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). 

* * * * * 

■ 4. In 734.203, paragraph (d) is revised 

to read as follows: 

§ 734.203 Participation in nonpartisan 

activities. 

* * * * * 

(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. 

* * * * * 

(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. 

* * * * * 

■ 6. In 734.401, paragraph (a) is revised 

to read as follows: 

§ 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; 

(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. 

* * * * * 

■ 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. 

* * * * * 

(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. 

* * * * * 

[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 

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, 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 http://

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Ashley Armstrong, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue SW., 

Washington, DC 20585–0121. 

Telephone: 202–586–6590. Email: 

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 


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1For 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. 

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. 

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 


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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 http:// 

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: 

http://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: 

http://www.regulations.gov/

#!docketDetail;D=EERE-2013-BT-NOC0023. 

TABLE II.1—STAKEHOLDERS THAT SUBMITTED COMMENTS ON THE NOPR 

Name Acronym Organization type 

Air-Conditioning, Heating, and Refrigeration Institute ........................... AHRI .............................................. Trade Association. 

American Council for an Energy-Efficient Economy ............................. ACEEE .......................................... Energy Efficiency Advocacy Group. 

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 


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2The 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. 

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 

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 

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 

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; 

• 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 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 

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 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: Additional testing instructions: 

—Self-contained commercial refrigerators and 

freezer with solid doors.

—Daily energy consumption (kWh/day) .......... Must be submitted with certification report. 

—Self-contained commercial refrigerators and 

freezers with transparent doors.

—Chilled or frozen compartment volume (ft3).

—Self-contained commercial refrigerator-freezers with solid doors.—Daily energy consumption (kWh/day) 

—Adjusted volume (ft3). 

Must be submitted with certification report. 

—Remote condensing commercial refrigerators, 

freezers, and refrigerator-freezers.

—Daily energy consumption (kWh/day) .......... Must be submitted with certification report. 

—Self-contained commercial refrigerators, 

freezers, and refrigerator-freezers without 

doors.

—Total display area (ft2) or chilled volume 

(ft3) as applicable.

—Commercial ice-cream freezers ...................... —Rating temperature (°F).

—Commercial refrigeration equipment with two 

or more compartments.

—Service over the counter refrigerators and 

freezers.

—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 ........................................ —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 (ACs) and (HPs) less 

than 65,000 Btu/h cooling capacity (3-Phase).

—Seasonal energy efficiency ratio (Btu/Wh). 

—Heating seasonal performance factor (Btu/Wh) if applicable. 

—Rated cooling capacity (Btu/h). 

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.

—Energy efficiency ratio (Btu/Wh). 

—Coefficient of performance, if applicable. 

—Rated cooling capacity (Btu/h). 

—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 65,000 Btu/h cooling 

capacity.

—Seasonal energy efficiency ratio (Btu/Wh). 

—Heating seasonal performance factor (Btu/Wh) if applicable. 

—Rated cooling capacity (Btu/h). 

VRF AC and HPs with 65,000 Btu/h cooling capacity or 

more.

—Energy efficiency ratio (Btu/Wh). 

—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). 


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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 ........................ Optional. 

Commercial Packaged Boilers ........................... Optional. 

Air-Cooled, Split and Packaged ACs and HPs 

less than 65,000 Btu/h Cooling Capacity (3- 

Phase).

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. 

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.

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. 

PTACs and PTHPs ............................................. Optional. 

SPVUs ................................................................ Optional. 

Variable Refrigerant Flow ACs and HPs less 

than 65,000 Btu/h Cooling Capacity.

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. 

Variable Refrigerant Flow ACs and HPs with 

65,000 Btu/h Cooling Capacity or More.

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. 

Water Source Variable Refrigerant Flow HPs .... 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, 


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TABLE II.4—HVAC REQUIREMENTS FOR ADDITIONAL TESTING INSTRUCTIONS—Continued 

Equipment type Additional testing instructions 

—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

Equipment type Certification report must include: Additional testing instructions: 

Commercial Electric Storage Water Heaters .................... —Maximum standby loss (%/h) ...................

—Measured storage volume (gal). 

Optional. 

Commercial gas-fired and oil-fired storage water heaters —Thermal efficiency (%) ..............................

—Maximum standby loss (Btu/h). 

Optional. 

—Rated storage volume (gal). 

—Nameplate input rate (Btu/h). 

Commercial water heaters and hot water supply boilers 

(storage capacity > 140 gal).

—Storage volume is greater than 140 gal 

(Yes/No).

—Tank surface area is insulated with at 

least R–12.5 (Yes/No).

Optional. 

—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-fired instantaneous water 

heaters less than 10 gallons and gas-fired and oil-fired 

hot water supply boilers less than 10 gallons.

—Thermal efficiency (%) ..............................

—Storage volume (gal). 

Optional. 

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.

—Thermal efficiency (%). 

—Maximum standby loss (Btu/h). 

—Rated storage volume (gal). 

—Nameplate input rate (Btu/h). 

Commercial unfired hot water storage tanks .................... —Thermal insulation (R-value) ....................

—Stored water volume (gal). 

Optional. 

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, 


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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 3- 

phase equipment. (AHRI, No. 0072.1 at 

p. 3) DOE agrees and has made 

appropriate clarifications in the 

regulatory text in part 429. 

DOE received a number of comments 

on the proposed supplemental PDF 

submission. Traulsen commented that a 

generic set of charging instructions by 

product family with the listing of 

excluded features could be provided 

with the initial certification and 

reviewed annually. (Traulsen, No. 

0074.1 at p. 2) DOE agrees that a 

manufacturer may submit one PDF 

covering multiple basic models, 

particularly if all the basic models are 

part of the same product family, because 

it would reduce the certification burden 

while still providing the necessary 

testing information. For those 

equipment types for which PDFs are 

required or for which a manufacturer 

elects to submit a PDF, manufacturers 

must associate the appropriate PDF file 

name with its certification of the basic 

model in the template. Thus, if a 

manufacturer submits a single PDF 

spanning many different basic models, 

it should clearly mark within the PDF 

which testing instructions are applied to 

each specific basic model. 

Summit strongly opposed DOE’s 

proposal that manufacturers submit a 

PDF with specific testing requirements 

for every registered product because it 

would create a significant testing 

burden for manufacturers. Summit 

estimated that it would take 16 to 40 

hours per model to initially develop and 

review the testing instructions and an 

additional 4 to 16 hours per model to 

review the supplement PDF each year. 

Summit explained that this amount of 

time would require manufacturers to 

hire full time staff to work on 

certification issues, which would be 

detrimental to small businesses in 

particular. (Summit, No. 0067.1 at pp. 

1–2) DOE clarifies that the supplemental 

PDF for commercial refrigeration 

equipment must include any additional 

testing instructions the manufacturer 

deems necessary to properly test its 

equipment, as long as such instructions 

do not contradict the test procedure. 

These instructions are included at the 

manufacturer’s discretion, and the 

manufacturer may determine that no 

additional testing instructions are 

necessary. 

Summit also questioned how a 

specific test instruction recommended 

by the manufacturer could be used if it 

contradicted the DOE test procedure. 

(Summit, No. 0067.1 at p. 1) As 

previously stated, DOE will not use any 

manufacturer recommended test 

instructions that are not allowed by or 

are inconsistent with the DOE test 

procedure. 

Finally, DOE proposed to move the 

provisions for certifying commercial 

packaged boilers and commercial warm 

air furnaces from 10 CFR 429.43 to 10 

CFR 429.41 and 429.60, respectively. 

(Section 429.41, which is currently 

reserved for electric motors, would be 

moved to another available section.) 

This change would reflect that 

commercial packaged boilers and 

commercial warm air furnaces are types 

of equipment for which the regulations 

are typically amended through separate 

rulemakings and are located in different 

subparts of 10 CFR part 431 (subpart D 

for commercial warm air furnaces and 

subpart E for commercial packaged 

boilers) than commercial air 

conditioning and heat pump equipment 

(subpart F). DOE is not proposing any 

changes to the sampling provisions for 

these products; the modification would 

ensure that the organizational structure 

of part 429 better reflects the structure 

of part 431. DOE notes that section 

429.43 would continue to provide the 

certification requirements for the 

equipment in 10 CFR part 431, subpart 

F (commercial air conditioners and heat 

pumps). DOE did not receive any 

comments on this proposal and will 

adopt this change in this final rule. 

III. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

This regulatory action is not a 

‘‘significant regulatory action’’ under 

section 3(f) of Executive Order 12866, 

Regulatory Planning and Review, 58 FR 

51735 (Oct. 4, 1993). Accordingly, this 

action was not subject to review under 

the Executive Order by the Office of 

Information and Regulatory Affairs 

(OIRA) in the Office of Management and 

Budget (OMB). 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601, et seq.) requires preparation 

of an initial regulatory flexibility 

analysis (IRFA) for any rule that by law 

must be proposed for public comment 

and a final regulatory flexibility analysis 

(FRFA) for any rule that an agency 

adopts as a final rule, unless the agency 

certifies that the rule, if promulgated, 

will not have a significant economic 

impact on a substantial number of small 

entities. As required by Executive Order 

13272, ‘‘Proper Consideration of Small 

Entities in Agency Rulemaking,’’ 67 FR 

53461 (August 16, 2002), DOE 

published procedures and policies on 

February 19, 2003, to ensure that the 

potential impacts of its rules on small 

entities are properly considered during 

the rulemaking process. 68 FR 7990. 

DOE has made its procedures and 

policies available on the Office of the 

General Counsel’s Web site (http://

energy.gov/gc/office-general-counsel). 

DOE reviewed the February 2014 NOPR 

and this final rule under the provisions 

of the Regulatory Flexibility Act 

procedures and policies published on 

February 19, 2004. 

For manufacturers of HVAC, WH, and 

refrigeration equipment, the Small 

Business Administration (SBA) has set a 

size threshold, which defines those 

entities classified as ‘‘small businesses’’ 

for the purposes of the statute. DOE 

used the SBA’s small business size 

standards to determine whether any 

small entities would be subject to the 

requirements of the rule. 65 FR 30848 

(May 15, 2000), as amended at 65 FR 

53533, 53544 (Sept. 5, 2000) and 

codified at 13 CFR part 121. The size 

standards are listed by North American 

Industry Classification System (NAICS) 

code and industry description and are 

available at http://www.sba.gov/

category/navigation-structure/

contracting/contracting-officials/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. 

1. Description and Estimated Number of 

Small Entities Regulated 

To estimate the number of companies 

that could be small business 

manufacturers of equipment covered by 

this rulemaking, DOE conducted a 

market survey using publicly available 

information. DOE’s research involved 

industry trade association membership 

directories (including AHRI), 

information from previous rulemakings, 

product directories (AHRI Directory,(4)

the California Energy Commission 

Appliance Efficiency Database (5)), 

individual company Web sites, and 

market research tools (e.g., Dunn and 

Bradstreet reports (6) and Hoovers 

reports (7)). DOE used information from 

these sources to create a list of 

companies that potentially manufacture 

commercial HVAC, WH, and 

refrigeration equipment covered by this 

rulemaking. DOE screened out 

companies that do not offer equipment 

covered by this rulemaking, do not meet 

the definition of a ‘‘small business,’’ or 

are foreign owned and operated. Based 

on these efforts, DOE estimates that 

there are 5 small business 

manufacturers of all commercial HVAC 

equipment, 32 small business 

manufacturers of commercial 

refrigeration equipment, and 9 small 

business manufacturers of commercial 

WH equipment. 

2. Description and Estimated of 

Compliance Requirements 

DOE entered into negotiations with 

commercial HVAC, water heating, and 

refrigeration equipment manufacturers 

regarding the types of information to 

submit when certifying their equipment 

and when that certification must be 

made to the Department. The outcomes 

of the negotiation resulted in slight 

changes to the information that DOE is 

collecting for commercial HVAC, WH, 

and refrigeration equipment. The most 

notable of these changes adopted in this 

rule is that some manufacturers of 

commercial refrigeration equipment and 

some types of commercial HVAC 

equipment must submit a PDF with 

specific testing instructions to be used 

by the Department during verification 

and enforcement testing. Manufacturers 

of water heating equipment and some 

types of commercial HVAC equipment 

would have the option of submitting a 

PDF with additional testing instructions 

at the manufacturer’s discretion. The 

certification requirements adopted in 

this final rule reflect the direct results 

of the negotiations. By permitting 

manufacturers to submit PDFs with 

additional testing instructions, 

individual manufacturers will have a 

mechanism to provide the Department 

with additional information necessary 

for testing each basic model. 

In general, this rule requires 

manufacturers to submit a certification 

report indicating that all basic models 

distributed in commerce in the U.S. 

comply with the applicable standards 

using DOE’s testing procedures, as well 

as the necessary product specific 

certification data describing the 

efficiency and characteristics of the 

basic model. The certification reports 

are submitted for each basic model, 

either when the requirements go into 

effect (for models already in 

distribution), or when the manufacturer 

begins distribution of a particular basic 

model, and annually thereafter. Reports 

must be updated when a new model is 

introduced or a change affecting energy 

efficiency or use is made to an existing 

model resulting in a change in the 

certified rating. 

DOE currently requires manufacturers 

or their party representatives to prepare 

and submit certification reports using 

DOE’s electronic Web-based tool, the 

Compliance and Certification 

Management System (CCMS), which is 

the only mechanism for submitting 

certification reports to DOE. CCMS 

currently has product specific templates 

that manufacturers must use when 

submitting certification data to DOE. 

See http://www.regulations.doe.gov/

ccms. This final rule would not change 

the electronic submission requirement 

for commercial HVAC, WH, and 

refrigeration equipment. DOE believes 

the availability of electronic filing 

through the CCMS system reduces 

reporting burdens, streamlines the 

process, and provides the Department 

with needed information in a 

standardized, more accessible form. 

This electronic filing system also 

ensures that records are recorded in a 

permanent, systematic way. 

3. Duplication, Overlap, and Conflict 

With Other Rules and Regulations 

DOE is not aware of any rules or 

regulations that duplicate, overlap, or 

conflict with this final rule. 

4. Significant Alternatives to the Rule 

This section considers alternatives to 

the certification, compliance, and 

enforcement provisions in this 

rulemaking. DOE has tried to minimize 

the reporting burden as much as 

possible by: (1) Accepting electronic 

submissions; (2) providing preformatted 

templates that lay out the certification 

and compliance requirements for each 

product; and (3) allowing manufacturers 

to group individual models into basic 

models for the purposes of certification 

to reduce the number of discrete models 

reported to the Department. DOE also 

notes that the Working Group included 

representatives of small businesses and 

that this proposal reflects the 

recommendations of that Working 

Group. DOE has also made efforts to 

address the concerns of small 

businesses by expanding the ability of 

manufacturers to use alternative 

efficiency determination methods 

(AEDMs) in lieu of testing equipment. 

Further, DOE is adopting certification 

provisions set forth in this rulemaking 

as negotiated by the Working Group for 

all manufacturers of covered products 

and covered equipment that would be 

affected by this proposal. 

C. Review Under the Paperwork 

Reduction Act 

Under the Paperwork Reduction Act 

of 1995 (PRA) (44 U.S.C. 3501, et seq.), 

Federal agencies must obtain approval 

from the Office of Management and 

Budget (OMB) for each collection of 

information they conduct, sponsor, or 

require through regulations. This final 

rule mandates that manufacturers and 

importers of covered commercial HVAC, 

WH, and refrigeration equipment certify 

to the Department that the products they 

are distributing in commerce in the U.S. 

comply with the applicable energy 

conservation standards. 

In compliance with the PRA, DOE 

sought comment on the proposed 

expansion of the existing information 

collection. As noted earlier in the 

preamble, DOE negotiated these 

certification requirements with 

interested parties in an effort to 

minimize the burden of the reporting 

requirements, while providing DOE 

with important information about 

equipment being sold. 

DOE proposed to require that 

manufacturers certify as compliant with 

the applicable energy conservation 


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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. 

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 


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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. 

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 


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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 

■ 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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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: 

§ 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 

§ 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 § 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: 

§ 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: 

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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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. 

* * * * * 

(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. 

(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 

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 (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 multisplit 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 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 

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 

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 (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 


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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. 

(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 

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 


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25504 Federal Register / Vol. 79, No. 86 / Monday, May 5, 2014 / Rules and Regulations 

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: 

§ 429.44 Commercial water heating 

equipment. 

* * * * * 

(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 

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 

(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, 


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(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 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 

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: 

§ 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. 

ACTION: Direct final rule with request for 

comments. 

SUMMARY: 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. 

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: http://

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 http://

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: 

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. 


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