Energy Conservation Program: Certification of Commercial Heating, Ventilation, and Air-Conditioning (HVAC), Water Heating (WH), and Refrigeration (CRE) Equipment, 25486-25505 [2014-10085]
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25486
Federal Register / Vol. 79, No. 86 / Monday, May 5, 2014 / Rules and Regulations
(4) By email at Hatchact@osc.gov.
(b) The Merit Systems Protection
Board has exclusive authority to
determine whether a violation of the
Hatch Act Reform Amendments of 1993,
as implemented by 5 CFR part 734, has
occurred and to impose a penalty of
removal, reduction-in-grade, debarment
from Federal employment for a period
not to exceed 5 years, suspension,
reprimand, or an assessment of a civil
penalty not to exceed $1,000, for
violation of the political activity
restrictions regulated by this part. (5
U.S.C. 1204 and 7326).
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■ 4. In 734.203, paragraph (d) is revised
to read as follows:
§ 734.203 Participation in nonpartisan
activities.
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(d) Participate fully in public affairs,
except as prohibited by other Federal
law, in a manner which does not
compromise his or her efficiency or
integrity as an employee or the
neutrality, efficiency, or integrity of the
agency or instrumentality of the United
States Government in which he or she
is employed.
■ 5. In 734.305, paragraph (c) is revised
to read as follows:
§ 734.305 Soliciting or discouraging the
political participation of certain persons.
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(c) Each agency or instrumentality of
the United States shall determine when
a matter is pending and ongoing within
employing offices of the agency or
instrumentality for the purposes of this
part.
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■ 6. In 734.401, paragraph (a) is revised
to read as follows:
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§ 734.401
Coverage.
(a) This subpart applies to employees
in the following agencies and positions:
(1) The Federal Election Commission;
(2) The Election Assistance
Commission;
(3) The Federal Bureau of
Investigation;
(4) The Secret Service;
(5) The Central Intelligence Agency;
(6) The National Security Council;
(7) The National Security Agency;
(8) The Defense Intelligence Agency;
(9) The Merit Systems Protection
Board;
(10) The Office of Special Counsel;
(11) The Office of Criminal
Investigation of the Internal Revenue
Service.
(12) The Office of Investigative
Programs of the United States Customs
Service;
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(13) The Office of Law Enforcement of
the Bureau of Alcohol, Tobacco, and
Firearms;
(14) The Criminal Division of the
Department of Justice;
(15) The National Security Division of
the Department of Justice;
(16) The National GeospatialIntelligence Agency;
(17) The Office of the Director of
National Intelligence;
(18) Career Senior Executive Service
positions described in 5 U.S.C.
3132(a)(4);
(19) Administrative Law Judge
positions described in 5 U.S.C. 5372;
(20) Contract Appeals Board Member
positions described in 5 U.S.C. 5372a; or
(21) Administrative Appeals Judge
positions described in 5 U.S.C. 5732b.
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7. In 734.502, paragraph (b) is revised
to read as follows:
■
§ 734.502 Participation in political activity
while on duty, in uniform, in any room or
building occupied in the discharge of
official duties, or using a Federal vehicle.
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(b) For the purposes of this subpart,
normal duty hours and normal duty
post will be determined by the head of
each agency or instrumentality of the
United States.
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[FR Doc. 2014–09628 Filed 5–2–14; 8:45 am]
BILLING CODE 6325–48–P
NUCLEAR REGULATORY
COMMISSION
10 CFR Part 72
[NRC–2013–0271]
RIN 3150–AJ31
List of Approved Spent Fuel Storage
Casks: Transnuclear, Inc. Standardized
Advanced NUHOMS® Horizontal
Modular Storage System; Amendment
No. 3
Correction
In rule document 2014–08346
appearing on pages 21121 through
21125 in the issue of Tuesday, April 15,
2014, the document heading is corrected
to appear as seen above.
[FR Doc. C1–2014–08346 Filed 4–30–14; 8:45 am]
BILLING CODE 1505–01–D
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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
Office of Energy Efficiency and
Renewable Energy, Department of
Energy.
ACTION: Final rule.
AGENCY:
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, airconditioning (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 https://
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:
Ashley.Armstrong@ee.doe.gov; 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: Laura.Barhydt@
hq.doe.gov.
SUPPLEMENTARY INFORMATION:
SUMMARY:
I. Authority and Background
A. Authority
B. Background
II. Discussion of Specific Revisions to DOE’s
Regulations Certification
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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
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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.
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
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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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
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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
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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 https://
www.regulations.gov/
#!documentDetail;D=EERE-2013-BTNOC-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:
https://www.regulations.gov/
#!docketDetail;D=EERE-2013-BT-NOC0023.
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:
https://www.regulations.gov/
#!docketDetail;D=EERE-2013-BT-NOC0023.
TABLE II.1—STAKEHOLDERS THAT SUBMITTED COMMENTS ON THE NOPR
Acronym
Organization type
Air-Conditioning, Heating, and Refrigeration Institute ...........................
American Council for an Energy-Efficient Economy .............................
American Public Gas Association .........................................................
California Investor Owned Utilities ........................................................
Continental Refrigerator ........................................................................
Heat Transfer Products .........................................................................
Multi-Wing Group Management Holding ...............................................
Summit ...................................................................................................
Traulsen .................................................................................................
Zero Zone Inc. .......................................................................................
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Name
AHRI ..............................................
ACEEE ..........................................
APGA ............................................
CA IOUs ........................................
Continental ....................................
HTP ...............................................
Multi-Wing .....................................
Summit ..........................................
Traulsen ........................................
Zero Zone .....................................
Trade Association.
Energy Efficiency Advocacy Group.
Utility Association.
Utility Association.
Manufacturer.
Manufacturer.
Component Manufacturer.
Manufacturer.
Manufacturer.
Manufacturer.
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
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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
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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
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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-toorder 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
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literature and is designed and built to
customer requirements. As envisioned
by the Working Group, an engineeredto-order basic model would not include
any models offered as a ‘‘configure-toorder’’ or ‘‘menu-system’’ set of
options.2 Additionally, the Working
Group determined that a basic model
may not be classified as engineered-toorder 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
DOE received several comments in
support of the definition of ‘‘engineeredto-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-toorder’’ 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
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 engineeredto-order basic model.
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25489
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 engineeredto-order due to the quantity of models
available for selection for the same
customer specification.’’ (Multi-Wing,
No. 0069.1 at p.1) Additionally, MultiWing suggested that the term
‘‘engineered-to-order’’ be defined as
referring to those ‘‘models that are built
to customer specification contingent
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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-toorder’’ as it proposed in the NOPR and
is refraining from defining ‘‘configureto-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 MultiWing’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
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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 customerspecified 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;
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• 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
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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 customerspecified 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 ‘‘customerspecified 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 ‘‘customerspecified 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.
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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, aircooled 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
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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.
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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 setup 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
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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
Equipment type
Certification report must include:
—Self-contained commercial refrigerators and
freezer with solid doors.
—Self-contained commercial refrigerators and
freezers with transparent doors.
—Self-contained commercial refrigerator-freezers with solid doors.
—Remote condensing commercial refrigerators,
freezers, and refrigerator-freezers.
—Self-contained
commercial
refrigerators,
freezers, and refrigerator-freezers without
doors.
—Commercial ice-cream freezers ......................
—Commercial refrigeration equipment with two
or more compartments.
—Service over the counter refrigerators and
freezers.
Additional testing instructions:
—Daily energy consumption (kWh/day) ..........
Must be submitted with certification report.
—Chilled or frozen compartment volume (ft3).
—Daily energy consumption (kWh/day)
—Adjusted volume (ft3).
—Daily energy consumption (kWh/day) ..........
Must be submitted with certification report.
Must be submitted with certification report.
—Total display area (ft2) or chilled volume
(ft3) as applicable.
—Rating temperature (°F).
—Equipment class designation as described
in 10 CFR 431.66.
TABLE II.3—HVAC CERTIFICATION REPORT REQUIREMENTS
Equipment type
Certification reports must include:
Commercial Warm Air Furnaces ........................................
Commercial Packaged Boilers ...........................................
Air-Cooled, Split and Packaged (ACs) and (HPs) less
than 65,000 Btu/h cooling capacity (3-Phase).
Commercial packaged air-cooled, evaporatively-cooled,
and water cooled air conditioners and heat pumps
greater than or equal to 65,000 Btu/h cooling capacity.
PTACs and PTHPs ............................................................
SPVUs ................................................................................
VRF ACs and HPs with less than 65,000 Btu/h cooling
capacity.
VRF AC and HPs with 65,000 Btu/h cooling capacity or
more.
Water Source VRFs HPs ...................................................
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Computer Room ACs .........................................................
Water Source HPs .............................................................
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—Thermal efficiency (%).
—Maximum rated input capacity (Btu/h).
—Combustion efficiency (%) or thermal efficiency (%) as applicable.
—Maximum rated capacity (Btu/h).
—Seasonal energy efficiency ratio (Btu/Wh).
—Heating seasonal performance factor (Btu/Wh) if applicable.
—Rated cooling capacity (Btu/h).
—Energy efficiency ratio (Btu/Wh).
—Coefficient of performance, if applicable.
—Rated cooling capacity (Btu/h).
—Heating type (may be none).
—Energy efficiency ratio (Btu/Wh).
—Coefficient of performance, if applicable.
—Cooling capacity (Btu/h).
—Wall sleeve dimensions (in).
—Energy efficiency ratio (Btu/Wh).
—Coefficient of performance, if applicable.
—Cooling capacity (Btu/h).
—Seasonal energy efficiency ratio (Btu/Wh).
—Heating seasonal performance factor (Btu/Wh) if applicable.
—Rated cooling capacity (Btu/h).
—Energy efficiency ratio (Btu/Wh).
—Coefficient of performance, if applicable.
—Rated cooling capacity (Btu/h).
—Heating type (may be none).
—Energy efficiency ratio (Btu/Wh).
—Coefficient of performance.
—Rated cooling capacity (Btu/h).
—Heating type (may be none).
—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).
—Energy efficiency ratio (Btu/Wh).
—Coefficient of performance.
—Rated cooling capacity (Btu/h).
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25493
TABLE II.3—HVAC CERTIFICATION REPORT REQUIREMENTS—Continued
Equipment type
Certification reports must include:
—Heating type (may be none).
TABLE II.4—HVAC REQUIREMENTS FOR ADDITIONAL TESTING INSTRUCTIONS
Equipment type
Additional testing instructions
Commercial Warm Air Furnaces ........................
Commercial Packaged Boilers ...........................
Air-Cooled, Split and Packaged ACs and HPs
less than 65,000 Btu/h Cooling Capacity (3Phase).
Optional.
Optional.
Must be submitted and include:
—Nominal cooling capacity (Btu/h),
—Rated heating capacity (Btu/h), if 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.
Must be submitted and include:
—Nominal cooling capacity,
—Rated heating capacity, if applicable,
—Rated airflow (SCFM) for each fan coil,
—Water flow rate (gpm) for water-cooled units only
—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.
Optional.
Optional.
Must be submitted and include:
—Nominal cooling capacity (Btu/h),
—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.
Must be submitted and include:
—Nominal cooling capacity (Btu/h),
—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.
Must be submitted and include:
—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,
Commercial packaged air-cooled ACs and HPs
with 65,000 Btu/h Cooling Capacity or More,
Evaporatively-Cooled ACs and HPs, and
Water-Cooled ACs and HPs.
PTACs and PTHPs .............................................
SPVUs ................................................................
Variable Refrigerant Flow ACs and HPs less
than 65,000 Btu/h Cooling Capacity.
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Variable Refrigerant Flow ACs and HPs with
65,000 Btu/h Cooling Capacity or More.
Water Source Variable Refrigerant Flow HPs ....
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TABLE II.4—HVAC REQUIREMENTS FOR ADDITIONAL TESTING INSTRUCTIONS—Continued
Equipment type
Additional testing instructions
Computer Room ACs .........................................
Water Source HPs ..............................................
—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.
Optional.
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
Equipment type
Certification report must include:
Commercial Electric Storage Water Heaters ....................
Commercial gas-fired and oil-fired storage water heaters
Commercial water heaters and hot water supply boilers
(storage capacity > 140 gal).
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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.
Commercial gas-fired and oil-fired instantaneous water
heaters greater than or equal to 10 gallons and gasfired and oil-fired hot water supply boilers greater than
or equal to 10 gallons.
Commercial unfired hot water storage tanks ....................
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
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Additional testing instructions:
—Maximum standby loss (%/h) ...................
—Measured storage volume (gal).
—Thermal efficiency (%) ..............................
—Maximum standby loss (Btu/h).
—Rated storage volume (gal).
—Nameplate input rate (Btu/h).
—Storage volume is greater than 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).
—Thermal efficiency (%) ..............................
—Storage volume (gal).
Optional.
—Thermal efficiency (%).
—Maximum standby loss (Btu/h).
—Rated storage volume (gal).
—Nameplate input rate (Btu/h).
—Thermal insulation (R-value) ....................
—Stored water volume (gal).
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
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Optional.
Optional.
Optional.
Optional.
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,
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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 3phase 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.
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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
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25495
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 (https://
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 https://www.sba.gov/
category/navigation-structure/
contracting/contracting-officials/smallbusiness-size-standards. Manufacturing
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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.
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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
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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 https://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.
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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
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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.
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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
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25497
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
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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.
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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
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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.
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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
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might require compensation under the
Fifth Amendment to the U.S.
Constitution.
L. Review Under Section 32 of the
Federal Energy Administration Act of
1974
J. Review Under the Treasury and
General Government Appropriations
Act, 2001
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.
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.
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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.
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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:
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PART 429—CERTIFICATION,
COMPLIANCE AND ENFORCEMENT
FOR CONSUMER PRODUCTS AND
COMMERCIAL AND INDUSTRIAL
EQUIPMENT
1. The authority citation for part 429
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6317.
2. Section 429.2 is amended by
adding, in alphabetical order, the
definition for ‘‘engineered-to-order’’ to
read as follows:
■
§ 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).
*
*
*
*
*
■ 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:
§ 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 § 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
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*
*
*
*
(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
§ 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
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§ 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
§ 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:
¯
and, x is the sample mean; n is the
number of samples; and xi is the ith
sample; Or,
(2) The upper 95 percent confidence
limit (UCL) of the true mean divided by
1.05, where:
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¯
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:
¯
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:
¯
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 § 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 § 429.12 are applicable
to commercial warm air furnaces; and
(2) Pursuant to § 429.12(b)(13), a
certification report must include the
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§ 429.12 General requirements applicable
to certification reports.
requirements under § 430.27 or
§ 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 §§ 429.14 through 429.54 of
this chapter.
*
*
*
*
*
■ 5. Add § 429.41 to read as follows:
ER05MY14.001 ER05MY14.002
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 § 429.12(b)(6).
*
*
*
*
*
■ 4. Section 429.12 is amended by
revising paragraph (b) to read as follows:
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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 § 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 § 429.70(c)(5)(iii) for
options). However, the manufacturer
may not select more than 10% of
AEDM-rated basic models.
(4) Pursuant to § 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.
■ 6. Section 429.42 is amended by:
■ a. Removing ‘‘can’’ from paragraph (a)
introductory text and adding ‘‘must’’ in
its place; and
■ b. Revising paragraph (b) to read as
follows:
§ 429.42 Commercial refrigerators,
freezers, and refrigerator-freezers.
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*
*
*
*
(b) Certification reports. (1) The
requirements of § 429.12 are applicable
to commercial refrigerators, freezers,
and refrigerator-freezers; and
(2) Pursuant to § 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 (°F);
and
(iii) The chilled or frozen
compartment volume in cubic feet (ft3),
the adjusted volume in cubic feet (ft3),
or the total display area (TDA) in feet
squared (ft2) (as appropriate for the
equipment class).
(3) Pursuant to § 429.12(b)(13), a
certification report must include the
following additional, equipmentspecific 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 § 429.70(c)(5)(iii) for
options). However, the manufacturer
may not select more than 10% of
AEDM-rated basic models.
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(4) Pursuant to § 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.
■ 7. Section 429.43 is amended by:
■ a. Removing ‘‘can’’ from paragraph (a)
introductory text and adding ‘‘must’’ in
its place; and
■ b. Revising paragraph (b) to read as
follows:
§ 429.43 Commercial heating, ventilating,
air conditioning (HVAC) equipment.
*
*
*
*
*
(b) Certification reports. (1) The
requirements of § 429.12 are applicable
to commercial HVAC equipment; and
(2) Pursuant to § 429.12(b)(13), a
certification report must include the
following public equipment-specific
information:
(i) Commercial package airconditioning 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 aircooled 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
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25501
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 Watthour (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 Watthour (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 multisplit air conditioners with rated cooling
capacity less than 65,000 Btu/h (3Phase): 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 multisplit heat pumps with rated cooling
capacity less than 65,000 Btu/h (3Phase): 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 multisplit 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 multisplit 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
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(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 Watthour (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 glycolcooled), 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 § 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 § 429.70(c)(5)(iii) for
options). However, the manufacturer
may not select more than 10% of
AEDM-rated basic models.
(4) Pursuant to § 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 airconditioning 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
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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 aircooled with a cooling capacity less than
65,000 Btu/h (3-phase): The nominal
cooling capacity in British thermal units
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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 multisplit air conditioners with cooling
capacity less than 65,000 Btu/h (3phase): 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
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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 multisplit 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.
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15:36 May 02, 2014
Jkt 232001
(vii) Variable refrigerant flow multisplit 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 multisplit 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
PO 00000
Frm 00021
Fmt 4700
Sfmt 4700
25503
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
E:\FR\FM\05MYR1.SGM
05MYR1
Federal Register / Vol. 79, No. 86 / Monday, May 5, 2014 / Rules and Regulations
§ 429.44 Commercial water heating
equipment.
wreier-aviles on DSK5TPTVN1PROD with RULES
*
*
*
*
*
(b) Certification reports. (1) The
requirements of § 429.12 are applicable
to commercial WH equipment; and
(2) Pursuant to § 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
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15:36 May 02, 2014
Jkt 232001
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 § 429.12(b)(13), a
certification report must include the
following additional, equipmentspecific 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 § 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 § 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
PO 00000
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Fmt 4700
Sfmt 4700
(e.g., manuals) for DOE consideration in
performing testing under subpart C of
this part.
*
*
*
*
*
■ 9. Add § 429.60 to read as follows:
§ 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
§ 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:
¯
and, x is the sample mean; n is the
number of samples; and xi is the ith
sample; Or,
(2) The upper 95 percent confidence
limit (UCL) of the true mean divided by
1.05, where:
¯
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:
¯
and, x is the sample mean; n is the
number of samples; and xi is the ith
sample; Or,
E:\FR\FM\05MYR1.SGM
05MYR1
ER05MY14.005 ER05MY14.006
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.
*
*
*
*
*
■ 8. Section 429.44 is amended by:
■ a. Removing ‘‘can’’ in paragraph (a)
introductory text and adding ‘‘must’’ in
its place; and
■ b. Revising paragraph (b) to read as
follows:
ER05MY14.004
25504
Federal Register / Vol. 79, No. 86 / Monday, May 5, 2014 / Rules and Regulations
¯
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 § 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 § 429.12 are applicable
to commercial packaged boilers; and
(2) Pursuant to § 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 § 431.87
of this chapter; and the maximum rated
input capacity in British thermal units
per hour (Btu/h).
(3) Pursuant to § 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 § 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 § 429.12(b)(13), a
certification report may include
supplemental testing instructions in
PDF format. A manufacturer may also
VerDate Mar<15>2010
15:36 May 02, 2014
Jkt 232001
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 § 429.70.
■ 10. Section 429.70 is amended by
revising the section heading and the
heading of paragraph (c) to read as
follows:
ACTION:
This rule is being published as a
direct final rule as the Department of
Defense does not expect to receive any
adverse comments, and so a proposed
rule is unnecessary.
DATES: This rule will be effective on July
14, 2014 unless adverse comment is
received by July 7, 2014. If adverse
comment is received, the Department of
Defense will publish a timely
withdrawal of the rule in the Federal
Register.
ADDRESSES: You may submit comments,
identified by docket number and title,
by any of the following methods:
* Federal Rulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
* Mail: Federal Docket Management
System Office, 4800 Mark Center Drive,
East Tower, 2nd Floor, Suite 02G09,
Alexandria, VA 22350–3100.
Instructions: All submissions received
must include the agency name and
docket number for this Federal Register
document. The general policy for
comments and other submissions from
members of the public is to make these
submissions available for public
viewing on the Internet at https://
www.regulations.gov as they are
received without change, including any
personal identifiers or contact
information.
FOR FURTHER INFORMATION CONTACT:
Mark Dorgan, DoD IG FOIA/Privacy
Office, Department of Defense, Inspector
General, 4800 Mark Center Drive,
Alexandria, VA 22350–1500 or
telephone: (703) 699–5680.
SUPPLEMENTARY INFORMATION:
The Office of Inspector
General is exempting a new system of
records, CIG–29, entitled, ‘‘Privacy and
Civil Liberties Complaint Reporting
System’’ from subsections (c)(3); (d)(1),
(2), (3), (4); (e)(1) and (e)(4); (G), (H), (I);
and (f) of the Privacy Act, pursuant to
5 U.S.C. 552a.
This direct final rule makes no
substantive changes to the Office of
Inspector General Privacy Program
rules.
These changes will allow the
Department to add an exemption rule to
the Office of Inspector General Privacy
Program rules that will exempt
applicable Department records and/or
material from certain portions of the
Privacy Act. This will improve the
efficiency and effectiveness of DoD’s
program by preserving the exempt status
of the applicable records and/or
material when the purposes underlying
the exemption(s) are valid and
necessary.
Direct Final Rule and Significant
Adverse Comments
DoD has determined this rulemaking
meets the criteria for a direct final rule
because it involves nonsubstantive
changes dealing with DoD’s
management of its Privacy Programs.
DoD expects no opposition to the
changes and no significant adverse
comments. However, if DoD receives a
significant adverse comment, the
Department will withdraw this direct
final rule by publishing a notice in the
Federal Register. A significant adverse
comment is one that explains: (1) Why
the direct final rule is inappropriate,
including challenges to the rule’s
underlying premise or approach; or (2)
why the direct final rule will be
ineffective or unacceptable without a
change. In determining whether a
comment necessitates withdrawal of
this direct final rule, DoD will consider
whether it warrants a substantive
response in a notice and comment
process.
§ 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
DEPARTMENT OF DEFENSE
Office of the Secretary
32 CFR Part 312
[Docket ID: DoD–2014–OS–0060]
Privacy Act of 1974; Implementation
AGENCY:
Office of Inspector General,
DoD.
Direct final rule with request for
comments.
SUMMARY:
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ER05MY14.007
wreier-aviles on DSK5TPTVN1PROD with RULES
(2) The lower 95 percent confidence
limit (LCL) of the true mean divided by
0.95, where:
25505
Agencies
[Federal Register Volume 79, Number 86 (Monday, May 5, 2014)]
[Rules and Regulations]
[Pages 25486-25505]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-10085]
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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 https://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:
Ashley.Armstrong@ee.doe.gov; 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: Laura.Barhydt@hq.doe.gov.
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.
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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 https://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: https://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: https://www.regulations.gov/#!docketDetail;D=EERE-2013-
BT-NOC-0023.
Table II.1--Stakeholders That Submitted Comments on the NOPR
----------------------------------------------------------------------------------------------------------------
Name Acronym Organization type
----------------------------------------------------------------------------------------------------------------
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.
----------------------------------------------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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 (https://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
https://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 https://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