[Federal Register Volume 79, Number 86 (Monday, May 5, 2014)]
[Rules and Regulations]
[Pages 25486-25505]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-10085]


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DEPARTMENT OF ENERGY

10 CFR Part 429

[Docket No. EERE-2013-BT-NOC-0023]
RIN 1904-AD12


Energy Conservation Program: Certification of Commercial Heating, 
Ventilation, and Air-Conditioning (HVAC), Water Heating (WH), and 
Refrigeration (CRE) Equipment

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

ACTION: Final rule.

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SUMMARY: The U.S. Department of Energy is revising and expanding its 
existing regulations governing certifying compliance with the 
applicable energy conservation standards and the reporting of related 
ratings for commercial heating, ventilating, air-conditioning (HVAC), 
water heating (WH), and refrigeration equipment covered by EPCA. As 
part of this final rule, DOE is revising the information certified to 
the Department for each basic model of commercial HVAC, WH, and 
refrigeration equipment to reflect the negotiated outcomes of the 
Commercial Certification Working Group.

DATES: Effective Dates: The effective date of this rule is June 4, 
2014.

ADDRESSES: This rulemaking can be identified by docket number EERE-
2013-BT-NOC-0023 and/or Regulatory Identification Number (RIN) 1904-
AD12.
    Docket: For access to the docket to read background documents, or 
comments received, go to the Federal eRulemaking Portal at http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Ms. Ashley Armstrong, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: 202-586-6590. Email: 
[email protected]; and Ms. Laura Barhydt, U.S. Department of 
Energy, Office of the General Counsel, Forrestal Building, GC-32, 1000 
Independence Avenue SW., Washington, DC 20585. Telephone: (202) 287-
5772. Email: [email protected].

SUPPLEMENTARY INFORMATION:

I. Authority and Background
    A. Authority
    B. Background
II. Discussion of Specific Revisions to DOE's Regulations 
Certification

[[Page 25487]]

    C. Engineered-to-Order Equipment
    D. Certification Reports
    1. General Requirements
    2. Equipment Specific Certification Information
III. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. Description and Estimated Number of Small Entities Regulated
    2. Description and Estimated of Compliance Requirements
    3. Duplication, Overlap, and Conflict With Other Rules and 
Regulations
    4. Significant Alternatives to the Rule
    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
IV. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

    Title III of the Energy Policy and Conservation Act of 1975, as 
amended (``EPCA'' or, in context, ``the Act'') sets forth a variety of 
provisions designed to improve energy efficiency. Part A of Title III 
(42 U.S.C. 6291-6309) provides for the Energy Conservation Program for 
Consumer Products Other Than Automobiles. The National Energy 
Conservation Policy Act (NECPA), Public Law 95-619, amended EPCA to add 
Part A-1 of Title III, which established an energy conservation program 
for certain industrial equipment. (42 U.S.C. 6311-6317) \1\ The 
Department of Energy (``DOE'') is charged with implementing these 
provisions.
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    \1\ For editorial reasons, Parts B (consumer products) and C 
(commercial equipment) of Title III of EPCA were re-designated as 
parts A and A-1, respectively, in the United States Code.
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    Under EPCA, this program consists essentially of four parts: (1) 
Testing; (2) labeling; (3) Federal energy conservation standards; and 
(4) certification and enforcement procedures. The Federal Trade 
Commission (FTC) is primarily responsible for labeling of consumer 
products, while DOE implements the remainder of the program. The 
testing requirements consist of test procedures that manufacturers of 
covered products and equipment must use (1) as the basis for certifying 
to DOE that their products comply with the applicable energy 
conservation standards adopted under EPCA, and (2) for making 
representations about the efficiency of those products and equipment. 
Similarly, DOE must use these test requirements to determine whether 
the products comply with any relevant standards promulgated under EPCA. 
For certain consumer products and commercial equipment, DOE's existing 
testing regulations allow the use of an alternative efficiency 
determination method (AEDM) or an alternative rating method (ARM), in 
lieu of actual testing, to simulate the energy consumption or 
efficiency of certain basic models of covered products and equipment 
under DOE's test procedure conditions.
    In addition, sections 6299-6305, and 6316 of EPCA authorize DOE to 
enforce compliance with the energy and water conservation standards 
(all non-product specific references herein referring to energy use and 
consumption include water use and consumption; all references to energy 
efficiency include water efficiency) established for certain consumer 
products and commercial equipment. (42 U.S.C. 6299-6305 (consumer 
products), 6316 (industrial equipment)) DOE has promulgated enforcement 
regulations that include specific certification and compliance 
requirements. See 10 CFR part 429; 10 CFR part 431, subparts B, U, and 
V.

B. Background

    On March 7, 2011, DOE published a final rule in the Federal 
Register that, among other things, modified the requirements regarding 
manufacturer submission of compliance statements and certification 
reports to DOE (March 2011 Final Rule). 76 FR 12421. The rule imposed 
new or revised reporting requirements for some types of covered 
products and equipment, including a requirement that manufacturers 
submit annual reports to the Department certifying compliance of their 
basic models with applicable standards. See 76 FR 12428-12429 for more 
information.
    In response to the initial deadline for certifying compliance 
imposed on commercial heating, ventilation, and air conditioning 
(HVAC), water heater (WH), and commercial refrigeration equipment (CRE) 
manufacturers by the March 2011 Final Rule, certain manufacturers of 
particular types of commercial and industrial equipment stated that, 
for a variety of reasons, they would be unable to meet that deadline. 
DOE initially extended the deadline for certifications for commercial 
HVAC, WH, and CRE in a final rule published June 30, 2011 (June 30 
Final Rule). 76 FR 38287 (June 30, 2011). DOE subsequently extended the 
compliance date for certification an additional 12 months to December 
31, 2013, for these types of equipment to allow, among other things, 
the Department to explore the negotiated rulemaking process for this 
equipment. See 77 FR 76825 (Dec. 31, 2013).
    In the summer of 2012, DOE had an independent convener evaluate the 
feasibility of developing certification requirements for commercial 
HVAC, WH, and refrigeration equipment (not including walk-in coolers 
and freezers) through consensus-based negotiations among affected 
parties. In October 2012, the convener issued his report after 
completing confidential interviews of forty (40) parties from a wide 
range of commercial HVAC, WH, and refrigeration equipment interests. 
The convener found the interviewed parties believed negotiated 
rulemaking was superior to notice and comment rulemaking for 
certification-related issues. Because of this, the convener found that 
a negotiated rulemaking would have a reasonable likelihood of achieving 
consensus based on the factors set forth in the Negotiated Rulemaking 
Act. The entire report is available at https://www1.eere.energy.gov/buildings/appliance_standards/pdfs/convening_report_hvac_cre_1.pdf.
    On February 26, 2013, members of the Appliance Standards and 
Rulemaking Federal Advisory Committee (ASRAC) unanimously decided to 
form a working group to engage in a negotiated rulemaking effort on the 
certification of commercial HVAC equipment (10 CFR part 431, subparts 
D, E and F), WH equipment (10 CFR part 431, subpart G), and 
refrigeration equipment (10 CFR part 431, subpart C). A notice of 
intent to form the Commercial Certification Working Group was published 
in the Federal Register on March 12, 2013, to which DOE received 35 
nominations. 78 FR 15653. On April 16, 2013, the Department published a 
notice of open meeting that announced the first meeting and listed the 
22 nominations that were selected to serve as members of the Working 
Group, in addition to two members from ASRAC, and one DOE 
representative. 78 FR 22431. The members of the Working Group were 
selected to ensure a broad and balanced array of stakeholder interests 
and expertise, and included efficiency advocates, manufacturers, a 
utility representative, and third party laboratory representatives.
    As required, the Working Group submitted an interim report to ASRAC

[[Page 25488]]

on June 26, 2013, summarizing the group's recommendations regarding 
AEDMs for commercial HVAC, WH, and refrigeration equipment. The interim 
report to ASRAC can be found at http://www.regulations.gov/#!documentDetail;D=EERE-2013-BT-NOC-0023-0046. ASRAC voted unanimously 
to approve the recommendations in the interim report for AEDMs. 
Subsequently, the Working Group submitted a final report on August 30, 
2013, summarizing the Working Group's recommendations for model 
grouping, certification requirements and deadlines, and features to be 
excluded from certification, verification, and enforcement testing as 
long as specific conditions were met. ASRAC voted unanimously to 
approve the recommendations in the final report. DOE proposed to adopt 
the Working Group's recommendations, without modification, for AEDMs, 
basic model definitions, and the initial compliance date for 
certification in a notice published on October 22, 2013 (78 FR 62472) 
and adopted these recommendations in a final rule published on December 
31, 2013 (78 FR 79579). DOE proposed to adopt without modification the 
Working Group's remaining recommendations for certification 
requirements in a notice of proposed rulemaking (NOPR) published on 
February 14, 2014. 79 FR 8886. DOE intends to issue separate rulemaking 
or guidance documents regarding the treatment of specific features when 
testing.

II. Discussion of Specific Revisions to DOE's Regulations Certification

    The Commercial Certification Working Group held nine full meetings 
in Washington, DC between April 30, 2013 and August 28, 2013. Sixty-
nine interested parties, including members of the Working Group, 
attended the various meetings. A more detailed discussion of the 
recommendations can be found in the Commercial Certification Working 
Group meeting transcripts, which are located here: http://www.regulations.gov/#!docketDetail;D=EERE-2013-BT-NOC-0023.
    As noted above, DOE proposed to adopt without modification the 
remaining recommendations for certification requirements from the 
Working Group. See 79 FR 8886. DOE received comments from 10 
stakeholders including manufacturers, a trade association, an advocacy 
group, utility associations, and a component manufacturer. These 
comments are discussed in more detail below, and a full set of comments 
can be found at: http://www.regulations.gov/#!docketDetail;D=EERE-2013-
BT-NOC-0023.

                          Table II.1--Stakeholders That Submitted Comments on the NOPR
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                Name                          Acronym                          Organization type
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Air-Conditioning, Heating, and        AHRI..................  Trade Association.
 Refrigeration Institute.
American Council for an Energy-       ACEEE.................  Energy Efficiency Advocacy Group.
 Efficient Economy.
American Public Gas Association.....  APGA..................  Utility Association.
California Investor Owned Utilities.  CA IOUs...............  Utility Association.
Continental Refrigerator............  Continental...........  Manufacturer.
Heat Transfer Products..............  HTP...................  Manufacturer.
Multi-Wing Group Management Holding.  Multi-Wing............  Component Manufacturer.
Summit..............................  Summit................  Manufacturer.
Traulsen............................  Traulsen..............  Manufacturer.
Zero Zone Inc.......................  Zero Zone.............  Manufacturer.
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    DOE received several general comments in response to the NOPR. 
ACEEE and the CA IOUs supported the promulgation of the NOPR's 
certification requirements for commercial HVAC, WH, and refrigeration 
equipment. (ACEEE, No. 0075.1 at p. 1; CA IOUs, No. 0076.1 at p. 1) The 
CA IOUs also recommended that DOE increase its funding to support the 
expanded testing of commercial equipment, particularly since the 
Department is taking steps to reduce manufacturer testing burdens. (CA 
IOUs, No. 0076.1 at p. 1)
    DOE received two comments regarding the compliance dates for 
commercial HVAC, WH, and refrigeration equipment. DOE's December 2013 
final rule established a series of compliance requirements regarding 
the certification of commercial HVAC, WH, and refrigeration equipment 
in the context of AEDM usage. See 78 FR at 79593. AHRI recommended that 
the compliance dates should be linked to DOE's release of the 
Compliance Certification Management System (CCMS) templates instead of 
the AEDM final rule because DOE had not yet released the templates. 
(AHRI, No. 0072.1 at p.4) (The templates are used by manufacturers to 
populate certain key information required by DOE for the purposes of 
certifying products and equipment as compliant with the applicable 
energy conservation standards.) Continental recommended DOE extend the 
certification deadline because the certification templates were not 
available immediately after the AEDM final rule was published. 
Continental recommended a certification deadline of 12 months after the 
templates are posted on the DOE Web site. (Continental, No. 0073.1 at 
p. 1) DOE emphasizes that the certification deadlines were agreed upon 
by the commercial certification working group and adopted in the AEDM 
final rule. 78 FR 79579, 79590. DOE notes that the information required 
to be reported in the templates consists of information that 
manufacturers should already have, and DOE does not anticipate that 
will take manufacturers a significant amount of time--certainly not 12 
months--to enter the data into the templates. In addition, while DOE 
understands that the certification templates are useful aids for 
manufacturers in preparing for certification, the specific contents of 
the templates are necessarily tied to the outcome of this rulemaking 
and DOE was unable to publish the templates as part of the AEDM final 
rule. The Department will work to publish the certification templates 
promptly after the issuance of this final rule, which finalizes the 
information DOE is collecting. Further, the Working Group agreed to the 
commercial certification deadlines in the AEDM final rule under the 
following conditions: (1) The AEDM final rule was to be issued by 
December 31, 2013 extending the compliance for certifications for those 
products; (2) DOE in the course of implementing the Working Group's 
recommendations did not materially change the substance of any 
recommendation; and (3) no less than 2 months would be provided between 
issuance of this final rule and the initial certification date for any

[[Page 25489]]

commercial HVAC, WH, or refrigeration equipment. With the issuance of 
this final rule, DOE has met all three of these obligations and does 
not see a need for deviating from the Working Group recommendations.
    Regarding AEDM requirements, HTP encouraged the Department to 
extend AEDMs to cover light commercial water heaters, a new category 
proposed in the Test Procedure for Residential and Commercial Water 
Heaters NOPR published on November 4, 2013 (78 FR 66202) because this 
equipment meets the requirements of commercial water heaters. (HTP, No. 
0071.1 at p. 1) The Department appreciates HTP's comment, but extending 
the use of AEDMs to new equipment classes is outside the scope of this 
final rule, which is specific to certification. DOE notes that changes 
to the certification requirements proposed in this rule may be needed, 
depending on the outcome of that rulemaking. Any changes would be 
considered in a separate rulemaking.
    APGA commented that equipment should be labeled with full-fuel 
cycle energy efficiency data because it would help consumers in making 
purchasing decisions. In its view, current labels are confusing and 
misleading. APGA asserted that a full fuel cycle energy methodology 
would represent the true efficiency of covered products and equipment 
because it examines all impacts associated with energy use like 
extraction, conversion, distribution, and ultimate energy consumption. 
(APGA, No. 0068.1 at p. 1-2) While DOE understands the concerns raised 
by APGA, DOE notes that the issue of labeling is outside of this scope 
of this rulemaking. Accordingly, DOE is not reaching any labeling 
decisions as part of today's rule.
    Lastly, DOE received one general comment regarding test procedures. 
Continental suggested that DOE adopt ambient conditions in line with 
those adopted by the National Sanitation Foundation to better reflect 
real world conditions when testing commercial refrigeration equipment. 
(Continental, No. 0073.1 at p. 2) DOE notes that the specifics related 
to test procedure conditions fall outside of this rulemaking. DOE may, 
however, consider this issue in the context of a separate rulemaking as 
appropriate.

C. Engineered-To-Order Equipment

    The Working Group recommended that a new concept, ``engineered-to-
order equipment,'' be added to DOE's certification regulations. The 
Working Group recommended that this concept be applied to a basic model 
that is not listed in any catalogs or marketing literature and is 
designed and built to customer requirements. As envisioned by the 
Working Group, an engineered-to-order basic model would not include any 
models offered as a ``configure-to-order'' or ``menu-system'' set of 
options.\2\ Additionally, the Working Group determined that a basic 
model may not be classified as engineered-to-order for more than one 
annual certification cycle, effectively meaning that the basic model 
cannot be classified as engineer-to-order for more than 24 months. If 
the manufacturer does not recertify the engineered-to-order product as 
a typical basic model by the second annual certification deadline then 
the manufacturer is effectively certifying that the model has been 
discontinued. In that case, DOE would automatically treat the basic 
model as discontinued.\3\
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    \2\ The Working Group recommended the new concept to distinguish 
between models that are built to customer specifications from a list 
of options offered by the manufacturer (e.g., ``configure-to-
order'') and models that are built to customer specifications that 
are completely unique, require original engineering design work, and 
are not built from options the manufacturer offers for sale (i.e., 
``engineered-to-order'').
    \3\ In all other circumstances, the manufacturer must 
affirmatively certify that a basic model has been discontinued as 
required by 10 CFR 429.12(f). Because engineered-to-order basic 
models are, by design, unlikely to be distributed more than once, 
the manufacturer would not be required to submit a certification 
report discontinuing an engineered-to-order basic model.
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    DOE received several comments in support of the definition of 
``engineered-to-order.'' Traulsen agreed that a product should be 
considered part of the company's offerings if it is purchased 
repeatedly by separate agreements and in multiple certification cycles. 
Additionally, Traulsen agrees that the definition of ``engineered-to-
order'' must be different than ``configure-to-order.'' However, 
Traulsen noted that these definitions will require manufacturers to 
review and amend their marketing materials, and DOE should keep this in 
mind regarding a proposed deadline. (Traulsen, No. 0074.1 at p. 1) The 
CA IOUs also supported DOE's proposed definition of engineered-to-order 
as a basic model classification and to limit the use of the 
classification to ensure it cannot be used for more than one annual 
certification cycle. (CA IOUs, No. 0076.1 at p. 1) AHRI generally 
agreed with DOE's definition of basic model, but added that 
manufacturers should be allowed to advertise in literature and other 
venues its capability to manufacture engineered-to-order equipment. 
(AHRI, No. 0072.1 at p. 2) DOE does not dispute that manufacturers can 
advertise their ability to make engineered-to-order models.
    The Department also received several suggested changes to clarify 
the proposed ``engineered-to-order'' definition. First, AHRI suggested 
that DOE clarify that engineered-to-order equipment is provided by a 
manufacturer and is different from equipment assembled in the field by 
an installing contractor. (AHRI, No. 0072.1 at p. 2) At this time, DOE 
does not believe that its proposed definition of ``engineered-to-
order'' requires this suggested clarification since the term 
``manufacture'' already generally encompasses the concept of assembling 
a given item. Accordingly, in this context, any assembler of the types 
of equipment covered by today's rule would be treated as a manufacturer 
and would be responsible for certifying their engineered-to-order 
equipment.
    Second, Traulsen requested that DOE modify the definition to 
prevent a manufacturer from claiming that a particular piece of 
equipment it produces is ``engineered-to-order'' when only cosmetic or 
minor changes are made to a model. (Traulsen, No. 0074.1 at p. 1) DOE 
notes that a minor or cosmetic change to an already existing model 
would not enable a manufacturer to claim that modified model as an 
``engineered-to-order model. Such a model would fail to be a separate 
basic model, which is a necessary predicate before a manufacturer can 
avail itself of the ``engineered-to-order'' designation. Consequently, 
at this time, DOE does not believe it is necessary to amend its 
proposed (and now adopted) definition in the manner suggested by 
Traulsen, but may revisit this issue if the application of this 
definition proves to be problematic in practice.
    Finally, Multi-Wing recommended that the term ``configure-to-
order'' mean ``models that are built to customer specifications from a 
catalogue of standard and inflexible options offered by the 
manufacturer that likely require application modifications by the 
customer. It added that an exception should be made for models that are 
``built to customer specification from a catalogue above 100,000 
inflexible options offered by the manufacturer that likely do not 
require any application modification by the customer, and which can be 
considered as engineered-to-order due to the quantity of models 
available for selection for the same customer specification.'' (Multi-
Wing, No. 0069.1 at p.1) Additionally, Multi-Wing suggested that the 
term ``engineered-to-order'' be defined as referring to those ``models 
that are built to customer specification contingent

[[Page 25490]]

upon both the requested duty point, working conditions, space 
conditions and which are different from any standard offering on the 
market.'' (Multi-Wing, No.0069.1 at p. 1) At this time, DOE is defining 
``engineered-to-order'' as it proposed in the NOPR and is refraining 
from defining ``configure-to-order'' as suggested by Multi-Wing. In 
DOE's view, the definition for ``engineered-to-order'' recommended by 
the Working Group is narrower than the definition proposed by Multi-
Wing. As proposed by the Working Group, engineered to order models are 
those models that are not part of the manufacturer's standard 
offerings--without limit to the number of options the manufacturer may 
offer. Accordingly, DOE is not adopting Multi-Wing's suggestions.
    After considering the comments noted above, DOE is adopting the 
definition of the term ``engineered-to-order'' as recommended by the 
Working Group, along with the associated certification requirements, 
without modification.
    DOE notes it also received two related comments regarding how 
manufacturers should rate engineered-to-order basic models. AHRI 
commented that DOE should provide the option to certify engineered-to-
order equipment by testing just one basic model or by using an AEDM. 
(AHRI, No. 0072.1 at p.2) HTP suggested DOE clarify that ``engineered-
to-order'' may be rated using a pre-existing AEDM. (HTP, No. 0071.1 at 
p. 1) DOE agrees with that an engineered-to-order basic model may be 
rated with a pre-existing AEDM and notes that there are no limitations 
on the use of AEDMs with respect to engineered-to-order basic models. 
Therefore, no regulatory changes are needed. Permitting ratings based 
on tests of a single unit, however, will require a regulatory change, 
which DOE will consider in a future rulemaking.

D. Certification Reports

1. General Requirements
    The Working Group recommended and DOE proposed in the NOPR that 
manufacturers submit general information to DOE in all certification 
reports. The only items that manufacturers are not currently required 
to provide DOE in accordance with 10 CFR 429.12 are customer-specified 
model numbers and the name of the AEDM used. The Working Group 
recommended the all commercial HVAC, WH, and refrigeration equipment 
certification reports include:
     Product or equipment type;
     Product or equipment class;
     Manufacturer name and address;
     Private labeler name and address, if applicable;
     Brand name;
     Basic model number;
     Individual model numbers covered by the basic model;
     Customer-specified model numbers, if applicable;
     Status (new certification, discontinued, existing, etc.);
     Test sample size (report ``0'' if an AEDM was used);
     U.S. Customs and Border Protection (CBP) importer ID 
number, if applicable;
     Whether the certification was based on test procedure 
waiver and the date of such waiver;
     Whether the certification was based on exception relief 
from the Office of Hearings and Appeals and the date of such relief; 
and
     AEDM name or identifier, if the sample size is ``0.''
    The Working Group also recommended that only the information 
specified below be publicly posted on DOE's Web site. Accordingly, DOE 
is proposing to revise 10 CFR 429.7(a) to include these items as ``not 
exempt from public disclosure.''
     Product or equipment type;
     Product or equipment class;
     Private labeler name;
     Brand name;
     Individual model numbers covered by the basic model;
     Whether the certification was based on test procedure 
waiver and the date of such waiver; and
     Whether the certification was based on exception relief 
from the Office of Hearings and Appeals and the date of such relief.
    Traulsen agreed in principle with the general certification 
requirements, but noted that adding more items and identifiers to the 
reporting process would create additional reporting burdens. (Traulsen, 
No. 0074.1 at p. 2) AHRI agreed that ``private labeler name'' should 
not be exempt from public disclosure, but for clarity suggested that 
DOE amend the term ``private labeler name'' to ``manufacturer or 
private labeler name as applicable.'' (AHRI, No. 0072.1 at p. 2) DOE 
disagrees with AHRI. Where a private labeler is used, both the 
manufacturer and private labeler must be listed on the certification 
report to ensure that DOE has sufficiently complete information to 
readily identify a given equipment model's manufacturer. By including 
this information, DOE can more easily link a particular private label 
or name (which may change over time) with the appropriate manufacturer.
    Traulsen expressed concern about disclosing the name of the private 
labeler because there are confidential agreements that exist with 
private branding. Traulsen said it would not support any requirements 
that would cause it to violate those agreements and place such 
information in a public database. (Traulsen, No. 0074.1 at p. 2) The 
manufacturer name will not be made public, as was recommended by the 
Working Group. Traulsen may have misunderstood that the ``private 
labeler'' is the party who is branding the product; it is the entity 
publicly tied to the brand. The manufacturer, on the other hand, is the 
``private'' party, which may be confidential business information. DOE 
also notes that the Working Group, in which Traulsen was a voting 
member, supported this recommendation.
    Zero Zone questioned if manufacturers can advertise alternate lower 
energy consumption values for models included in the basic model group. 
(Zero Zone, No. 0070.1 at p.1) DOE notes that the approach in its 
proposal would require a manufacturer to treat each group of its models 
that have essentially identical energy consumption or water consumption 
characteristics as a ``basic model.'' The manufacturer would then 
derive the efficiency rating for all models in that group from the 
results of testing sample units of these models. All of the models in 
the group would comprise the ``basic model,'' and they would all have 
the same efficiency rating. Manufacturers cannot advertise better 
energy efficiency or consumption ratings than those certified to the 
Department.
    With respect to model numbers, DOE proposed that commercial HVAC, 
WH and refrigeration equipment manufacturers could provide customer-
specified model numbers, in addition to the other current reporting 
requirements found within 10 CFR 429.12(b). The Working Group used the 
term ``customer-specified model number'' to describe an individual 
model number that is specified by a customer in lieu of the 
manufacturer's normal model numbering system. This ``customer-specified 
model number'' often includes the customer's name or brand name, and 
thus may reveal confidential business information about company 
relationships. Therefore, in the NOPR, DOE proposed to use the term 
``private model number'' instead of ``customer-specified model number'' 
in the regulatory text to differentiate it from a manufacturer's 
individual model number, which is considered public information. DOE 
did not receive any comments on this proposal and is adopting it in 
this final rule.

[[Page 25491]]

    The Working Group also recommended changes to the AEDM provisions 
as applied to commercial HVAC, WH and refrigeration equipment, which 
DOE addressed in a separate rulemaking. See 78 FR 79579 (Dec. 31, 
2013). As part of those recommendations, the Working Group developed 
the concept of having multiple, unique AEDMs. Because certain 
verification provisions are tied to the basic models rated with each 
AEDM, the Working Group recommended that manufacturers use a name or 
other identifier to designate which basic models were rated using which 
AEDM. The Working Group recommended that a manufacturer include that 
AEDM name/identifier as part of the certification of a basic model that 
was rated using the AEDM. DOE proposed to require the AEDM name or 
identifier as part of the certification of a basic model where the 
basic model was rated using an AEDM. The Working Group further 
recommended that DOE modify the language regarding sample size in 
429.12(b)(8) to indicate that models certified with performance data 
based upon an AEDM should indicate the sample size is ``0''.
    DOE received one comment on this proposal. AHRI agreed that if the 
sample size is ``0,'' which would indicate that the basic model is 
rated with an AEDM, then the manufacturer should identify the method of 
determining the ``measures of energy conservation.'' It suggested that 
DOE allow manufacturers of 3-phase, small, air-cooled commercial HVAC 
equipment to use ARMs that were developed and approved for similar 
single-phase residential equipment. (AHRI, No. 0072.1 at p. 3) DOE 
agrees with AHRI that manufacturers can use simulations developed for 
central air conditioners and heat pumps for similar 3-phase, air-cooled 
equipment with a cooling capacity less than 65,000 Btu/h. However, the 
manufacturer would still need to validate the simulation as an AEDM 
according to DOE's requirements in 10 CFR 429.70. In this final rule, 
DOE is adopting the requirement for manufacturers to specify the AEDM 
name or identifier as part of the certification of a basic model which 
was rated using an AEDM.
    The Working Group also recommended that certification reports for 
commercial HVAC, WH, and refrigeration equipment identify whether the 
basic model was engineered-to-order. The CA IOUs supported DOE's 
requirements to modify general certification reports by adding private 
model numbers and engineered-to-order classification options, the name 
of the AEDM used, and if applicable changing the sample size specified 
when using an AEDM. (CA IOUs, No. 0076.1 at p. 1) DOE received no other 
comments on this issue.
    DOE generally requires manufacturers to certify to DOE, prior to 
distribution in commerce, the compliance of each basic model subject to 
an applicable energy conservation standard set forth in 10 CFR 430 or 
10 CFR 431. See 10 CFR 429.12. The Working Group made several 
recommendations regarding when manufacturers should be required to 
submit a certification report to DOE based on the specific 
circumstances regarding manufacturing of commercial HVAC, WH, and 
refrigeration equipment. For domestically manufactured, engineered-to-
order products, the Working Group recommended that DOE consider 
distribution in commerce to begin on the date on which the basic model 
is shipped. For all other domestic products, it recommended that DOE 
consider distribution in commerce to begin on the date on which a 
manufacturer is first willing to accept an order. For engineered-to-
order products built outside of the U.S., the Working Group recommended 
that DOE consider distribution in commerce to begin on the date on 
which the basic model is imported. For all other foreign manufactured 
products, it recommended that DOE consider distribution in commerce to 
begin on either the date on which a basic model is imported for sale or 
the date on which a manufacturer is willing to accept an order, 
whichever is first. DOE proposed to adopt these interpretations for the 
limited purposes of determining by what date certification reports must 
be submitted to the Department for commercial HVAC, WH and 
refrigeration equipment. The Department did not receive any comments on 
this proposal.
    In this final rule the Department is adopting the Working Group's 
recommendations, which include the general certification information 
required from manufacturers, specific information that is not exempt 
from public disclosure, private model numbers (i.e., customer-specified 
model numbers for which DOE is simply modifying the name for clarity), 
AEDM identifiers, engineered-to-order designation, sample size ``0'' 
for basic models rated with an AEDM, and guidelines establishing when a 
basic model is distributed in commerce.
2. Equipment Specific Certification Information
    DOE adopted an approach that permits commercial HVAC, WH, and 
refrigeration equipment manufacturers to elect to have a manufacturer's 
representative on-site to witness test set-up before verification 
testing occurs. Under this approach, a maximum of 10 percent of the 
manufacturer's certified basic models rated with an AEDM may be 
witness-tested. A manufacturer would indicate which of its basic models 
in its certification report(s) would be eligible to be witness-tested. 
78 FR 79579, 79585. DOE has included this certification requirement in 
its proposal in the equipment-specific certification sections. AHRI 
commented that manufacturers should be allowed to elect to witness test 
all models and not just those rated by an AEDM. (AHRI, No. 0072.1 at 
p.3) DOE notes that this rule is adopting the necessary certification 
provisions to implement the Working Group's recommendation regarding 
witness testing of basic models rated using an AEDM. The Working Group 
did not negotiate similar provisions for other basic models, and 
whether DOE should adopt similar provisions for basic models not rated 
using an AEDM is outside the scope of this rulemaking.
    The Working Group also outlined information specific to the 
commercial HVAC, WH, and refrigeration equipment that should be 
certified to DOE, listed in Table II.2, Table II.3, Table II.4, and 
Table II.5. In addition to the equipment-specific information it 
identified, the Working Group recommended that manufacturers be 
permitted to submit a document in PDF format with additional testing 
instructions that are required to test the equipment according to the 
applicable DOE test procedure. For instance, the PDF with additional 
instructions may include the refrigerant charging instructions for a 
given basic model. As indicated in Tables II.4 and II.5, the Working 
Group determined that the PDF with testing instructions should be 
optional for some types of equipment but mandatory for others due to 
the complexities with testing certain basic models and the unique 
nature associated with certain basic models of custom equipment. For 
those types of HVAC equipment that are required to have additional 
testing instructions submitted along with its certification, the 
Working Group further provided a list of specific information that 
should be included in those instructions as detailed in Table II.4. DOE 
proposed to

[[Page 25492]]

adopt these certification requirements in the NOPR. 79 FR 8886, 8890.
    For commercial HVAC and refrigeration equipment, the Working Group 
recommended that certain features should not be subject to testing and, 
thus, should not be considered when determining the efficiency of a 
basic model. Models with these special features would only be excluded 
from testing and certification if the manufacturer offers an otherwise 
identical model without the feature(s) in the basic model. The Working 
Group recommended that a manufacturer identify in the PDF portion of a 
certification report whether a basic model includes any of these 
special features. That is, if the manufacturer does not offer an 
``otherwise identical'' model without the feature--meaning the 
certification is based on testing with the feature--the manufacturer 
must specify in the PDF portion of the certification report which 
``special'' features are included in the basic model's rating.

            Table II.2--CRE Certification Report Requirements
------------------------------------------------------------------------
                              Certification report   Additional testing
       Equipment type             must include:         instructions:
------------------------------------------------------------------------
--Self-contained commercial   --Daily energy        Must be submitted
 refrigerators and freezer     consumption (kWh/     with certification
 with solid doors.             day).                 report.
--Self-contained commercial   --Chilled or frozen
 refrigerators and freezers    compartment volume
 with transparent doors.       (ft\3\).
--Self-contained commercial   --Daily energy        Must be submitted
 refrigerator-freezers with    consumption (kWh/     with certification
 solid doors.                  day)                  report.
                              --Adjusted volume
                               (ft\3\)..
--Remote condensing           --Daily energy        Must be submitted
 commercial refrigerators,     consumption (kWh/     with certification
 freezers, and refrigerator-   day).                 report.
 freezers.
--Self-contained commercial   --Total display area
 refrigerators, freezers,      (ft\2\) or chilled
 and refrigerator-freezers     volume (ft\3\) as
 without doors.                applicable.
--Commercial ice-cream        --Rating temperature
 freezers.                     ([deg]F).
--Commercial refrigeration    --Equipment class
 equipment with two or more    designation as
 compartments.                 described in 10 CFR
--Service over the counter     431.66.
 refrigerators and freezers.
------------------------------------------------------------------------


           Table II.3--HVAC Certification Report Requirements
------------------------------------------------------------------------
          Equipment type             Certification reports must include:
------------------------------------------------------------------------
Commercial Warm Air Furnaces......  --Thermal efficiency (%).
                                    --Maximum rated input capacity (Btu/
                                     h).
Commercial Packaged Boilers.......  --Combustion efficiency (%) or
                                     thermal efficiency (%) as
                                     applicable.
                                    --Maximum rated capacity (Btu/h).
Air-Cooled, Split and Packaged      --Seasonal energy efficiency ratio
 (ACs) and (HPs) less than 65,000    (Btu/Wh).
 Btu/h cooling capacity (3-Phase).  --Heating seasonal performance
                                     factor (Btu/Wh) if applicable.
                                    --Rated cooling capacity (Btu/h).
Commercial packaged air-cooled,     --Energy efficiency ratio (Btu/Wh).
 evaporatively-cooled, and water    --Coefficient of performance, if
 cooled air conditioners and heat    applicable.
 pumps greater than or equal to     --Rated cooling capacity (Btu/h).
 65,000 Btu/h cooling capacity.     --Heating type (may be none).
PTACs and PTHPs...................  --Energy efficiency ratio (Btu/Wh).
                                    --Coefficient of performance, if
                                     applicable.
                                    --Cooling capacity (Btu/h).
                                    --Wall sleeve dimensions (in).
SPVUs.............................  --Energy efficiency ratio (Btu/Wh).
                                    --Coefficient of performance, if
                                     applicable.
                                    --Cooling capacity (Btu/h).
VRF ACs and HPs with less than      --Seasonal energy efficiency ratio
 65,000 Btu/h cooling capacity.      (Btu/Wh).
                                    --Heating seasonal performance
                                     factor (Btu/Wh) if applicable.
                                    --Rated cooling capacity (Btu/h).
VRF AC and HPs with 65,000 Btu/h    --Energy efficiency ratio (Btu/Wh).
 cooling capacity or more.          --Coefficient of performance, if
                                     applicable.
                                    --Rated cooling capacity (Btu/h).
                                    --Heating type (may be none).
Water Source VRFs HPs.............  --Energy efficiency ratio (Btu/Wh).
                                    --Coefficient of performance.
                                    --Rated cooling capacity (Btu/h).
                                    --Heating type (may be none).
Computer Room ACs.................  --Net sensible cooling capacity (Btu/
                                     h).
                                    --Net cooling capacity (Btu/h).
                                    --Configuration (upflow/downflow).
                                    --Economizer presence (Yes or No).
                                    --Condenser medium (air, water, or
                                     glycol-cooled).
                                    --Sensible coefficient of
                                     performance.
                                    --Rated airflow (SCFM).
Water Source HPs..................  --Energy efficiency ratio (Btu/Wh).
                                    --Coefficient of performance.
                                    --Rated cooling capacity (Btu/h).

[[Page 25493]]

 
                                    --Heating type (may be none).
------------------------------------------------------------------------


    Table II.4--HVAC Requirements for Additional Testing Instructions
------------------------------------------------------------------------
        Equipment type              Additional testing instructions
------------------------------------------------------------------------
Commercial Warm Air Furnaces.  Optional.
Commercial Packaged Boilers..  Optional.
Air-Cooled, Split and          Must be submitted and include:
 Packaged ACs and HPs less     --Nominal cooling capacity (Btu/h),
 than 65,000 Btu/h Cooling     --Rated heating capacity (Btu/h), if
 Capacity (3-Phase).            applicable,
                               --Rated airflow (SCFM) for each fan coil,
                               --Rated static pressure (inches of
                                water),
                               --Charging instructions,
                               --Frequency set points,
                               --Required dip switch/control setting for
                                step or variable components,
                               --Indication that model will not operate
                                at test conditions without manufacturer
                                programming,
                               --Base motor designation, and
                               --Indication if excluded features are
                                included in base model.
Commercial packaged air-       Must be submitted and include:
 cooled ACs and HPs with       --Nominal cooling capacity,
 65,000 Btu/h Cooling          --Rated heating capacity, if applicable,
 Capacity or More,             --Rated airflow (SCFM) for each fan coil,
 Evaporatively-Cooled ACs and  --Water flow rate (gpm) for water-cooled
 HPs, and Water-Cooled ACs      units only
 and HPs.                      --Rated static pressure,
                               --Charging instructions,
                               --Frequency set points,
                               --Required dip switch/control setting for
                                step or variable components,
                               --Indication that model will not operate
                                at test conditions without manufacturer
                                programming,
                               --Base motor designation, and
                               --Indication if excluded features are
                                included in base model.
PTACs and PTHPs..............  Optional.
SPVUs........................  Optional.
Variable Refrigerant Flow ACs  Must be submitted and include:
 and HPs less than 65,000 Btu/ --Nominal cooling capacity (Btu/h),
 h Cooling Capacity.           --Rated heating capacity (Btu/h), if
                                applicable,
                               --Outdoor unit(s) and indoor units
                                identified in the tested combination
                               --Components needed for heat recovery if
                                applicable,
                               --Rated airflow (SCFM) for each indoor
                                unit,
                               --Water flow rate (gpm) for water-cooled
                                units only
                               --Rated static pressure (inches of
                                water),
                               --Compressor frequency set points,
                               --Required dip switch/control setting for
                                step or variable components,
                               --Indication that model will not operate
                                at test conditions without manufacturer
                                programming,
                               --Base motor designation, and
                               --Indication if excluded features are
                                included in base model.
                               Upon request by DOE manufacturer must
                                provide a layout of the system set-up
                                for testing including charging
                                instructions consistent with
                                installation manual.
Variable Refrigerant Flow ACs  Must be submitted and include:
 and HPs with 65,000 Btu/h     --Nominal cooling capacity (Btu/h),
 Cooling Capacity or More.     --Rated heating capacity (Btu/h), if
                                applicable,
                               --Outdoor unit(s) and indoor units
                                identified in the tested combination
                               --Components needed for heat recovery if
                                applicable,
                               --Rated airflow (SCFM) for each indoor
                                unit,
                               --Water flow rate (gpm) for water-cooled
                                units only
                               --Rated static pressure (inches of
                                water),
                               --Compressor frequency set points,
                               --Required dip switch/control setting for
                                step or variable components,
                               --Indication that model will not operate
                                at test conditions without manufacturer
                                programming,
                               --Base motor designation, and
                               --Indication if excluded features are
                                included in base model.
                               Upon request by DOE manufacturer must
                                provide a layout of the system set-up
                                for testing including charging
                                instructions consistent with
                                installation manual.
Water Source Variable          Must be submitted and include:
 Refrigerant Flow HPs.         --Nominal cooling capacity (Btu/h),
                               --Rated heating capacity (Btu/h),
                               --Rated airflow (SCFM) for each indoor
                                uit,
                               --Water flow rate (gpm),
                               --Rated static pressure (inches of water)
                                if applicable,
                               --Charging instructions,
                               --Compressor/VFD frequency set points,

[[Page 25494]]

 
                               --Required dip switch/control setting for
                                step or variable components,
                               --Indication that model will not operate
                                at test conditions without manufacturer
                                programming,
                               --Base motor designation, and
                               --Indication if excluded features are
                                included in base model.
                               Upon request by DOE manufacturer must
                                provide a layout of the system set-up
                                for testing including charging
                                instructions consistent with
                                installation manual.
Computer Room ACs............  Optional.
Water Source HPs.............  Must be submitted and include:
                               --Nominal cooling capacity (Btu/h),
                               --Rated heating capacity (Btu/h), if
                                applicable,
                               --Rated airflow (SCFM),
                               --Water flow rate (gpm),
                               --Rated static pressure (inches of
                                water),
                               --Charging instructions,
                               --Compressor/VFD frequency set points,
                               --Required dip switch/control setting for
                                step or variable components,
                               --Indication that model will not operate
                                at test conditions without manufacturer
                                programming,
                               --Base motor designation, and
                               --Indication if excluded features are
                                included in base model.
------------------------------------------------------------------------


                                Table II.5--WH Certification Report Requirements
----------------------------------------------------------------------------------------------------------------
                                   Certification report must
          Equipment type                    include:                   Additional testing instructions:
----------------------------------------------------------------------------------------------------------------
Commercial Electric Storage Water  --Maximum standby loss (%/ Optional.
 Heaters.                           h).
                                   --Measured storage volume
                                    (gal)..
Commercial gas-fired and oil-      --Thermal efficiency (%).  Optional.
 fired storage water heaters.      --Maximum standby loss
                                    (Btu/h)..
                                   --Rated storage volume
                                    (gal).
                                   --Nameplate input rate
                                    (Btu/h)..
Commercial water heaters and hot   --Storage volume is        Optional.
 water supply boilers (storage      greater than 140 gal
 capacity > 140 gal).               (Yes/No).
                                   --Tank surface area is
                                    insulated with at least
                                    R-12.5 (Yes/No).
                                   --No standing pilot light
                                    (Yes/No).
                                   --Gas or oil-fired water
                                    heater has a fire damper
                                    or fan assisted
                                    combustion (Yes/No).
                                   --If ``no'' to any of the
                                    above, report standby
                                    loss (Btu/h) and
                                    measured storage volume
                                    (gal).
Commercial gas-fired and oil-      --Thermal efficiency (%).  Optional.
 fired instantaneous water         --Storage volume (gal)...
 heaters less than 10 gallons and
 gas-fired and oil-fired hot
 water supply boilers less than
 10 gallons.
Commercial gas-fired and oil-      --Thermal efficiency (%).
 fired instantaneous water         --Maximum standby loss
 heaters greater than or equal to   (Btu/h)..
 10 gallons and gas-fired and oil- --Rated storage volume
 fired hot water supply boilers     (gal)..
 greater than or equal to 10       --Nameplate input rate
 gallons.                           (Btu/h)..
Commercial unfired hot water       --Thermal insulation (R-   Optional.
 storage tanks.                     value).
                                   --Stored water volume
                                    (gal)..
----------------------------------------------------------------------------------------------------------------

    AHRI provided several comments on the proposed requirements for 
commercial HVAC equipment. AHRI requested that DOE list the 
requirements for commercial heat pumps and air conditioners separately 
to improve the comprehensibility of the regulations. (AHRI, No. 0072.1 
at p. 3) DOE agrees with AHRI and will list the requirements separately 
in the regulatory text in this final rule.
    AHRI also stated that net cooling capacity is not relevant to 
computer room air conditioners, as the cooling loads associated with 
these products are primarily sensible (i.e., the cooling loads 
associated with the dry-bulb temperatures), and therefore DOE should 
remove ``net cooling capacity'' from the certification report. (AHRI, 
No. 0072.1 at p. 3) DOE agrees that the load for computer room air 
conditioners is primarily sensible loads. However, the net cooling 
capacity remains useful for assessment purposes since this value can be 
used to aid commercial customers in matching the loads they may 
encounter in the field. Additionally, net cooling capacity is measured 
as part of the computer room air conditioner test procedure and 
reporting this value would be unlikely to increase manufacturer testing 
burdens. Accordingly, DOE is declining to adopt AHRI's suggestion.
    AHRI also requested that the presence of an economizer (i.e., an 
automatic system that enables a cooling system to supply outdoor air to 
reduce or eliminate the need for mechanical cooling during mild or cold 
weather) should be listed as ``Yes, No, or Optional'' for computer room 
air conditioners. (AHRI, No. 0072.1 at p. 3) DOE understands that some 
models have the option of an economizer, but as this type of feature 
impacts the unit's performance, in DOE's view,

[[Page 25495]]

manufacturers should consider whether to group models equipped with 
economizers separately from models without economizers since the energy 
consumption characteristics could differ.
    AHRI commented that manufacturers of water source heat pumps should 
not be required to provide duplicate information in the proposed 
supplemental PDF submission, like rated airflow, rated heating 
capacity, and nominal cooling capacity, because this information is 
already in the certification report. (AHRI, No. 0072.1 at p.4) DOE 
agrees with AHRI that manufacturers should not have to report any 
information in the supplemental PDF that was already included in the 
certification report. However, in addition to the general certification 
information requirements, the certification report for water source 
heat pumps only requires the energy efficiency ratio (Btu/Wh), 
coefficient of performance, rated cooling capacity (Btu/h), and heating 
type (which may be none). None of the product specific information 
identified by AHRI are certification report requirements duplicated in 
the supplemental PDF.
    AHRI requested that DOE clarify that the proposed certification 
report requirements applying to variable refrigerant flow (VRF) multi-
split systems with less than 65,000 Btu/h cooling capacity should only 
apply to 3-phase equipment. (AHRI, No. 0072.1 at p. 3) DOE agrees and 
has made appropriate clarifications in the regulatory text in part 429.
    DOE received a number of comments on the proposed supplemental PDF 
submission. Traulsen commented that a generic set of charging 
instructions by product family with the listing of excluded features 
could be provided with the initial certification and reviewed annually. 
(Traulsen, No. 0074.1 at p. 2) DOE agrees that a manufacturer may 
submit one PDF covering multiple basic models, particularly if all the 
basic models are part of the same product family, because it would 
reduce the certification burden while still providing the necessary 
testing information. For those equipment types for which PDFs are 
required or for which a manufacturer elects to submit a PDF, 
manufacturers must associate the appropriate PDF file name with its 
certification of the basic model in the template. Thus, if a 
manufacturer submits a single PDF spanning many different basic models, 
it should clearly mark within the PDF which testing instructions are 
applied to each specific basic model.
    Summit strongly opposed DOE's proposal that manufacturers submit a 
PDF with specific testing requirements for every registered product 
because it would create a significant testing burden for manufacturers. 
Summit estimated that it would take 16 to 40 hours per model to 
initially develop and review the testing instructions and an additional 
4 to 16 hours per model to review the supplement PDF each year. Summit 
explained that this amount of time would require manufacturers to hire 
full time staff to work on certification issues, which would be 
detrimental to small businesses in particular. (Summit, No. 0067.1 at 
pp. 1-2) DOE clarifies that the supplemental PDF for commercial 
refrigeration equipment must include any additional testing 
instructions the manufacturer deems necessary to properly test its 
equipment, as long as such instructions do not contradict the test 
procedure. These instructions are included at the manufacturer's 
discretion, and the manufacturer may determine that no additional 
testing instructions are necessary.
    Summit also questioned how a specific test instruction recommended 
by the manufacturer could be used if it contradicted the DOE test 
procedure. (Summit, No. 0067.1 at p. 1) As previously stated, DOE will 
not use any manufacturer recommended test instructions that are not 
allowed by or are inconsistent with the DOE test procedure.
    Finally, DOE proposed to move the provisions for certifying 
commercial packaged boilers and commercial warm air furnaces from 10 
CFR 429.43 to 10 CFR 429.41 and 429.60, respectively. (Section 429.41, 
which is currently reserved for electric motors, would be moved to 
another available section.) This change would reflect that commercial 
packaged boilers and commercial warm air furnaces are types of 
equipment for which the regulations are typically amended through 
separate rulemakings and are located in different subparts of 10 CFR 
part 431 (subpart D for commercial warm air furnaces and subpart E for 
commercial packaged boilers) than commercial air conditioning and heat 
pump equipment (subpart F). DOE is not proposing any changes to the 
sampling provisions for these products; the modification would ensure 
that the organizational structure of part 429 better reflects the 
structure of part 431. DOE notes that section 429.43 would continue to 
provide the certification requirements for the equipment in 10 CFR part 
431, subpart F (commercial air conditioners and heat pumps). DOE did 
not receive any comments on this proposal and will adopt this change in 
this final rule.

III. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    This regulatory action is not a ``significant regulatory action'' 
under section 3(f) of Executive Order 12866, Regulatory Planning and 
Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this action was not 
subject to review under the Executive Order by the Office of 
Information and Regulatory Affairs (OIRA) in the Office of Management 
and Budget (OMB).

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 (IRFA) for 
any rule that by law must be proposed for public comment and a final 
regulatory flexibility analysis (FRFA) for any rule that an agency 
adopts as a final rule, 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 the General Counsel's Web site (http://energy.gov/gc/office-general-counsel). DOE reviewed the February 2014 NOPR and this final 
rule under the provisions of the Regulatory Flexibility Act procedures 
and policies published on February 19, 2004.
    For manufacturers of HVAC, WH, and refrigeration equipment, the 
Small Business Administration (SBA) has set a size threshold, which 
defines those entities classified as ``small businesses'' for the 
purposes of the statute. DOE used the SBA's small business size 
standards to determine whether any small entities would be subject to 
the requirements of the rule. 65 FR 30848 (May 15, 2000), as amended at 
65 FR 53533, 53544 (Sept. 5, 2000) and codified at 13 CFR part 121. The 
size standards are listed by North American Industry Classification 
System (NAICS) code and industry description and are available at 
http://www.sba.gov/category/navigation-structure/contracting/contracting-officials/small-business-size-standards. Manufacturing

[[Page 25496]]

of HVAC and commercial refrigeration equipment is classified under 
NAICS 333415, ``Air-Conditioning and Warm Air Heating Equipment and 
Commercial and Industrial Refrigeration Equipment Manufacturing.'' The 
SBA sets a threshold of 750 employees or less for an entity to be 
considered as a small business for this category. Manufacturing of WH 
equipment is classified under NAICS 333319, ``Other Commercial and 
Service Industry Machinery Manufacturing,'' for which SBA also sets a 
size threshold of 500 employees or fewer for being considered a small 
business.
1. Description and Estimated Number of Small Entities Regulated
    To estimate the number of companies that could be small business 
manufacturers of equipment covered by this rulemaking, DOE conducted a 
market survey using publicly available information. DOE's research 
involved industry trade association membership directories (including 
AHRI), information from previous rulemakings, product directories (AHRI 
Directory,\(4)\ the California Energy Commission Appliance Efficiency 
Database \(5)\), individual company Web sites, and market research 
tools (e.g., Dunn and Bradstreet reports \(6)\ and Hoovers reports 
\(7)\). DOE used information from these sources to create a list of 
companies that potentially manufacture commercial HVAC, WH, and 
refrigeration equipment covered by this rulemaking. DOE screened out 
companies that do not offer equipment covered by this rulemaking, do 
not meet the definition of a ``small business,'' or are foreign owned 
and operated. Based on these efforts, DOE estimates that there are 5 
small business manufacturers of all commercial HVAC equipment, 32 small 
business manufacturers of commercial refrigeration equipment, and 9 
small business manufacturers of commercial WH equipment.
2. Description and Estimated of Compliance Requirements
    DOE entered into negotiations with commercial HVAC, water heating, 
and refrigeration equipment manufacturers regarding the types of 
information to submit when certifying their equipment and when that 
certification must be made to the Department. The outcomes of the 
negotiation resulted in slight changes to the information that DOE is 
collecting for commercial HVAC, WH, and refrigeration equipment. The 
most notable of these changes adopted in this rule is that some 
manufacturers of commercial refrigeration equipment and some types of 
commercial HVAC equipment must submit a PDF with specific testing 
instructions to be used by the Department during verification and 
enforcement testing. Manufacturers of water heating equipment and some 
types of commercial HVAC equipment would have the option of submitting 
a PDF with additional testing instructions at the manufacturer's 
discretion. The certification requirements adopted in this final rule 
reflect the direct results of the negotiations. By permitting 
manufacturers to submit PDFs with additional testing instructions, 
individual manufacturers will have a mechanism to provide the 
Department with additional information necessary for testing each basic 
model.
    In general, this rule requires manufacturers to submit a 
certification report indicating that all basic models distributed in 
commerce in the U.S. comply with the applicable standards using DOE's 
testing procedures, as well as the necessary product specific 
certification data describing the efficiency and characteristics of the 
basic model. The certification reports are submitted for each basic 
model, either when the requirements go into effect (for models already 
in distribution), or when the manufacturer begins distribution of a 
particular basic model, and annually thereafter. Reports must be 
updated when a new model is introduced or a change affecting energy 
efficiency or use is made to an existing model resulting in a change in 
the certified rating.
    DOE currently requires manufacturers or their party representatives 
to prepare and submit certification reports using DOE's electronic Web-
based tool, the Compliance and Certification Management System (CCMS), 
which is the only mechanism for submitting certification reports to 
DOE. CCMS currently has product specific templates that manufacturers 
must use when submitting certification data to DOE. See http://www.regulations.doe.gov/ccms. This final rule would not change the 
electronic submission requirement for commercial HVAC, WH, and 
refrigeration equipment. DOE believes the availability of electronic 
filing through the CCMS system reduces reporting burdens, streamlines 
the process, and provides the Department with needed information in a 
standardized, more accessible form. This electronic filing system also 
ensures that records are recorded in a permanent, systematic way.
3. Duplication, Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any rules or regulations that duplicate, 
overlap, or conflict with this final rule.
4. Significant Alternatives to the Rule
    This section considers alternatives to the certification, 
compliance, and enforcement provisions in this rulemaking. DOE has 
tried to minimize the reporting burden as much as possible by: (1) 
Accepting electronic submissions; (2) providing preformatted templates 
that lay out the certification and compliance requirements for each 
product; and (3) allowing manufacturers to group individual models into 
basic models for the purposes of certification to reduce the number of 
discrete models reported to the Department. DOE also notes that the 
Working Group included representatives of small businesses and that 
this proposal reflects the recommendations of that Working Group. DOE 
has also made efforts to address the concerns of small businesses by 
expanding the ability of manufacturers to use alternative efficiency 
determination methods (AEDMs) in lieu of testing equipment. Further, 
DOE is adopting certification provisions set forth in this rulemaking 
as negotiated by the Working Group for all manufacturers of covered 
products and covered equipment that would be affected by this proposal.

C. Review Under the Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501, et 
seq.), Federal agencies must obtain approval from the Office of 
Management and Budget (OMB) for each collection of information they 
conduct, sponsor, or require through regulations. This final rule 
mandates that manufacturers and importers of covered commercial HVAC, 
WH, and refrigeration equipment certify to the Department that the 
products they are distributing in commerce in the U.S. comply with the 
applicable energy conservation standards.
    In compliance with the PRA, DOE sought comment on the proposed 
expansion of the existing information collection. As noted earlier in 
the preamble, DOE negotiated these certification requirements with 
interested parties in an effort to minimize the burden of the reporting 
requirements, while providing DOE with important information about 
equipment being sold.
    DOE proposed to require that manufacturers certify as compliant 
with the applicable energy conservation

[[Page 25497]]

standards the following groups of basic models of equipment: (1) New 
basic models before distribution in commerce; (2) existing basic 
models, whose certified rating remains valid, annually; (3) existing 
basic models, whose designs have been altered and result in a change in 
rating that is more consumptive or less efficient, at the time the 
design change is made; and (4) previously certified basic models that 
have been discontinued on an annual basis. Respondents may submit 
reports to the Department at any time during the year using DOE's 
online system.
    The outcomes of the negotiation resulted in slight changes to the 
information that DOE will collect for commercial HVAC, WH, and 
refrigeration equipment. The most notable of these changes is that DOE 
proposed in the NOPR that manufacturers of commercial refrigeration 
equipment and some types of commercial HVAC equipment must submit a PDF 
with specific testing instructions to be used by the Department during 
verification and enforcement testing. Manufacturers of commercial water 
heating equipment and some types of commercial HVAC equipment have the 
option of submitting a PDF with additional testing instructions at the 
manufacturer's discretion. DOE's proposal and final rule both reflect 
the direct results of the negotiations, without modification in this 
regard.
    In the NOPR, DOE estimated that it will take each respondent 
approximately 30 hours total per company per year to comply with the 
certification requirements based on 20 hours of technician/technical 
work and 10 hours clerical work to submit the CCMS templates. For the 
purposes of estimating burden, DOE assumed that each respondent will 
submit approximately 10 CCMS templates during the course of the year, 
which is encompassed by the 30 hours total per company per year 
estimate. DOE recognizes that a respondent may submit a minimum of 1 
report per year, whereas other respondents may submit one weekly. DOE 
estimates the burden for this rule as follows:
    (1) Annual Estimated Number of Respondents: 100;
    (2) Annual Estimated Number of Total Responses: 1,000;
    (3) Annual Estimated Number of Burden Hours: 30,000 (14 hours for 
certification reports, compliance statements, and recordkeeping; 16 
hours for testing pdfs);
    (4) Annual Estimated Reporting and Recordkeeping Cost Burden: 
$300,000.
    DOE requested comment on: (a) Whether the proposed collection of 
information is necessary for the proper performance of the functions of 
the agency, including whether the information shall have practical 
utility; (b) the accuracy of the agency's estimate of the burden of the 
proposed collection of information, including the validity of the 
methodology and assumptions used; (c) ways to enhance the quality, 
utility, and clarity of the information to be collected; and (d) ways 
to minimize the burden of the collection of information on respondents, 
including through the use of automated collection techniques or other 
forms of information technology.
    Traulsen commented on the necessity of the information DOE proposed 
to collect in the NOPR. Traulsen does not believe that the additional 
categories of information and classifications are necessary for DOE to 
have in addition to the efficiency ratings of products on the market. 
Companies should be allowed to keep its information private and present 
it to the DOE only if a failure is declared. (Traulsen, No. 0074.1 at 
p. 2) DOE does not agree with Traulsen. In order for the Department to 
check certification reports and conduct assessment testing, DOE 
requires additional information beyond the efficiency rating like 
product class and exact charging instructions. During the negotiation, 
manufacturers asserted that, without such information available prior 
to assessment testing, DOE would lack the ability to test certain types 
of equipment, which would prevent the Department from enforcing the 
energy conservation standards. (42 U.S.C. 6311-6317)
    Four stakeholders commented on the estimated burden of the 
collection of information. AHRI commented that the number of hours 
needed to prepare and submit a certification report is more than 30 
hours per year. (AHRI, No. 0072.1 at p. 4) Continental also commented 
that the burden to certify exceeds 30 hours per year because 
manufacturers have hundreds of models with thousands of product 
variations. Continental also remarked that with these new regulations 
customer requests must be reviewed for compliance, which increases 
manufacturer burden. (Continental, No. 0073.1 at p. 1) Summit stated 
that DOE underestimated the time burden to certify by two orders of 
magnitude and the financial burden. Summit also estimated that it would 
cost manufacturers $225 million. Summit urged DOE to survey CCMS 
filers, including small businesses, to establish more accurate burden 
estimates before imposing these reporting requirements. (Summit, No. 
0067 at pp. 2-3) Zero Zone remarked that it is difficult to determine 
if 30 hours per year per manufacturer is reasonable because the 
templates have not yet been posted. (Zero Zone, No. 0070.1 at pp. 1-2)
    With respect to each of these concerns, DOE notes first that 
neither AHRI nor Continental provided an estimate of the number of 
hours required for certification. As a result, DOE is continuing to 
adhere to its current estimated number of hours. Should additional 
information become available in the future, DOE would reevaluate its 
estimates and make any necessary adjustments. Using the basic model 
definitions agreed upon by the Working Group, of which Continental was 
a voting member, manufacturers may group models with similar features 
and the same consumption ratings; therefore, a manufacturer is not 
required to certify the compliance of each, individual model 
separately. In addition, DOE has clarified in a CRE test procedure 
final rule (79 FR 22277, April 21, 2014) that a variety of options do 
not need to be accounted for in ratings; thus, many variations offered 
by manufacturers do not result in different basic models. DOE notes 
that the certification requirements do not impose new burdens with 
respect to evaluating customer requests to ensure that the equipment 
produced is compliant; manufacturers have had an ongoing obligation to 
ensure that equipment produced complied with the applicable standard.
    Traulsen and Zero Zone suggested that DOE could minimize the burden 
of collecting information. Trauslen commented that DOE could reduce the 
reporting burden by limiting the number of changes made to the 
certification regulations. Additionally, Traulsen commented that 
certification would be less burdensome if DOE provided the 
certification templates earlier. (Traulsen, No. 0074.1 at p. 3) DOE 
agrees that modifying the certification requirements can be burdensome 
to manufacturers. However, the changes adopted by this final rule were 
the result of the Working Group's recommendations, of which Traulsen, 
along with other manufacturers, was a participant. Regarding 
certification templates, the Department is not able to publish 
certification templates until the requirements are finalized, which 
they will be as a result of this final rule.
    Zero Zone remarked that the certification burden would be reduced 
to about 8.5 hours per year if a manufacturer can advertise alternate 
lower energy consumption values for a

[[Page 25498]]

model included in the basic model group; otherwise, in its view, the 
certification burden would be around 1333 hours per year. (Zero Zone, 
No. 0070.1 at pp. 1-2) As previously stated, the Working Group 
negotiated a definition of a basic model, which requires all of the 
models in the basic model to have essentially identical energy 
consumption or water consumption characteristics, such that the 
manufacturer would derive the efficiency rating for all models in the 
group from testing sample units of these models. All of the models in 
the group would comprise the ``basic model,'' and they would all have 
the same efficiency rating. Manufacturers cannot advertise better 
energy efficiency or consumption ratings than those certified to the 
Department for a given basic model.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

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 DOE's 
implementing regulations at 10 CFR part 1021. Specifically, this rule 
adopts changes for certifying certain covered products and equipment, 
so it would not affect the amount, quality or distribution of energy 
usage, and, therefore, would not result in any environmental impacts. 
Thus, this rulemaking is covered by Categorical Exclusion A6 under 10 
CFR part 1021, subpart D. 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 10, 
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 
to 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 this 
rule and has determined that it 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. EPCA governs 
and prescribes Federal preemption of State regulations as to energy 
conservation for the products that are the subject of this final rule. 
States can petition DOE for exemption from such preemption to the 
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) 
No further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 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; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) 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 
sections 3(a) and 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 final 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 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a regulatory action likely to result in a rule that may cause the 
expenditure by State, local, and Tribal governments, in the aggregate, 
or by the private sector of $100 million or more in any one year 
(adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA 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 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 UMRA. 62 FR 12820; also available 
at www.gc.doe.gov. DOE examined this final rule according to UMRA and 
its statement of policy and determined that the rule contains neither 
an intergovernmental mandate, nor a mandate that may result in the 
expenditure of $100 million or more in any year, 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 final 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, under 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 that

[[Page 25499]]

might require compensation under the Fifth Amendment to the U.S. 
Constitution.

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

    Section 515 of 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 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed this final rule under the OMB and DOE guidelines and has 
concluded that it is consistent with the 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 OMB, 
a Statement of Energy Effects for any 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.
    This final rule amends certification requirements for all covered 
consumer products and commercial equipment and is not a significant 
regulatory action under Executive Order 12866. Moreover, it does not 
have a significant adverse effect on the supply, distribution, or use 
of energy, nor has it been designated as a significant energy action by 
the Administrator of OIRA. Therefore, it is not a significant energy 
action, and, accordingly, DOE has not prepared a Statement of Energy 
Effects.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a rule 
authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition. This final rule to amend the certification requirements 
for all covered consumer products and commercial equipment does not 
propose the use of any commercial standards.

M. Congressional Notification

    As required by 5 U.S.C. 801, the DOE will submit to Congress a 
report regarding the issuance of this final rule prior to the effective 
date set forth at the outset of this rule. The report will state that 
it has been determined that the rule is not a ``major rule'' as defined 
by 5 U.S.C. 801(2).

IV. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
rule.

List of Subjects in 10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Reporting and recordkeeping 
requirements.

    Issued in Washington, DC, on April 28, 2014.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons set forth in the preamble, DOE is amending part 429 
of chapter II, subchapter D, of title 10 of the Code of Federal 
Regulations, as set forth below:

PART 429--CERTIFICATION, COMPLIANCE AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

    Authority:  42 U.S.C. 6291-6317.


0
2. Section 429.2 is amended by adding, in alphabetical order, the 
definition for ``engineered-to-order'' to read as follows:


Sec.  429.2  Definitions.

* * * * *
    Engineered-to-order means a basic model of commercial water heating 
equipment, commercial packaged boiler, commercial heating, ventilation, 
and air conditioning (HVAC) equipment, or commercial refrigeration 
equipment that is: Not listed in any catalogs or marketing literature 
and designed and built to specific customer requirements. A unit of an 
engineered-to-order basic model is not offered as a set of options 
(e.g., configure-to-order, menu-system).
* * * * *

0
3. Section 429.7 is amended by revising paragraph (a), redesignating 
paragraphs (b) and (c) as paragraphs (c) and (d), respectively, and 
adding new paragraph (b) to read as follows:


Sec.  429.7  Confidentiality.

    (a) The following records are not exempt from public disclosure: 
Product or equipment type; product or equipment class; private labeler 
name; brand name; applicable model number(s) unless that information 
meets the criteria specified in paragraph (b) of this section; energy 
or water ratings submitted by manufacturers to DOE pursuant to Sec.  
429.12(b)(13); whether the certification was based on a test procedure 
waiver and the date of such waiver; and whether the certification was 
based on exception relief from the Office of Hearing and Appeals and 
the date of such relief.
    (b) An individual, manufacturer model number is public information 
unless it is:
    (1) The individual, manufacturer model number is a unique model 
number of a commercial packaged boiler, commercial water heating 
equipment, commercial HVAC equipment or commercial refrigeration 
equipment that was developed for an individual customer,
    (2) The individual, manufacturer model number is not displayed on 
product literature, and
    (3) The manufacturer treats the model number as confidential 
business

[[Page 25500]]

information--in which case, the manufacturer may identify the 
individual manufacturer model number as a private model number on a 
certification report submitted pursuant to Sec.  429.12(b)(6).
* * * * *

0
4. Section 429.12 is amended by revising paragraph (b) to read as 
follows:


Sec.  429.12  General requirements applicable to certification reports.

* * * * *
    (b) Certification report. A certification report shall include a 
compliance statement (see paragraph (c) of this section), and for each 
basic model, the information listed in this paragraph (b).
    (1) Product or equipment type;
    (2) Product or equipment class (as denoted in the provisions of 
part 430 or 431 of this chapter containing the applicable energy 
conservation standard);
    (3) Manufacturer's name and address;
    (4) Private labeler's name(s) and address(es) (if applicable);
    (5) Brand name;
    (6) For each brand, the basic model number and the manufacturer's 
individual model number(s) in that basic model with the following 
exceptions: For external power supplies that are certified based on 
design families, the design family model number and the individual 
manufacturer's model numbers covered by that design family must be 
submitted for each brand. For walk-in coolers, the basic model number 
for each brand must be submitted. For distribution transformers, the 
basic model number or kVA grouping model number (depending on the 
certification method) for each brand must be submitted. For commercial 
HVAC, WH, and refrigeration equipment, an individual manufacturer model 
number may be identified as a ``private model number'' if it meets the 
requirements of Sec.  429.7(b).
    (7) Whether the submission is for a new model, a discontinued 
model, a correction to a previously submitted model, data on a 
carryover model, or a model that has been found in violation of a 
voluntary industry certification program;
    (8) The test sample size (i.e., number of units tested for each 
basic model). Manufacturers must enter ``0'' if an AEDM was used in 
lieu of testing;
    (9) The certifying party's U.S. Customs and Border Protection (CBP) 
importer identification numbers assigned by CBP pursuant to 19 CFR 
24.5, if applicable;
    (10) Whether certification is based upon any waiver of test 
procedure requirements under Sec.  430.27 or Sec.  431.401 of this 
chapter and the date(s) of such waiver(s);
    (11) Whether certification is based upon any exception relief from 
an applicable energy conservation standard and the date such relief was 
issued by DOE's Office of Hearings and Appeals;
    (12) If the test sample size is listed as ``0'' to indicate the 
certification is based upon the use of an alternate way of determining 
measures of energy conservation, identify the method used for 
determining measures of energy conservation (such as ``AEDM,'' ``ARM,'' 
or linear interpolation) and the approval date, if applicable, of any 
such alternate rating, testing, or efficiency determination method. 
Manufacturers of commercial packaged boilers, commercial water heating 
equipment, commercial refrigeration equipment and commercial HVAC 
equipment, must provide the manufacturer's designation (name or other 
identifier) of the AEDM used; and
    (13) Product specific information listed in Sec. Sec.  429.14 
through 429.54 of this chapter.
* * * * *

0
5. Add Sec.  429.41 to read as follows:


Sec.  429.41  Commercial Warm Air Furnaces.

    (a) Determination of represented value. Manufacturers must 
determine the represented value, which includes the certified rating, 
for each basic model of commercial warm air furnace either by testing, 
in conjunction with the applicable sampling provisions, or by applying 
an AEDM.
    (1) Units to be tested. (i) If the represented value is determined 
through testing, the general requirements of Sec.  429.11 are 
applicable; and
    (ii) For each basic model selected for testing, a sample of 
sufficient size shall be randomly selected and tested to ensure that--
    (A) Any represented value of energy consumption or other measure of 
energy use of a basic model for which consumers would favor lower 
values shall be greater than or equal to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR05MY14.000
    

and, x is the sample mean; n is the number of samples; and 
xi is the i\th\ sample; Or,
    (2) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR05MY14.001


And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.95 is the t statistic for a 95% 
one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B of part 429). And,
    (B) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR05MY14.002
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; Or,
    (2) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR05MY14.003


And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.95 is the t statistic for a 95% 
one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B of part 429).
    (2) Alternative efficiency determination methods. In lieu of 
testing, a represented value of efficiency or consumption for a basic 
model of commercial warm air furnace must be determined through the 
application of an AEDM pursuant to the requirements of Sec.  429.70 and 
the provisions of this section, where:
    (i) Any represented value of energy consumption or other measure of 
energy use of a basic model for which consumers would favor lower 
values shall be greater than or equal to the output of the AEDM and 
less than or equal to the Federal standard for that basic model; and
    (ii) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the output of the AEDM and 
greater than or equal to the Federal standard for that basic model.
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial warm air furnaces; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the

[[Page 25501]]

following public, equipment-specific information: The thermal 
efficiency in percent (%), and the maximum rated input capacity in 
British thermal units per hour (Btu/h).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional equipment-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report may 
include supplemental testing instructions in PDF format. A manufacturer 
may also include with a certification report other supplementary items 
in PDF format (e.g., manuals) for DOE consideration in performing 
testing under subpart C of this part.

0
6. Section 429.42 is amended by:
0
a. Removing ``can'' from paragraph (a) introductory text and adding 
``must'' in its place; and
0
b. Revising paragraph (b) to read as follows:


Sec.  429.42  Commercial refrigerators, freezers, and refrigerator-
freezers.

* * * * *
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial refrigerators, freezers, and refrigerator-
freezers; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public, equipment-specific information:
    (i) The daily energy consumption in kilowatt hours per day (kWh/
day);
    (ii) The rating temperature (e.g. lowest product application 
temperature, if applicable) in degrees Fahrenheit ([deg]F); and
    (iii) The chilled or frozen compartment volume in cubic feet 
(ft\3\), the adjusted volume in cubic feet (ft\3\), or the total 
display area (TDA) in feet squared (ft\2\) (as appropriate for the 
equipment class).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional, equipment-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report must 
include supplemental information submitted in PDF format. The 
equipment-specific, supplemental information must include testing 
instructions (e.g., charging instructions); and which, if any, special 
features were included in rating the basic model. A manufacturer may 
also include with a certification report other supplementary items in 
PDF format (e.g., manuals) for DOE consideration in performing testing 
under subpart C of this part. Manufacturers may submit a single 
supplemental PDF with information for multiple basic models as long as 
the basic models to which the PDF applies are designated.

0
7. Section 429.43 is amended by:
0
a. Removing ``can'' from paragraph (a) introductory text and adding 
``must'' in its place; and
0
b. Revising paragraph (b) to read as follows:


Sec.  429.43  Commercial heating, ventilating, air conditioning (HVAC) 
equipment.

* * * * *
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial HVAC equipment; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public equipment-specific information:
    (i) Commercial package air-conditioning equipment (except 
commercial package air conditioning that are air-cooled with a cooling 
capacity less than 65,000 Btu/h): The energy efficiency ratio (EER in 
British thermal units per Watt-hour (Btu/Wh)), the rated cooling 
capacity in British thermal units per hour (Btu/h), and the type(s) of 
heating used by the basic model (e.g., electric, gas, hydronic, none).
    (ii) Commercial package heating equipment (except commercial 
package heating equipment that is air-cooled with a cooling capacity 
less than 65,000 Btu/h): The energy efficiency ratio (EER in British 
thermal units per Watt-hour (Btu/Wh)), the coefficient of performance 
(COP), the rated cooling capacity in British thermal units per hour 
(Btu/h), and the type(s) of heating used by the basic model (e.g., 
electric, gas, hydronic, none).
    (iii) Commercial package air conditioning equipment that is air-
cooled with a cooling capacity less than 65,000 Btu/h (3-Phase): The 
seasonal energy efficiency ratio (SEER in British thermal units per 
Watt-hour (Btu/Wh)), and the rated cooling capacity in British thermal 
units per hour (Btu/h).
    (iv) Commercial package heating equipment that is air-cooled with a 
cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy 
efficiency ratio (SEER in British thermal units per Watt-hour (Btu/
Wh)), the heating seasonal performance factor (HSPF in British thermal 
units per Watt-hour (Btu/Wh)), and the rated cooling capacity in 
British thermal units per hour (Btu/h).
    (v) Package terminal air conditioners: The energy efficiency ratio 
(EER in British thermal units per Watt-hour (Btu/Wh)), the rated 
cooling capacity in British thermal units per hour (Btu/h), and the 
wall sleeve dimensions in inches (in).
    (vi) Package terminal heat pumps: The energy efficiency ratio (EER 
in British thermal units per Watt-hour (Btu/W-h)), the coefficient of 
performance (COP), the rated cooling capacity in British thermal units 
per hour (Btu/h), and the wall sleeve dimensions in inches (in).
    (vii) Single package vertical air conditioners: The energy 
efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)) 
and the rated cooling capacity in British thermal units per hour (Btu/
h).
    (viii) Single package vertical heat pumps: The energy efficiency 
ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the 
coefficient of performance (COP), and the rated cooling capacity in 
British thermal units per hour (Btu/h).
    (ix) Variable refrigerant flow multi-split air conditioners with 
rated cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal 
energy efficiency ratio (SEER in British thermal units per Watt-hour 
(Btu/Wh)) and rated cooling capacity in British thermal units per hour 
(Btu/h).
    (x) Variable refrigerant flow multi-split heat pumps with rated 
cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy 
efficiency ratio (SEER in British thermal units per Watt-hour (Btu/
Wh)), the heating seasonal performance factor (HSPF in British thermal 
units per Watt-hour (Btu/Wh)), and rated cooling capacity in British 
thermal units per hour (Btu/h).
    (xi) Variable refrigerant flow multi-split air conditioners with 
rated cooling capacity greater than or equal to 65,000 Btu/h: The 
energy efficiency ratio (EER in British thermal units per Watt-hour 
(Btu/Wh)), rated cooling capacity in British thermal units per hour 
(Btu/h), and the type(s) of heating used by the basic model (e.g., 
electric, gas, hydronic, none).
    (xii) Variable refrigerant flow multi-split heat pumps with rated 
cooling capacity greater than or equal to 65,000 Btu/h: The energy 
efficiency ratio (EER in British thermal units per Watt-hour

[[Page 25502]]

(Btu/Wh)), the coefficient of performance (COP), rated cooling capacity 
in British thermal units per hour (Btu/h), and the type(s) of heating 
used by the basic model (e.g., electric, gas, hydronic, none).
    (xiii) Water source variable refrigerant flow heat pumps (all rated 
cooling capacities): The energy efficiency ratio (EER in British 
thermal units per Watt-hour (Btu/Wh)), the coefficient of performance 
(COP), rated cooling capacity in British thermal units per hour (Btu/
h), and the type(s) of heating used by the basic model (e.g., electric, 
gas, hydronic, none).
    (xiv) Computer room air-conditioners: The net sensible cooling 
capacity in British thermal units per hour (Btu/h), the net cooling 
capacity in British thermal units per hour (Btu/h), the configuration 
(upflow/downflow), economizer presence (yes or no), condenser medium 
(air, water, or glycol-cooled), sensible coefficient of performance 
(SCOP), and rated airflow in standard cubic feet per minute (SCFM).
    (xv) Water source heat pumps (other than variable refrigerant 
flow): The energy efficiency ratio (EER in British thermal units per 
Watt-hour (Btu/Wh)), the coefficient of performance (COP), the rated 
cooling capacity in British thermal units per hour (Btu/h), and the 
type(s) of heating used by the basic model (e.g., electric, gas, 
hydronic, none).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional equipment-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report must 
include supplemental information submitted in PDF format. A 
manufacturer may also include with a certification report other 
supplementary items in PDF format (e.g., manuals) for DOE consideration 
in performing testing under subpart C of this part. The equipment-
specific, supplemental information must include at least the following:
    (i) Commercial package air-conditioning equipment (except 
commercial package air conditioning equipment that is air-cooled with a 
cooling capacity less than 65,000 Btu/h): The nominal cooling capacity 
in British thermal units per hour (Btu/h); rated airflow in standard 
cubic feet per minute (SCFM) for each fan coil; water flow rate in 
gallons per minute (gpm) for water cooled units only; rated static 
pressure in inches of water; refrigeration charging instructions (e.g., 
refrigerant charge, superheat and/or subcooling temperatures); 
frequency or control set points for variable speed components (e.g., 
compressors, VFDs); required dip switch/control settings for step or 
variable components; a statement whether the model will operate at test 
conditions without manufacturer programming; any additional testing 
instructions, if applicable; if a variety of motors/drive kits are 
offered for sale as options in the basic model to account for varying 
installation requirements, the model number and specifications of the 
motor (to include efficiency, horsepower, open/closed, and number of 
poles) and the drive kit, including settings, associated with that 
specific motor that were used to determine the certified rating; and 
which, if any, special features were included in rating the basic 
model.
    (ii) Commercial package heating equipment (except commercial 
package heating equipment that is air-cooled with a cooling capacity 
less than 65,000 Btu/h): The nominal cooling capacity in British 
thermal units per hour (Btu/h); rated heating capacity in British 
thermal units per hour (Btu/h); rated airflow in standard cubic feet 
per minute (SCFM) for each fan coil; water flow rate in gallons per 
minute (gpm) for water cooled units only; rated static pressure in 
inches of water; refrigeration charging instructions (e.g., refrigerant 
charge, superheat and/or subcooling temperatures); frequency or control 
set points for variable speed components (e.g., compressors, VFDs); 
required dip switch/control settings for step or variable components; a 
statement whether the model will operate at test conditions without 
manufacturer programming; any additional testing instructions, if 
applicable; if a variety of motors/drive kits are offered for sale as 
options in the basic model to account for varying installation 
requirements, the model number and specifications of the motor (to 
include efficiency, horsepower, open/closed, and number of poles) and 
the drive kit, including settings, associated with that specific motor 
that were used to determine the certified rating; and which, if any, 
special features were included in rating the basic model.
    (iii) Commercial package air conditioning equipment that is air-
cooled with a cooling capacity less than 65,000 Btu/h (3-phase): The 
nominal cooling capacity in British thermal units per hour (Btu/h); 
rated airflow in standard cubic feet per minute (SCFM) for each fan 
coil; rated static pressure in inches of water; refrigeration charging 
instructions (e.g., refrigerant charge, superheat and/or subcooling 
temperatures); frequency or control set points for variable speed 
components (e.g., compressors, VFDs); required dip switch/control 
settings for step or variable components; a statement whether the model 
will operate at test conditions without manufacturer programming; any 
additional testing instructions, if applicable; if a variety of motors/
drive kits are offered for sale as options in the basic model to 
account for varying installation requirements, the model number and 
specifications of the motor (to include efficiency, horsepower, open/
closed, and number of poles) and the drive kit, including settings, 
associated with that specific motor that were used to determine the 
certified rating; and which, if any, special features were included in 
rating the basic model.
    (iv) Commercial package heating equipment that is air-cooled with a 
cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling 
capacity in British thermal units per hour (Btu/h); rated heating 
capacity in British thermal units per hour (Btu/h); rated airflow in 
standard cubic feet per minute (SCFM) for each fan coil; rated static 
pressure in inches of water; refrigeration charging instructions (e.g., 
refrigerant charge, superheat and/or subcooling temperatures); 
frequency or control set points for variable speed components (e.g., 
compressors, VFDs); required dip switch/control settings for step or 
variable components; a statement whether the model will operate at test 
conditions without manufacturer programming; any additional testing 
instructions, if applicable; if a variety of motors/drive kits are 
offered for sale as options in the basic model to account for varying 
installation requirements, the model number and specifications of the 
motor (to include efficiency, horsepower, open/closed, and number of 
poles) and the drive kit, including settings, associated with that 
specific motor that were used to determine the certified rating; and 
which, if any, special features were included in rating the basic 
model.
    (v) Variable refrigerant flow multi-split air conditioners with 
cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling 
capacity in British thermal units per hour (Btu/h); outdoor unit(s) and 
indoor units identified in the tested combination; components needed 
for heat recovery, if

[[Page 25503]]

applicable; rated airflow in standard cubic feet per minute (SCFM) for 
each indoor unit; water flow rate in gallons per minute (gpm) for 
water-cooled units only; rated static pressure in inches of water; 
compressor frequency set points; required dip switch/control settings 
for step or variable components; a statement whether the model will 
operate at test conditions without manufacturer programming; any 
additional testing instructions, if applicable; if a variety of motors/
drive kits are offered for sale as options in the basic model to 
account for varying installation requirements, the model number and 
specifications of the motor (to include efficiency, horsepower, open/
closed, and number of poles) and the drive kit, including settings, 
associated with that specific motor that were used to determine the 
certified rating; and which, if any, special features were included in 
rating the basic model. Additionally, upon DOE request, the 
manufacturer must provide a layout of the system set-up for testing 
including charging instructions consistent with the installation 
manual.
    (vi) Variable refrigerant flow multi-split heat pumps with cooling 
capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity 
in British thermal units per hour (Btu/h); rated heating capacity in 
British thermal units per hour (Btu/h); outdoor unit(s) and indoor 
units identified in the tested combination; components needed for heat 
recovery, if applicable; rated airflow in standard cubic feet per 
minute (SCFM) for each indoor unit; water flow rate in gallons per 
minute (gpm) for water-cooled units only; rated static pressure in 
inches of water; compressor frequency set points; required dip switch/
control settings for step or variable components; a statement whether 
the model will operate at test conditions without manufacturer 
programming; any additional testing instructions, if applicable; if a 
variety of motors/drive kits are offered for sale as options in the 
basic model to account for varying installation requirements, the model 
number and specifications of the motor (to include efficiency, 
horsepower, open/closed, and number of poles) and the drive kit, 
including settings, associated with that specific motor that were used 
to determine the certified rating; and which, if any, special features 
were included in rating the basic model. Additionally, upon DOE 
request, the manufacturer must provide a layout of the system set-up 
for testing including charging instructions consistent with the 
installation manual.
    (vii) Variable refrigerant flow multi-split air conditioners with 
cooling capacity greater than or equal to 65,000 Btu/h: The nominal 
cooling capacity in British thermal units per hour (Btu/h); outdoor 
unit(s) and indoor units identified in the tested combination; 
components needed for heat recovery, if applicable; rated airflow in 
standard cubic feet per minute (SCFM) for each indoor unit; water flow 
rate in gallons per minute (gpm) for water-cooled units only; rated 
static pressure in inches of water; compressor frequency set points; 
required dip switch/control settings for step or variable components; a 
statement whether the model will operate at test conditions without 
manufacturer programming; any additional testing instructions if 
applicable; if a variety of motors/drive kits are offered for sale as 
options in the basic model to account for varying installation 
requirements, the model number and specifications of the motor (to 
include efficiency, horsepower, open/closed, and number of poles) and 
the drive kit, including settings, associated with that specific motor 
that were used to determine the certified rating; and which, if any, 
special features were included in rating the basic model. Additionally, 
upon DOE request, the manufacturer must provide a layout of the system 
set-up for testing including charging instructions consistent with the 
installation manual.
    (viii) Variable refrigerant flow multi-split heat pumps with 
cooling capacity greater than or equal to 65,000 Btu/h: The nominal 
cooling capacity in British thermal units per hour (Btu/h); rated 
heating capacity in British thermal units per hour (Btu/h); outdoor 
unit(s) and indoor units identified in the tested combination; 
components needed for heat recovery, if applicable; rated airflow in 
standard cubic feet per minute (SCFM) for each indoor unit; water flow 
rate in gallons per minute (gpm) for water-cooled units only; rated 
static pressure in inches of water; compressor frequency set points; 
required dip switch/control settings for step or variable components; a 
statement whether the model will operate at test conditions without 
manufacturer programming; any additional testing instructions if 
applicable; if a variety of motors/drive kits are offered for sale as 
options in the basic model to account for varying installation 
requirements, the model number and specifications of the motor (to 
include efficiency, horsepower, open/closed, and number of poles) and 
the drive kit, including settings, associated with that specific motor 
that were used to determine the certified rating; and which, if any, 
special features were included in rating the basic model. Additionally, 
upon DOE request, the manufacturer must provide a layout of the system 
set-up for testing including charging instructions consistent with the 
installation manual.
    (ix) Water source variable refrigerant flow heat pumps: The nominal 
cooling capacity in British thermal units per hour (Btu/h); rated 
heating capacity in British thermal units per hour (Btu/h); rated 
airflow in standard cubic feet per minute (SCFM) for each indoor unit; 
water flow rate in gallons per minute (gpm); rated static pressure in 
inches of water; refrigeration charging instructions (e.g., refrigerant 
charge, superheat and/or subcooling temperatures); frequency set points 
for variable speed components (e.g., compressors, VFDs), including the 
required dip switch/control settings for step or variable components; a 
statement whether the model will operate at test conditions without 
manufacturer programming; any additional testing instructions if 
applicable; if a variety of motors/drive kits are offered for sale as 
options in the basic model to account for varying installation 
requirements, the model number and specifications of the motor (to 
include efficiency, horsepower, open/closed, and number of poles) and 
the drive kit, including settings, associated with that specific motor 
that were used to determine the certified rating; and which, if any, 
special features were included in rating the basic model. Additionally, 
upon DOE request, the manufacturer must provide a layout of the system 
set-up for testing including charging instructions consistent with the 
installation manual.
    (x) Water source heat pumps: The nominal cooling capacity in 
British thermal units per hour (Btu/h); rated heating capacity in 
British thermal units per hour (Btu/h); rated airflow in standard cubic 
feet per minute (SCFM) for each indoor unit; water flow rate in gallons 
per minute (gpm); rated static pressure in inches of water; refrigerant 
charging instructions, (e.g., refrigerant charge, superheat and/or 
subcooling temperatures); frequency set points for variable speed 
components (e.g., compressors, VFDs), including the required dip 
switch/control settings for step or variable components; a statement 
whether the model will operate at test conditions without manufacturer 
programming; any additional testing instructions if applicable; if a 
variety of motors/drive kits are offered for sale as options in the 
basic model to account for varying

[[Page 25504]]

installation requirements, the model number and specifications of the 
motor (to include efficiency, horsepower, open/closed, and number of 
poles) and the drive kit, including settings, associated with that 
specific motor that were used to determine the certified rating; and 
which, if any, special features were included in rating the basic 
model.
    (xi) Single package vertical air conditioners: Any additional 
testing instructions, if applicable; if a variety of motors/drive kits 
are offered for sale as options in the basic model to account for 
varying installation requirements, the model number and specifications 
of the motor (to include efficiency, horsepower, open/closed, and 
number of poles) and the drive kit, including settings, associated with 
that specific motor that were used to determine the certified rating; 
and which, if any, special features were included in rating the basic 
model.
    (xii) Single package vertical heat pumps: Any additional testing 
instructions, if applicable; if a variety of motors/drive kits are 
offered for sale as options in the basic model to account for varying 
installation requirements, the model number and specifications of the 
motor (to include efficiency, horsepower, open/closed, and number of 
poles) and the drive kit, including settings, associated with that 
specific motor that were used to determine the certified rating; and 
which, if any, special features were included in rating the basic 
model.
    (xiii) Computer room air-conditioners: Any additional testing 
instructions, if applicable; and which, if any, special features were 
included in rating the basic model.
    (xiv) Package terminal air conditioners and package terminal heat 
pumps: Any additional testing instructions, if applicable.
* * * * *

0
8. Section 429.44 is amended by:
0
a. Removing ``can'' in paragraph (a) introductory text and adding 
``must'' in its place; and
0
b. Revising paragraph (b) to read as follows:


Sec.  429.44  Commercial water heating equipment.

* * * * *
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial WH equipment; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public equipment-specific information:
    (i) Commercial electric storage water heaters: The maximum standby 
loss in percent per hour (%/hr) and the measured storage volume in 
gallons (gal).
    (ii) Commercial gas-fired and oil-fired storage water heaters: The 
thermal efficiency in percent (%), the maximum standby loss in British 
thermal units per hour (Btu/h), the rated storage volume in gallons 
(gal), and the nameplate input rate in British thermal units per hour 
(Btu/h).
    (iii) Commercial water heaters and hot water supply boilers with 
storage capacity greater than 140 gallons: The thermal efficiency in 
percent (%), whether the storage volume is greater than 140 gallons 
(Yes/No); whether the tank surface area is insulated with at least R-
12.5 (Yes/No); whether a standing pilot light is used (Yes/No); for gas 
or oil-fired water heaters, whether the basic model has a fire damper 
or fan assisted combustion (Yes/No); and, if applicable, pursuant to 10 
CFR 431.110, the maximum standby loss in British thermal units per hour 
(Btu/h) and measured storage volume in gallons (gal).
    (iv) Commercial gas-fired and oil-fired instantaneous water heaters 
greater than or equal to 10 gallons and gas-fired and oil-fired hot 
water supply boilers greater than or equal to 10 gallons: The thermal 
efficiency in percent (%), the maximum standby loss in British thermal 
units per hour (Btu/h), the rated storage volume in gallons (gal), and 
the nameplate input rate in Btu/h.
    (v) Commercial gas-fired and oil-fired instantaneous water heaters 
less than 10 gallons and gas-fired and oil-fired hot water supply 
boilers less than 10 gallons: The thermal efficiency in percent (%) and 
the rated storage volume in gallons (g).
    (vi) Commercial unfired hot water storage tanks: The thermal 
insulation (i.e., R-value) and stored volume in gallons (gal).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional, equipment-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models to be eligible 
for witness testing.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report may 
include supplemental testing instructions in PDF format. A manufacturer 
may also include with a certification report other supplementary items 
in PDF format (e.g., manuals) for DOE consideration in performing 
testing under subpart C of this part.
* * * * *

0
9. Add Sec.  429.60 to read as follows:


Sec.  429.60  Commercial packaged boilers.

    (a) Determination of represented value. Manufacturers must 
determine the represented value, which includes the certified rating, 
for each basic model of commercial packaged boilers either by testing, 
in conjunction with the applicable sampling provisions, or by applying 
an AEDM.
    (1) Units to be tested. (i) If the represented value is determined 
through testing, the general requirements of Sec.  429.11 are 
applicable; and
    (ii) For each basic model selected for testing, a sample of 
sufficient size shall be randomly selected and tested to ensure that--
    (A) Any represented value of energy consumption or other measure of 
energy use of a basic model for which consumers would favor lower 
values shall be greater than or equal to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR05MY14.004
    

and, x is the sample mean; n is the number of samples; and 
xi is the i\th\ sample; Or,
    (2) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR05MY14.005


And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.95 is the t statistic for a 95% 
one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B of part 429). And,
    (B) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR05MY14.006
    

and, x is the sample mean; n is the number of samples; and 
xi is the i\th\ sample; Or,

[[Page 25505]]

    (2) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR05MY14.007


And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.95 is the t statistic for a 95% 
one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B of part 429).
    (2) Alternative efficiency determination methods. In lieu of 
testing, a represented value of efficiency or consumption for a basic 
model of commercial packaged boiler must be determined through the 
application of an AEDM pursuant to the requirements of Sec.  429.70 and 
the provisions of this section, where:
    (i) Any represented value of energy consumption or other measure of 
energy use of a basic model for which consumers would favor lower 
values shall be greater than or equal to the output of the AEDM and 
less than or equal to the Federal standard for that basic model; and
    (ii) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the output of the AEDM and 
greater than or equal to the Federal standard for that basic model.
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial packaged boilers; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public equipment-specific information: The 
combustion efficiency in percent (%) or the thermal efficiency in 
percent (%), as required in Sec.  431.87 of this chapter; and the 
maximum rated input capacity in British thermal units per hour (Btu/h).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional equipment-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models to be eligible 
for witness testing.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report may 
include supplemental testing instructions in PDF format. A manufacturer 
may also include with a certification report other supplementary items 
in PDF format (e.g., manuals) for DOE consideration in performing 
testing under subpart C of this part.
    (c) Alternative methods for determining efficiency or energy use 
for commercial packaged boilers can be found in Sec.  429.70.

0
10. Section 429.70 is amended by revising the section heading and the 
heading of paragraph (c) to read as follows:


Sec.  429.70  Alternative methods for determining energy efficiency and 
energy use.

* * * * *
    (c) Alternative efficiency determination method (AEDM) for 
commercial HVAC (includes commercial warm air furnaces and commercial 
packaged boilers), WH, and refrigeration equipment--(1) * * *
* * * * *

[FR Doc. 2014-10085 Filed 5-2-14; 8:45 am]
BILLING CODE 6450-01-P