 
potentially affected small governments before establishing any 
requirements that might significantly or uniquely affect small 
governments. On March 18, 1997, DOE published a statement of policy on 
its process for intergovernmental consultation under the Act (62 FR 
12820) (also available at http://www.gc.doe.gov). The rule published 
today does not contain any Federal mandate, so these requirements do 
not apply.

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

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This rule 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.

I. Review Under Executive Order 12630

    DOE has determined pursuant to Executive Order 12630, 
``Governmental Actions and Interference with Constitutionally Protected 
Property Rights,'' 53 FR 8859 (March 18, 1988) that this regulation 
would not result in any takings which might require compensation under 
the Fifth Amendment to the United States Constitution.

J. Review Under the Treasury and General Government Appropriations Act, 
2001

    The Treasury and General Government Appropriations Act, 2001 (44 
U.S.C. 3516, note) provides for agencies to review most disseminations 
of information to the public under guidelines established by each 
agency pursuant to general guidelines issued by OMB. OMB's guidelines 
were published at 67 FR 8452 (February 22, 2002), and DOE's guidelines 
were published at 67 FR 62446 (October 7, 2002). DOE has reviewed 
today's notice under the OMB and DOE guidelines and has concluded that 
it is consistent with applicable policies in those guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001) requires Federal agencies to prepare and submit to the 
Office of Information and Regulatory Affairs (OIRA), Office of 
Management and Budget, 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 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 regulatory action would not have a significant adverse effect 
on the supply, distribution, or use of energy and, therefore, is not a 
significant energy action. Accordingly, DOE has not prepared a 
Statement of Energy Effects.

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

    The Department stated in the NOPR the reasons why section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977, 15 U.S.C. 788, does 
not apply to the four ARI commercial standards incorporated into the 
proposed rule. The Department received no comments on this issue.
    The rule published today incorporates updated versions of three of 
these ARI standards, as well as an ISO standard referenced in Standard 
90.1 in place of the fourth ARI standard. The Department continues to 
adhere to the view expressed in the NOPR that Section 32 of the FEAA 
does not apply to these four standards. However, for equipment at or 
above 65,000 but less than 135,000 Btu per hour, the Department is 
adopting one of these ARI standards with modifications drawn from 
another one of these ARI standards DOE is incorporating in today's 
rule. These modifications consist of test methods that EPCA currently 
requires manufacturers to use. (42 U.S.C. 6314(a)(4)(a)) The Department 
believes that Section 32 of the FEAA does not apply to its decision to 
require manufacturers to continue to use these test methods.

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of today's rule prior to its effective date. The report 
will state that it has been determined that the rule is not a ``major 
rule'' as defined by 5 U.S.C. 804(2).

N. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of today's rule.

List of Subjects in 10 CFR Part 431

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

    Issued in Washington, DC, on July 27, 2004.
David K. Garman,
Assistant Secretary, Energy Efficiency and Renewable Energy.


0
For the reasons set forth in the preamble, part 431 of Chapter II of 
title 10, Code of Federal Regulations, is amended, as set forth below:

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

0
1. The authority citation for Part 431 continues to read as follows:

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

0
2. Subpart F is added to read as follows:
Subpart F--Commercial Air Conditioners and Heat Pumps
Sec.
431.91 Purpose and scope.
431.92 Definitions concerning commercial air conditioners and heat 
pumps.

Test Procedures

431.95 Materials incorporated by reference.
431.96 Uniform test method for measurement of the energy efficiency 
of small and large commercial package air conditioning and heating 
equipment, packaged terminal air conditioners, and packaged terminal 
heat pumps.

Energy Efficiency Standards

431.97 Energy efficiency standards and their effective dates.

Subpart F--Commercial Air Conditioners and Heat Pumps


Sec.  431.91  Purpose and scope.

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

[[Page 61970]]

Sec.  431.92  Definitions concerning commercial air conditioners and 
heat pumps.

    The following definitions apply for purposes of this subpart F, and 
of subparts J through M of this part. Any words or terms not defined in 
this section or elsewhere in this part shall be defined as provided in 
42 U.S.C. 6311.
    Coefficient of Performance, or COP means the ratio of the produced 
cooling effect of an air conditioner or heat pump (or its produced 
heating effect, depending on the mode of operation) to its net work 
input, when both the cooling (or heating) effect and the net work input 
are expressed in identical units of measurement.
    Energy Efficiency Ratio, or EER means the ratio of the produced 
cooling effect of an air conditioner or heat pump to its net work 
input, expressed in Btu/watt-hour.
    Heating seasonal performance factor, or HSPF means the total 
heating output of a central air-conditioning heat pump during its 
normal annual usage period for heating, expressed in Btu's and divided 
by the total electric power input, expressed in watt-hours, during the 
same period.
    Large commercial package air-conditioning and heating equipment 
means air-cooled, water-cooled, or evaporatively cooled electrically 
operated, unitary central air conditioners and central air-conditioning 
heat pumps for commercial application that are rated at or above 
135,000 Btu per hour and below 240,000 Btu per hour (cooling capacity), 
and that are industrial equipment.
    Packaged terminal air conditioner means a wall sleeve and a 
separate un-encased combination of heating and cooling assemblies 
specified by the builder and intended for mounting through the wall, 
and that is industrial equipment. It includes a prime source of 
refrigeration, separable outdoor louvers, forced ventilation, and 
heating availability by builder's choice of hot water, steam, or 
electricity.
    Packaged terminal heat pump means a packaged terminal air 
conditioner that utilizes reverse cycle refrigeration as its prime heat 
source, that has a supplementary heat source available, with the choice 
of hot water, steam, or electric resistant heat, and that is industrial 
equipment.
    Seasonal energy efficiency ratio or SEER means the total cooling 
output of a central air conditioner or central air-conditioning heat 
pump, expressed in Btu's, during its normal annual usage period for 
cooling and divided by the total electric power input, expressed in 
watt-hours, during the same period.
    Single package unit means any central air conditioner or central 
air-conditioning heat pump in which all the major assemblies are 
enclosed in one cabinet.
    Small commercial package air-conditioning and heating equipment 
means air-cooled, water-cooled, evaporatively cooled, or water-source 
(not including ground water-source) electrically operated, unitary 
central air conditioners and central air-conditioning heat pumps for 
commercial application which are rated below 135,000 Btu per hour 
(cooling capacity), and which are industrial equipment.
    Split system means any central air conditioner or central air 
conditioning heat pump in which one or more of the major assemblies are 
separate from the others.

Test Procedures


Sec.  431.95  Materials incorporated by reference.

    (a) The Department incorporates by reference the following test 
procedures into subpart F of part 431. The Director of the Federal 
Register has approved the material listed in paragraph (b) of this 
section for incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Any subsequent amendment to this material by 
the standard-setting organization will not affect the Department test 
procedures unless and until the Department amends its test procedures. 
The Department incorporates the material as it exists on the date of 
the approval and a notice of any change in the material will be 
published in the Federal Register.
    (b) List of test procedures incorporated by reference.
    (1) Air-Conditioning and Refrigeration Institute (ARI) Standard 
210/240-2003 published in 2003, ``Unitary Air-Conditioning and Air-
Source Heat Pump Equipment,'' IBR approved for Sec.  431.96.
    (2) ARI Standard 340/360-2000 published in 2001, ``Commercial and 
Industrial Unitary Air-Conditioning and Heat Pump Equipment,'' IBR 
approved for Sec.  431.96.
    (3) International Organization for Standardization (ISO) 
International Standard ISO 13256-1 published in 1998, ``Water-source 
heat pumps--Testing and rating for performance--Part 1: Water-to-air 
and brine-to-air heat pumps,'' IBR approved for Sec.  431.96.
    (4) ARI Standard 310/380-2004 (CSA-C744-04) published in 2004, 
``Standard for Packaged Terminal Air-Conditioners and Heat Pumps,'' IBR 
approved for Sec.  431.96.
    (c) Availability of references.
    (1) Inspection of test procedures. You may inspect the test 
procedures incorporated by reference at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ ibr--locations.html.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures and 
Efficiency Standards for Commercial Air Conditioners and Heat Pumps,'' 
Docket No. EE-RM/TP-99-460, 1000 Independence Avenue, SW., Washington, 
DC 20585.
    (2) Obtaining copies of test procedures. You may obtain a copy of 
the ARI standards from the Air-Conditioning and Refrigeration 
Institute, 4301 North Fairfax Drive, Suite 425, Arlington, VA 22203, 
http://www.ari.org/. You can purchase a copy of the ISO Standard 13256-
1 from the International Organization for Standardization, Case Postale 
56, CH-1211, Geneva 20, Switzerland. http://www.iso.ch/ or from the 
American National Standards Institute, 25 West 43rd Street, New York, 
New York 10036.


Sec.  431.96  Uniform test method for the measurement of energy 
efficiency of small and large commercial package air conditioning and 
heating equipment, packaged terminal air conditioners, and packaged 
terminal heat pumps.

    (a) Scope. This section contains test procedures you must follow 
if, pursuant to EPCA, you are measuring the energy efficiency of any 
small or large commercial package air-conditioning and heating 
equipment, packaged terminal air conditioner or packaged terminal heat 
pump.
    (b) Testing and Calculations. Determine the energy efficiency of 
each covered product by conducting the test procedure(s) listed in the 
rightmost column of Table 1 of this section or the two rightmost 
columns of Table 2 of this section, that apply to the energy efficiency 
descriptor for that product, category, and cooling capacity.

[[Page 61971]]



  Table 1 to Sec.   431.96.--Test Procedures for Certain Small Commercial Package Air Conditioning and Heating
 Equipment (All Water-Source Equipment and Other Equipment Less Than 65,000 Btu/h), for Large Commercial Package
  Air Conditioning and Heating Equipment and for Packaged Terminal Air Conditioners and Packaged Terminal Heat
                                                      Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                                  Use tests,
             Product                   Category        Cooling capacity    Energy efficiency    conditions and
                                                                              descriptor        procedures 1 in
----------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air     Air Cooled, 3       <65,000 Btu/h.....  SEER..............  ARI Standard 210/
 Conditioning and Heating          Phase, AC and HP                                            240-2003
 Equipment
                                                                         ---------------------
                                                                          HSPF..............  ARI Standard 210/
                                                                                               240-2003
                                 ---------------------
                                  Water Cooled and    <65,000 Btu/h.....  EER...............  ARI Standard 210/
                                   Evaporatively                                               240-2003
                                   Cooled AC
                                 ---------------------
                                  Water-Source HP...  <135,000 Btu/h....  EER...............  ISO Standard 13256-
                                                                                               1 (1998)
                                                                         ---------------------
                                                                          COP...............  ISO Standard 13256-
                                                                                               1 (1998)
---------------------------------
Large Commercial Packaged Air     Air Cooled AC and   >=135,000 Btu/h     EER...............  ARI Standard 340/
 Conditioning and Heating          HP.                 and <240,000 Btu/                       360-2000
 Equipment                                             h.
                                                                         ---------------------
                                                                          COP...............  ARI Standard 340/
                                                                                               360-2000
                                 ---------------------
                                  Water Cooled AC...  >=135,000 Btu/h     EER...............  ARI Standard 340/
                                                       and <240,000 Btu/                       360-2000
                                                       h.
                                 ---------------------
                                  Evaporatively       >=135,000 Btu/h     EER...............  ARI Standard 340/
                                   Cooled AC.          and <240,000 Btu/                       360-2000
                                                       h.
---------------------------------
Packaged Terminal Air             AC and HP.........  All...............  EER...............  ARI Standard 310/
 Conditioners and Heat Pumps                                                                   380-2004
                                 ---------------------
                                  HP................  All...............  COP...............  ARI Standard 310/
                                                                                               380-2004
----------------------------------------------------------------------------------------------------------------
1 Incorporated by reference, see Sec.   431.95.


 Table 2 to Sec.   431.96.--Test Procedures for Small Commercial Package Air Conditioning and Heating Equipment
                      >=65,000 Btu/h and <135,000 Btu/h (Other Than Water-Source Equipment)
----------------------------------------------------------------------------------------------------------------
                                     Energy          Use tests,
            Category               efficiency      conditions and       With these additional stipulations \2\
                                   descriptor    procedures \1\ in
----------------------------------------------------------------------------------------------------------------
Air Cooled AC and HP............          EER    ARI Standard 340/   1. Models with a desuperheater/water
                                             COP 360-2000.            heating device: Establish Standard Ratings
                                                                      of units equipped with a refrigerant-to-
                                                                      water heat exchanger to heat domestic
                                                                      water (i.e., a desuperheater), with the
                                                                      desuperheater not in operation.
                                  ............                       2. Models Manufactured Without Indoor Air-
                                                                      Circulating Fans: (a) Establish Standard
                                                                      Ratings of units which do not have indoor
                                                                      air circulating fans furnished as part of
                                                                      the model, i.e., split systems with indoor
                                                                      coil alone, by subtracting from the total
                                                                      cooling capacity 1,250 Btu/h per 1,000 cfm
                                                                      [775 W/m3/s], and by adding the same
                                                                      amount to the heating capacity. Increase
                                                                      total power input for both heating and
                                                                      cooling by 365 W per 1,000 cfm [226 W/m3/
                                                                      s] of indoor air circulated.
                                  ............                       (b) Equipment which does not incorporate an
                                                                      indoor fan, but is rated in combination
                                                                      with a device employing a fan, shall be
                                                                      rated as described in 6.1.3.2a of 340/360-
                                                                      2000. For equipment of this class which is
                                                                      rated for general use to be applied to a
                                                                      variety of heating units, the indoor-coil
                                                                      airflow rate shall be (1) specified by the
                                                                      manufacturer in Standard Ratings, not to
                                                                      exceed 37.5 SCFM/1,000 Btu/h [0.06 m3/s
                                                                      per 1,000 W] of rated capacity, or (2) the
                                                                      airflow rate obtained through the indoor
                                                                      coil assembly when the pressure drop
                                                                      across the indoor coil assembly and the
                                                                      recommended enclosures and attachment
                                                                      means is not greater than 0.30 inch of
                                                                      water [75 Pa], whichever is less.

[[Page 61972]]

 
Water Cooled AC.................          EER   ARI Standard 340/    3. Models with Indoor Fans, Not Made for
                                                 360-2000.            Use With Field Installed Duct Systems: (a)
                                                                      Equipment with indoor fans not made for
                                                                      use with field installed duct systems
                                                                      (free discharge) shall be rated at the
                                                                      indoor-coil airflow rate delivered when
                                                                      operating at 0 inches of water [0 Pa]
                                                                      external pressure as specified by the
                                                                      manufacturer.
                                                                      (b) Test indoor air-moving equipment not
                                                                      intended for use with field installed duct
                                                                      systems (free discharge) at 0 inches of
                                                                      water [0 Pa] external pressure.
Evaporately Cooled AC...........          EER   ARI Standard 340/    4. Water cooled models: For Standard
                                                 360-2000.            Ratings of water-cooled units add a total
                                                                      allowance for cooling tower fan motor and
                                                                      circulating water pump motor power inputs
                                                                      in the amount of 10.0 W per 1,000 Btu/h
                                                                      [34.1 W per 1,000 W] cooling capacity.
----------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference, see Sec.   431.95.
\2\ The content of stipulations 1, 2(a), 2(b), 3(a), 3(b), and 4 is taken from Sections 2.2.5, 6.1, 6.1.3.3 (c),
  6.1.3.3 (b), 6.1.3.6, and 6.1, respectively, of ARI Standard 210/240-2003.

Energy Efficiency Standards


Sec.  431.97  Energy efficiency standards and their effective dates.

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

                                              Table 1 to Sec.   431.97.--Minimum Cooling Efficiency Levels
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                        Efficiency level \1\
                                                                                                           ---------------------------------------------
              Product                       Category            Cooling  capacity         Sub-category      Products manufactured  Products manufactured
                                                                                                              until  October 29,    on and after October
                                                                                                                     2003                 29, 2003
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air        Air Cooled, 3 phase...  <65,000 Btu/h.........  Split System.........  SEER = 10.0..........  SEER = 10.0.
 Conditioning and Heating Equipment.
                                                                                    ------------------------
                                                                                     Single Package         SEER = 9.7...........  SEER = 9.7.
                                    -------------------------
                                     Air Cooled............  >=65,000 Btu/h and      All..................  EER = 8.9............  EER = 8.9.
                                                              <135,000 Btu/h.
                                    -------------------------
                                     Water Cooled            <17,000 Btu/h.........  AC...................  EER = 9.3............  EER = 12.1.
                                      Evaporatively Cooled
                                      and Water-Source.
                                                                                    ------------------------
                                                                                     HP...................  EER = 9.3............  EER = 11.2.
                                                            -------------------------
                                                             >=17,000 Btu/h and      AC...................  EER = 9.3............  EER = 12.1.
                                                              <65,000 Btu/h.
                                                                                    ------------------------
                                                                                     HP...................  EER = 9.3............  EER = 12.0.
                                                            -------------------------
                                                             >=65,000 Btu/h and      AC...................  EER = 10.5...........  EER = 11.5.\2\
                                                              <135,000 Btu/h.
                                                                                    ------------------------
                                                                                     HP...................  EER = 10.5...........  EER = 12.0.
------------------------------------
Large Commercial Packaged Air        Air Cooled............  >=135,000 Btu/h and     All..................  EER = 8.5............  EER = 8.5.
 Conditioning and Heating Equipment.                          <240,000 Btu/h.
                                    -------------------------
                                     Water-Cooled and        >=135,000 and <240,000  All..................  EER = 9.6............  EER = 9.6.\3\
                                      Evaporatively Cooled.   Btu/h.
------------------------------------

[[Page 61973]]

 
Packaged Terminal Air Conditioners   All...................  <7,000 Btu/h..........  All..................  EER = 8.88...........  EER = 8.88.
 and Heat Pumps.
                                                            ------------------------                       ------------------------
                                                             >=7,000 Btu/h and                              EER = 10.0 - (0.16 x   EER = 10.0 - (0.16 x
                                                              <=15,000 Btu/h.                                capacity [in kBtu/h    capacity [in kBtu/h
                                                                                                             at 95[deg]F outdoor    at 95[deg]F outdoor
                                                                                                             dry-bulb               dry-bulb
                                                                                                             temperature]).         temperature]).
                                                            ------------------------                       ------------------------
                                                             >15,000 Btu/h.........  .....................  EER = 7.6............  EER = 7.6.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ For equipment rated according to the ARI standards, all EER values must be rated at 95[deg]F outdoor dry-bulb temperature for air-cooled products
  and evaporatively-cooled products and at 85[deg]F entering water temperature for water-cooled products. For water-source heat pumps rated according to
  the ISO standard, EER must be rated at 30[deg]C (86[deg]F) entering water temperature.
\2\ Deduct 0.2 from the required EER for units with heating sections other than electric resistance heat.
\3\ Effective 10/29/2004, the minimum value becomes EER = 11.0.


                                              Table 2 to Sec.   431.97.--Minimum Heating Efficiency Levels
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                        Efficiency level \1\
                                                                                                           ---------------------------------------------
              Product                       Category            Cooling  capacity         Sub-category      Products manufactured  Products manufactured
                                                                                                              until  October 29,    on and after October
                                                                                                                     2003                 29, 2003
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air        Air Cooled, 3 Phase...  <65,000 Btu/h.........  Split System.........  HSPF = 6.8...........  HSPF = 6.8.
 Conditioning and Heating Equipment.
                                                                                    ------------------------
                                                                                     Single Package.......  HSPF = 6.6...........  HSPF = 6.6.
                                    -------------------------
                                     Water-source..........  <135,000 Btu/h........  Split System and       COP = 3.8............  COP = 4.2.
                                                                                      Single Package.
                                    -------------------------
                                     Air Cooled............  >=65,000 Btu/h and      All..................  COP = 3.0............  COP = 3.0.
                                                              <135,000 Btu/h.
------------------------------------
Large Commercial Packaged Air        Air Cooled............  >=135,000 Btu/h and     Split System and       COP = 2.9............  COP = 2.9.
 Conditioning Package and Heating                             <240,000 Btu/h.         Single Package.
 Equipment.
------------------------------------
Packaged Terminal Heat Pumps.......  All...................  All...................  All..................  COP = 1.3+(0.16 x the  COP = 1.3+(0.16 x the
                                                                                                             applicable minimum     applicable minimum
                                                                                                             cooling EER            cooling EER
                                                                                                             prescribed in Table    prescribed in Table
                                                                                                             1--Minimum Cooling     1--Minimum Cooling
                                                                                                             Efficiency Levels).    Efficiency Levels).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ For units tested by ARI standards, all COP values must be rated at 47 [deg]F outdoor dry-bulb temperature for air-cooled products, and at 70 [deg]F
  entering water temperature for water-source heat pumps. For heat pumps tested by the ISO Standard 13256-1, the COP values must be obtained at the
  rating point with 20 [deg]C (68 [deg]F) entering water temperature.


[[Page 61974]]

[FR Doc. 04-17731 Filed 10-20-04; 8:45 am]
BILLING CODE 6450-01-P