```

[Federal Register Volume 79, Number 31 (Friday, February 14, 2014)]
[Proposed Rules]
[Pages 8886-8903]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-03103]

========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

========================================================================


Federal Register / Vol. 79, No. 31 / Friday, February 14, 2014 / 
Proposed Rules

[[Page 8886]]

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: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Energy is proposing to revise and 
expand its existing regulations governing certifying compliance with 
the applicable energy conservation standards and the reporting of 
related ratings for commercial heating, ventilating, air-conditioning, 
water heating, and refrigeration equipment covered by EPCA.

DATES: DOE will accept comments, data, and information regarding this 
notice of proposed rulemaking (NOPR) no later than March 17, 2014. See 
section V, ``Public Participation,'' of this NOPR for details.
    In compliance with the Paperwork Reduction Act, DOE is also seeking 
comment on a revised information collection. See the Paperwork 
Reduction Act section under Procedural Issues and Regulatory Review 
below. Please submit all comments relating to information collection 
requirements to DOE at the address listed in the ADDRESSES section on 
or before April 15, 2014. Comments to OMB are most useful if submitted 
within 30 days of publication.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at http://www.regulations.gov. Follow 
the instructions for submitting comments. Alternatively, interested 
persons may submit comments, identified by docket number EERE-2013-BT-
NOC-0023, by any of the following methods:
     Email: to ASRACworkgroup2013NOC0023@ee.doe.gov. Include 
EERE-2013-BT-NOC-0023 in the subject line of the message.
     Mail: Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J, Revisions to Energy 
Efficiency Enforcement Regulations, EERE-2013-BT-NOC-0023, 1000 
Independence Avenue SW., Washington, DC 20585- 0121. Phone: (202) 586-
2945. Please submit one signed paper original.
     Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department 
of Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza 
SW., Washington, DC 20024. Phone: (202) 586-2945. Please submit one 
signed paper original.
    Instructions: All submissions received must include the agency name 
and docket number or RIN for this rulemaking.
    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. Email: Ashley.Armstrong@ee.doe.gov. Phone: 202-586-6590; 
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. Email: Laura.Barhydt@hq.doe.gov Phone: 202-287-
5772.

SUPPLEMENTARY INFORMATION:

I. Authority and Background
II. Discussion of Specific Revisions to DOE's Certification 
Regulations
    Engineered-to-Order Equipment
    General Certification Information Applicable to All Basic Models 
of Commercial HVAC, WH, and Refrigeration Equipment
    Equipment Specific Certification Information
III. Procedural Issues and Regulatory Review
IV. Public Participation
V. Approval of the Office of the Secretary

I. Authority and Background

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 
establish an energy conservation program for certain industrial 
equipment. (42 U.S.C. 6311-6317) \1\ The Department of Energy (``DOE'') 
is charged with implementing these provisions.
---------------------------------------------------------------------------

    \1\ For editorial reasons, Parts B (consumer products) and C 
(commercial equipment) of Title III of EPCA were re-designated as 
parts A and A-1, respectively, in the United States Code.
---------------------------------------------------------------------------

    Under EPCA, this program consists essentially of four parts: (1) 
Testing; (2) labeling; (3) Federal energy conservation standards; and 
(4) certification and enforcement procedures. The Federal Trade 
Commission (FTC) is primarily responsible for labeling of consumer 
products, while DOE implements the remainder of the program. The 
testing requirements consist of test procedures that manufacturers of 
covered products and equipment must use (1) as the basis for certifying 
to DOE that their products comply with the applicable energy 
conservation standards adopted under EPCA, and (2) for making 
representations about the efficiency of those products and equipment. 
Similarly, DOE must use these test requirements to determine whether 
the products comply with any relevant standards promulgated under EPCA. 
For certain consumer products and commercial equipment, DOE's existing 
testing regulations allow the use of an alternative efficiency 
determination method (AEDM) or an alternative rating method (ARM), in 
lieu of actual testing, to simulate the energy consumption or 
efficiency of certain basic models of covered products and equipment 
under DOE's test procedure conditions.
    In addition, sections 6299-6305, and 6316 of EPCA authorize DOE to 
enforce compliance with the energy and water conservation standards 
(all non-product specific references herein referring to energy use and 
consumption include

[[Page 8887]]

water use and consumption; all references to energy efficiency include 
water efficiency) established for certain consumer products and 
industrial 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.

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 (hereafter referred to as the March 2011 Final Rule). 76 
FR 12422. This rule, among other things, 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 by the March 2011 Final Rule, certain manufacturers of 
particular types of commercial and industrial equipment (including 
manufacturers of commercial heating, ventilation, and air conditioning 
(HVAC) equipment, commercial water heating (WH) equipment, and 
commercial refrigeration equipment (CRE)) stated that, for a variety of 
reasons, they would be unable to meet that deadline. In response, DOE 
initially extended the deadline for certifications for commercial HVAC, 
WH, and refrigeration equipment in a final rule published June 30, 2011 
(hereafter referred to as the June 2011 Final Rule). 76 FR 38287 (June 
30, 2011). DOE subsequently extended the compliance date for 
certification by an additional 12 months to December 31, 2013, for 
these types of equipment (December 2012 Final Rule) to allow, among 
other things, the Department to explore the negotiated rulemaking 
process for this equipment. 77 FR 72763.
    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 
on June 26, 2013, summarizing the group's recommendations regarding 
AEDMs for commercial HVAC, WH, and refrigeration equipment. The interim 
report to ASRAC can be found at http://www.regulations.gov/#!documentDetail;D=EERE-2013-BT-NOC-0023-0046. ASRAC subsequently 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. In this notice of proposed rulemaking, DOE is 
proposing to adopt without modification the remaining recommendations 
for certification requirements from the Working Group. DOE still 
intends to issue separate rulemaking or guidance documents regarding 
the treatment of specific features when testing.

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

    The Commercial Certification Working Group held nine full meetings 
in Washington, DC, between April 30, 2013 and August 28, 2013. These 
meetings were attended by 57 interested parties, including members of 
the Working Group. Table II.1 lists the entities that attended the 
Commercial Certification Working Group meetings and their affiliation. 
The Working Group's recommendations regarding certification are 
presented in this notice of proposed rulemaking. A more detailed 
discussion of the recommendations can be found in the Commercial 
Certification Working Group meeting transcripts, which are located 
here: http://www.regulations.gov/#!docketDetail;D=EERE-2013-BT-NOC-
0023.

                                         Table II.1--Interested Parties
----------------------------------------------------------------------------------------------------------------
                  Name                                      Acronym                        Organization type
----------------------------------------------------------------------------------------------------------------
AAON, Inc..............................  AAON........................................  Manufacturer.
Air-Conditioning, Heating, and           AHRI........................................  Trade Association.
 Refrigeration Institute.
Allied Air Enterprises.................  Allied Air..................................  Manufacturer.
American Council for an Energy-          ACEEE.......................................  Energy Efficiency
 Efficient Economy.                                                                     Advocacy Group.
American Society of Heating,             ASHRAE......................................  Trade Association.
 Refrigerating and Air-conditioning
 Engineers.

[[Page 8888]]

 
Bard Manufacturing Company Inc.........  Bard........................................  Manufacturer.
Bosch Thermotechnology Corp............  Bosch.......................................  Manufacturer.
Bradford White Corporation.............  Bradford White..............................  Manufacturer.
California Energy Commission...........  CEC.........................................  California State
                                                                                        Government Agency.
Cleaver-Brooks.........................  ............................................  Manufacturer.
ClimateMaster Inc......................  ClimateMaster...............................  Manufacturer.
Continental Refrigerator...............  ............................................  Manufacturer.
CSA Group..............................  CSA.........................................  Third-party laboratory.
Daikin McQuay..........................  ............................................  Manufacturer.
EarthJustice...........................  ............................................  Energy Efficiency
                                                                                        Advocacy Group.
Edison Electric Institute..............  EEI.........................................  Energy Efficiency
                                                                                        Advocacy Group.
Emerson Climate Technologies...........  Emerson.....................................  Component Manufacturer.
Estes Heating & Air Conditioning, Inc..  Estes.......................................  Distributor.
General Electric Company...............  GE..........................................  Manufacturer.
Goodman Global, Inc....................  Goodman.....................................  Manufacturer.
Heat Transfer Products.................  HTP.........................................  Manufacturer.
Hillphoenix............................  Hillphoenix.................................  Manufacturer.
Hoshizaki America, Inc.................  Hoshizaki...................................  Manufacturer.
Hussmann Corporation...................  Hussmann....................................  Manufacturer.
Intertek...............................  Intertek....................................  Third-party laboratory.
Johnson Controls Inc...................  JCI.........................................  Manufacturer.
Lennox International, Inc..............  Lennox......................................  Manufacturer.
Lochinvar, LLC.........................  Lochinvar...................................  Manufacturer.
Mississippi College School of Law......  ............................................  Law School.
McDermott Will & Emery.................  ............................................  Law Firm.
Mitsubishi Electric US, Inc............  MEUS........................................  Manufacturer.
National Comfort Products..............  NCP.........................................  Manufacturer.
National Electric Manufacturers          NEMA........................................  Trade Association.
 Association.
National Refrigeration and Air-          National....................................  Manufacturer.
 Conditioning.
Norlake Inc............................  Norlake.....................................  Manufacturer.
Northwest Energy Efficiency Alliance...  NEEA........................................  Energy Efficiency
                                                                                        Advocacy Group.
Natural Resources Canada...............  NRCan.......................................  Canadian Government
                                                                                        Agency.
Manitowoc Foodservice..................  Manitowoc...................................  Manufacturer.
P2S Engineering, Inc...................  P2S.........................................  Consulting Firm.
Pacific Gas and Electric Company.......  PG&E........................................  Utility.
PVI Industries Inc.....................  PVI.........................................  Manufacturer.
Regal-Beloit Corporation...............  Regal-Beloit................................  Manufacturer.
Rheem Manufacturing Company............  Rheem.......................................  Manufacturer.
Saudi Diyar Consultants................  Diyar.......................................  Engineering Design Firm.
Schneider Electric SA..................  Schneider Electric..........................  Consulting Firm.
San Francisco Department of the          SF Environment..............................  California State
 Environment.                                                                           Government Agency.
SJI Consultants Inc....................  SJI.........................................  Consulting firm.
Southern California Gas Company........  SoCal Gas...................................  Utility.
Source Energy..........................  ............................................  Consulting Firm.
Southern Store Fixtures................  ............................................  Manufacturer.
Trane..................................  ............................................  Manufacturer.
Traulsen...............................  Traulsen....................................  Manufacturer.
True Manufacturing Co. Inc.............  True Manufacturing..........................  Manufacturer.
Underwriters Laboratories LLC..........  UL..........................................  Third-party laboratory.
United CoolAir Corporation.............  United CoolAir..............................  Manufacturer.
United Technologies Climate, Controls &  UTC/Carrier.................................  Manufacturer.
 Security and ITS Carrier.
Zero Zone Inc..........................  Zero Zone...................................  Manufacturer.
----------------------------------------------------------------------------------------------------------------

Engineered-to-Order Equipment

    The Working Group recommended that a new concept, ``engineered-to-
order equipment,'' be added to DOE's certification regulations. The 
Working Group recommended that this concept be applied to a basic model 
that is not listed in any catalogs or marketing literature and is 
designed and built to customer requirements. An engineered-to-order 
basic model does not include any models offered as a ``configure-to-
order'' or ``menu-system'' set of options.\2\ Additionally, the Working 
Group determined that a basic model may not be classified as 
engineered-to-order for more than one annual certification cycle, 
effectively meaning that the basic model cannot be classified as 
engineer-to-order for more than 24 months. If the manufacturer does not 
recertify the engineered-to-order product as a typical basic model by 
the second annual certification deadline then the manufacturer is 
effectively certifying that the model has been discontinued. In that 
case, DOE would automatically treat the basic model as discontinued.\3\ 
DOE proposes to adopt

[[Page 8889]]

the engineered-to-order concept by adding a definition of this term and 
the associated certification requirements and requests comment on this 
approach.
---------------------------------------------------------------------------

    \2\ The Working Group recommended the new concept to distinguish 
between models that are built to customer specifications from a list 
of options offered by the manufacturer (e.g., ``configure-to-
order'') and models that are built to customer specifications that 
are completely unique, require original engineering design work, and 
are not built from options the manufacturer offers for sale (i.e., 
``engineered-to-order'').
    \3\ In all other circumstances, the manufacturer must 
affirmatively certify that a basic model has been discontinued as 
required by 10 CFR 429.12(f). Because engineered-to-order basic 
models are, by design, unlikely to be distributed more than once, 
the manufacturer would not be required to submit a certification 
report discontinuing an engineered-to-order basic model.
---------------------------------------------------------------------------

General Certification Information Applicable to All Basic Models of 
Commercial HVAC, WH, and Refrigeration Equipment

    The Working Group recommended that manufacturers submit the 
following general information to DOE in all certification reports.
     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 (``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 test sample size is ``0.''
    The only items listed above that manufacturers are not currently 
required to provide DOE in accordance with 10 CFR 429.12 are customer-
specified model numbers and the name of the AEDM used.
    Additionally, the Working Group 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
    During the Working Group discussions, manufacturers of commercial 
refrigeration equipment inquired about what ``equipment classes'' there 
are for commercial refrigeration equipment. DOE provides templates for 
certification reports that provide the current list of equipment 
classes, which correspond to the classes described in the relevant 
regulatory text promulgating standards for each piece of equipment. 
See, e.g., the Product Description tab of the Commercial Refrigeration 
Equipment templates available at https://www.regulations.doe.gov/ccms/templates and 10 CFR 431.66. DOE reviews the current equipment classes 
each time it analyses amended standards for equipment, so the list of 
equipment classes may change if amended standards are adopted by the 
Department.
    As stated above, DOE is proposing that commercial HVAC, WH and 
refrigeration equipment manufacturers provide customer-specified model 
numbers and the name of the AEDM used in addition to the other current 
reporting requirements found within 10 CFR 429.12(b). The Working Group 
used the term ``customer-specified model number'' to describe an 
individual model number that is specified by a customer in lieu of the 
manufacturer's normal model numbering system. This ``customer-specified 
model number'' often includes the customer's name or brand name, and 
thus may reveal confidential business information about company 
relationships. Therefore, in the proposed regulatory text, DOE is 
proposing to call this ``customer-specified model number'' a ``private 
model number'' to differentiate it from a manufacturer's individual 
model number, which is considered public information.
    The Working Group also recommended significant changes to the AEDM 
provisions applicable to commercial HVAC, WH and refrigeration 
equipment. DOE addressed those recommendations 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 which basic models are part of an 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 is proposing 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 also recommended that certification reports for 
these types of equipment identify whether the basic model was 
engineered-to-order. 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 proposes to adopt these 
modifications and requests comment on the proposed changes to the 
certification requirements applicable to all of these equipment types.
    DOE 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 before distribution in commerce. 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 is proposing 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.

Equipment Specific Certification Information

    DOE proposed in its October 2013 notice regarding the Working 
Group's recommendations for AEDMs that commercial HVAC, WH, and 
refrigeration equipment manufacturers

[[Page 8890]]

may elect to have a manufacturer's representative on-site to witness 
test set-up before verification testing of up to 10 percent of the 
manufacturer's certified basic models rated with an AEDM. A 
manufacturer would indicate its selection of basic models in its 
certification report(s). DOE has included this certification 
requirement in this proposal in the product-specific certification 
sections.
    The Working Group 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 product-specific information, 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 Table 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 pieces of HVAC equipment that require 
submission of additional testing instructions, the Working Group 
further provided a list of specific information that must be included 
in those instructions as detailed in Table II.4. DOE proposes to adopt 
these certification requirements and requests comment on the specific 
proposals for each equipment type.
    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 in 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--and thus the 
certification is based on testing with the feature--the manufacturer 
must specify in the PDF portion of the certification report which 
``special'' features are included in the basic model's rating.

            Table II.2--CRE Certification Report Requirements
------------------------------------------------------------------------
                                     Certification
         Equipment type              report  must      Supplemental PDF
                                        include           information
------------------------------------------------------------------------
--Self-contained commercial       --Daily energy      --Additional
 refrigerators and freezer with    consumption (kWh/   testing
 solid doors.                      day).               instructions
--Self-contained commercial       --Chilled or         required
 refrigerators and freezers with   frozen             --If applicable,
 transparent doors.                compartment         must specify
--Self-contained commercial        volume (ft\3\),     which, if any,
 refrigerator-freezers with        adjusted volume     excluded features
 solid doors.                      (ft\3\), or Total   are included in
                                   display area        basic model.
                                   (ft\2\), as
                                   applicable.
                                  --Operating
                                   temperature
                                   (i.e., the lowest
                                   product
                                   application
                                   temperature)..
--Remote condensing commercial
 refrigerators, freezers, and
 refrigerator-freezers.
--Self-contained commercial
 refrigerators, freezers, and
 refrigerator-freezers without
 doors.
--Commercial ice-cream freezers.
--Commercial refrigeration
 equipment with two or more
 compartments.
--Service over the counter
 refrigerators and freezers.
------------------------------------------------------------------------

           Table II.3--HVAC Certification Report Requirements
------------------------------------------------------------------------
                                            Certification reports must
             Equipment type                          include
------------------------------------------------------------------------
Commercial Warm Air Furnaces...........  --Thermal efficiency (%).
                                         --Maximum rated input capacity
                                          (Btu/h).
Commercial Packaged Boilers............  --Combustion efficiency (%) or
                                          thermal efficiency (%) as
                                          required in 431.87.
                                         --Maximum rated input capacity
                                          (Btu/h).
Commercial package air-cooled, Split     --Seasonal energy efficiency
 and Packaged ACs and HPs less than       ratio (Btu/Wh).
 65,000 Btu/h cooling capacity (3-       --Heating seasonal performance
 Phase).                                  factor (Btu/Wh) if applicable.
                                         --Rated cooling capacity (Btu/
                                          h).
Commercial package air-cooled, ACs and   --Energy efficiency ratio (Btu/
 HPs greater than or equal to 65,000      Wh).
 Btu/h cooling capacity and              --Coefficient of performance,
 evaporatively-cooled, and water cooled   if applicable.
 ACs and HPs.                            --Rated cooling capacity (Btu/
                                          h).
                                         --Heating type (electric, gas,
                                          hydronic, none).
Packaged Terminal ACs..................  --Energy efficiency ratio (Btu/
                                          Wh).
                                         --Rated cooling capacity (Btu/
                                          h).
                                         --Wall sleeve dimensions (in).
Packaged Terminal HPs..................  --Energy efficiency ratio (Btu/
                                          Wh).
                                         --Coefficient of performance.
                                         --Rated cooling capacity (Btu/
                                          h).
                                         --Wall sleeve dimensions (in).
Single Package Vertical ACs............  --Energy efficiency ratio (Btu/
                                          Wh).
                                         --Rated cooling capacity (Btu/
                                          h).
Single Package Vertical HPs............  --Energy efficiency ratio (Btu/
                                          Wh).

[[Page 8891]]

 
                                         --Coefficient of performance.
                                         --Rated cooling capacity (Btu/
                                          h).
Variable Refrigerant Flow Multi-Split    --Seasonal energy efficiency
 ACs and HPs with less than 65,000 Btu/   ratio (Btu/Wh).
 h rated cooling capacity.               --Heating seasonal performance
                                          factor (Btu/Wh) if applicable.
                                         --Rated cooling capacity (Btu/
                                          h).
Variable Refrigerant Flow Multi-Split    --Energy efficiency ratio (Btu/
 AC and HPs with 65,000 Btu/h rated       Wh).
 cooling capacity or more.               --Coefficient of performance,
                                          if applicable.
                                         --Rated cooling capacity (Btu/
                                          h).
                                         --Heating type (electric, gas,
                                          hydronic, none).
Water Source Variable Refrigerant Flow   --Energy efficiency ratio (Btu/
 HPs (all rated cooling capacities).      Wh).
                                         --Coefficient of performance.
                                         --Rated cooling capacity (Btu/
                                          h).
                                         --Heating type (electric, gas,
                                          hydronic, 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 (other than variable    --Energy efficiency ratio (Btu/
 refrigerant flow).                       Wh).
                                         --Coefficient of performance.
                                         --Rated cooling capacity (Btu/
                                          h).
                                         --Heating type (electric, gas,
                                          hydronic, none).
------------------------------------------------------------------------

Table II.4--HVAC Requirements for PDF Supplement to Certification Report
------------------------------------------------------------------------
                                         PDF Supplement to certification
             Equipment type                           report
------------------------------------------------------------------------
Commercial Warm Air Furnaces...........  Additional testing instructions
                                          optional.
Commercial Packaged Boilers............  Additional testing instructions
                                          optional.
Air-Cooled, Split and Packaged ACs and   Additional testing instructions
 HPs less than 65,000 Btu/h Cooling       are required and must include:
 Capacity (3-Phase).                     --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).
                                            --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 setting for step or
                                             variable components.
                                            --Statement whether model
                                             will operate at test
                                             conditions without
                                             manufacturer programming.
                                            Supplemental information
                                             must also include:
                                            --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 used to
                                             determine the certified
                                             rating.
                                            --Which, if any, special
                                             features were included in
                                             rating the basic model.
Commercial package air-cooled ACs and    Additional testing instructions
 HPs with 65,000 Btu/h Cooling Capacity   are required and must include:
 or More, Evaporatively-Cooled ACs and   --Nominal cooling capacity.
 HPs, and Water-Cooled ACs and HPs.      --Rated heating capacity, if
                                          applicable.
                                         --Rated airflow (SCFM) for each
                                          fan coil.
                                         --Water flow rate (gpm) for
                                          water-cooled units only.
                                            --Rated static pressure.
                                            --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, etc.).
                                            --Required dip switch/
                                             control setting for step or
                                             variable components.
                                            --Statement whether model
                                             will operate at test
                                             conditions without
                                             manufacturer programming.
                                         Supplemental information must
                                          also include:

[[Page 8892]]

 
                                            --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 used to
                                             determine the certified
                                             rating.
                                            --Which, if any, special
                                             features were included in
                                             rating the basic model.
PTACs and PTHPs........................  Additional testing instructions
                                          optional.
SPVUs..................................  Additional testing instructions
                                          optional.
                                         Supplemental information must
                                          include:
                                            --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 used to
                                             determine the certified
                                             rating.
                                            --Which, if any, special
                                             features were included in
                                             rating the basic model.
Variable Refrigerant Flow Multi-Split    Additional testing instructions
 ACs and HPs less than 65,000 Btu/h       are required and must include:
 Cooling Capacity.                       --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.
                                            --Statement whether model
                                             will operate at test
                                             conditions without
                                             manufacturer programming.
                                         Supplemental information must
                                          include:
                                            --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 used to
                                             determine the certified
                                             rating.
                                            --Which, if any, special
                                             features were included in
                                             rating the basic model.
                                         In addition to information
                                          provided with a certification
                                          report, 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 Multi-Split    Additional testing instructions
 ACs and HPs with 65,000 Btu/h Cooling    are required and must include:
 Capacity or More.                       --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).
                                            --Frequency or control set
                                             points for variable speed
                                             components (e.g.,
                                             compressors, VFDs, etc.).
                                            --Required dip switch/
                                             control setting for step or
                                             variable components.
                                            --Statement whether model
                                             will operate at test
                                             conditions without
                                             manufacturer programming.
                                         Supplemental information must
                                          include:
                                            --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 used to
                                             determine the certified
                                             rating;
                                            --Which, if any, special
                                             features were included in
                                             rating the basic model.

[[Page 8893]]

 
                                         In addition to information
                                          provided with a certification
                                          report, 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   Additional testing instructions
 HPs.                                     are required and must include:
                                         --Nominal cooling capacity (Btu/
                                          h).
                                            --Rated heating capacity
                                             (Btu/h).
                                            --Rated airflow (SCFM) for
                                             each indoor unit.
                                            --Water flow rate (gpm).
                                            --Rated static pressure
                                             (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 setting for
                                             step or variable
                                             components.
                                            --Statement whether model
                                             will operate at test
                                             conditions without
                                             manufacturer programming.
                                         Supplemental information must
                                          include:
                                            --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 used to
                                             determine the certified
                                             rating.
                                            --Which, if any, special
                                             features were included in
                                             rating the basic model.
                                         In addition to information
                                          provided with a certification
                                          report, 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......................  Additional testing instructions
                                          optional
                                         Supplemental information must
                                          include:
                                         --Which, if any, special
                                          features were included in
                                          rating the basic model.
Water Source HPs.......................  Additional testing instructions
                                          are required and must 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).
                                            --Refrigeration charging
                                             instructions (e.g.,
                                             refrigerant charge,
                                             superheat, and/or
                                             subcooling temperatures).
                                            --Frequency set points for
                                             variable speed components
                                             (e.g., compressors, VFDs,
                                             etc.), including the
                                             required dip switch/control
                                             setting for step or
                                             variable components.
                                            --Statement whether model
                                             will operate at test
                                             conditions without
                                             manufacturer programming.
                                         Supplemental information must
                                          include:
                                            --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 used to
                                             determine the certified
                                             rating; and
                                            --Which, if any, special
                                             features were included in
                                             rating the basic model.
------------------------------------------------------------------------

            Table II.5--WH Certification Report Requirements
------------------------------------------------------------------------
                              Certification report   Additional  testing
       Equipment type             must include          instructions
------------------------------------------------------------------------
Commercial Electric Storage   --Maximum standby     Optional.
 Water Heaters.                loss (%/h).
                              --Measured storage
                               volume (gal)..
Commercial gas-fired and oil- --Thermal efficiency  Optional.
 fired storage water heaters.  (%).
                              --Maximum standby
                               loss (Btu/h)..
                              --Rated storage
                               volume (gal)..
                              --Nameplate input
                               rate (Btu/h)..

[[Page 8894]]

 
Commercial water heaters and  --Thermal efficiency  Optional.
 hot water supply boilers      (%).
 (storage capacity > 140      --Statement whether
 gal).                         storage volume is
                               greater than 140
                               gal (Yes/No)..
                              --Statement whether
                               tank surface area
                               is insulated with
                               at least R-12.5
                               (Yes/No)..
                              --Statement whether
                               uses standing pilot
                               light (Yes/No)..
                              --For gas or oil-
                               fired water heater,
                               statement whether
                               has a fire damper
                               or fan assisted
                               combustion (Yes/No).
                              --If ``no'' to any
                               of the above, must
                               also report standby
                               loss (Btu/h) and
                               measured storage
                               volume (gal).
Commercial gas-fired and oil- --Thermal efficiency  Optional.
 fired instantaneous water     (%).
 heaters less than 10         --Rated storage
 gallons and gas-fired and     volume (gal)..
 oil-fired hot water supply
 boilers less than 10
 gallons.
Commercial gas-fired and oil- --Thermal efficiency  Optional.
 fired instantaneous water     (%).
 heaters greater than or      --Maximum standby
 equal to 10 gallons and gas-  loss (Btu/h)..
 fired and oil-fired hot      --Rated storage
 water supply boilers          volume (gal)..
 greater than or equal to10   --Nameplate input
 gallons.                      rate (Btu/h)..
Commercial unfired hot water  --Thermal insulation  Optional.
 storage tanks.                (R-value).
                              --Stored water
                               volume (gal)..
------------------------------------------------------------------------

    Current certification provisions for commercial packaged boilers 
and commercial warm air furnaces are located in section 429.43. DOE is 
proposing to move these provisions to sections 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 only make the structure of part 429 better reflect 
the structure of the 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).
    In a notice of proposed rulemaking published November 4, 2013, DOE 
proposed changes to the residential and commercial water heater test 
procedures. 78 FR 66201. 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.

III. Procedural Issues and Regulatory Review

Review Under Executive Order 12866

    Today's 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).

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, 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 
has prepared the following IRFA for the products that are the subject 
of this rulemaking.
    For manufacturers of HVAC, WH, and refrigeration equipment, the 
Small Business Administration (SBA) has set a size threshold, which 
defines those entities classified as ``small businesses'' for the 
purposes of the statute. DOE used the SBA's small business size 
standards to determine whether any small entities would be subject to 
the requirements of the rule. 65 FR 30848 (May 15, 2000), as amended at 
65 FR 53533, 53544 (Sept. 5, 2000) and codified at 13 CFR part 121. The 
size standards are listed by North American Industry Classification 
System (NAICS) code and industry description and are available at 
http://www.sba.gov/category/navigation-structure/contracting/contracting-officials/small-business-size-standards. Manufacturing 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

[[Page 8895]]

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.
---------------------------------------------------------------------------

    \4\ See www.ahridirectory.org/ahriDirectory/pages/home.aspx.
    \5\ See http://www.energy.ca.gov/appliances/.
    \6\ ``D&B [verbar] Business Information [verbar] Get Credit 
Reports [verbar] 888 480-6007.''. Dun & Bradstreet (Available at: 
www.dnb.com) (Last accessed October 10, 2011). See www.dnb.com/.
    \7\ ``Hoovers [verbar] Company Information [verbar] Industry 
Information [verbar] Lists.'' D&B (2013) (Available at: See http://www.hoovers.com/) (Last accessed December 12, 2012).
---------------------------------------------------------------------------

2. Description and Estimate 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 
proposing to collect for commercial HVAC, WH, and refrigeration 
equipment. The most notable of these proposals is that DOE has proposed 
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 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 proposals reflect the direct results of the 
negotiations, without modification. 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, DOE is proposing to require 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 would be 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 proposed 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 the rule being considered today.
4. Significant Alternatives to the Rule
    This section considers alternatives to the proposals in today's 
certification, compliance, and enforcement 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 proposing the 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. DOE seeks input from businesses that would be affected by 
this rulemaking and will consider comments received in the development 
of any final rule.

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 proposal would 
mandate that manufacturers and importers of covered commercial HVAC, 
WH, and refrigeration equipment would need to 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 is seeking comment on this 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.
    Agency: U.S. Department of Energy (DOE).
    OMB Control Number: OMB No. 1910-1400.
    Information Collection Request Title: Certification Reports, 
Compliance Statements, Application for a Test Procedure Waiver, and 
Recordkeeping for Consumer Products and Commercial/Industrial Equipment 
subject to Energy or Water Conservation Standards.
    Type of Request: Revision and Expansion of an Existing Collection.

[[Page 8896]]

    Requested Expiration Date of Approval: Three years from the date of 
approval.
    Purpose: Manufacturers of the covered products addressed in today's 
NOPR will be required to certify to DOE that their equipment comply 
with any applicable energy conservation standards. In certifying 
compliance, manufacturers must test their equipment according to the 
applicable DOE test procedures for the given equipment type, including 
any amendments adopted for those test procedures, or use AEDMs to 
develop the certified ratings of the basic models. The collection-of-
information requirement for the certification proposals is subject to 
review and approval by OMB under the Paperwork Reduction Act (PRA).
    Once compliance with the certification requirements is required, 
DOE is proposing to require that manufacturers certify: (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 resulting 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 annually. 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 is proposing to collect for commercial HVAC, WH, 
and refrigeration equipment. The most notable of these changes is that 
DOE is proposing that manufacturers of commercial refrigeration 
equipment and some types of commercial heating, ventilation, and air 
conditioning (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. The proposals reflect the direct results of 
the negotiations, without modification.
    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.
    Comments are invited 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.
    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.

Review Under the National Environmental Policy Act

    DOE has determined that this proposed 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 
proposed rule would adopt changes to the manner in which certain 
covered equipment would be certified, which 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.

Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and 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 proposed rule and has 
determined that it would 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 today's proposed 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.

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

[[Page 8897]]

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, the proposed rule meets the relevant standards of Executive Order 
12988.

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. Pub. L. No. 104-4, sec. 201 (codified at 2 U.S.C. 
1531). For a proposed 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 today's proposed 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.

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 proposal would not have any impact on the autonomy or integrity of 
the family as an institution. Accordingly, DOE has concluded that it is 
not necessary to prepare a Family Policymaking Assessment.

Review Under 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 proposed regulation 
would not result in any takings that might require compensation under 
the Fifth Amendment to the U.S. Constitution.

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 today's proposed rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that: (1) Is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    Today's proposal to amend the certification requirements for 
commercial HVAC, WH, and refrigeration equipment is not a significant 
regulatory action under Executive Order 12866. Moreover, it would 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.

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 proposed 
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. Today's proposal to amend the certification requirements 
for all covered consumer products and commercial equipment does not 
propose the use of any commercial standards.

IV. Public Participation

Submission of Comments

    DOE will accept comments, data, and information regarding the 
proposed rule no later than the date provided at the beginning of this 
notice of proposed rulemaking. Comments, data, and information 
submitted to DOE's email address for this rulemaking should be provided 
in WordPerfect, Microsoft Word, PDF, or text (ASCII) file format. 
Interested parties should avoid the use of special characters or any 
form of encryption, and wherever possible, comments should include the 
electronic signature of the author. Absent an electronic signature, 
comments submitted electronically must be followed and authenticated by 
submitting a signed original paper document to the address provided at 
the beginning of this notice of proposed rulemaking. Comments, data, 
and information submitted to DOE via mail or hand delivery/courier 
should include one signed original paper copy. No telefacsimiles 
(faxes) will be accepted.

[[Page 8898]]

    According to 10 CFR 1004.11, any person submitting information that 
he or she believes to be confidential and exempt by law from public 
disclosure should submit two copies: One copy of the document including 
all the information believed to be confidential and one copy of the 
document with the information believed to be confidential deleted. DOE 
will make its own determination as to the confidential status of the 
information and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include (1) a description of the 
items, (2) whether and why such items are customarily treated as 
confidential within the industry, (3) whether the information is 
generally known by or available from other sources, (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality, (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure, (6) a date upon which such information might lose 
its confidential nature due to the passage of time, and (7) why 
disclosure of the information would be contrary to the public interest.

Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    (1) DOE requests comment on the proposal to include ``engineered-
to-order'' as a basic model classification and to limit the use of this 
classification to ensure that it cannot be used for more than one 
annual certification cycle. Additionally, DOE requests comment on its 
proposed definition of ``engineered-to-order.''
    (2) DOE requests comment on its proposal to modify the general 
certification requirements by adding customer-specified model numbers, 
an engineered-to-order classification option, and the name of the AEDM 
used, if applicable, and changing the sample size specified when using 
an AEDM.
    (3) DOE requests comment on the specific certification requirements 
proposed in Table II.2, Table II.3, Table II.4, and Table II.5.

V. Approval of the Office of the Secretary

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

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 February 7, 2014.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

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

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

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

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

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

Sec.  429.2  Definitions.

* * * * *
    Engineered-to-order means a basic model of commercial water heating 
equipment, commercial packaged boiler, commercial HVAC equipment, or 
commercial refrigeration equipment that is not listed in any catalogs 
or marketing literature and is designed and built to specific customer 
requirements. A unit of an engineered-to-order basic model is not 
offered as a set of options (e.g., configure-to-order, menu-system).
* * * * *
0
3. Section 429.7 is amended by revising paragraph (a), redesignating 
paragraphs (b) and (c) as paragraphs (c) and (d), respectively, and 
adding new paragraph (b) to read as follows:

Sec.  429.7  Confidentiality.

    (a) The following records are not exempt from public disclosure: 
The product or equipment type, the product or equipment class, the 
private labeler name, the brand name, the applicable model number(s) 
unless it means the criteria specified in paragraph (b) of this 
section, the energy or water rating submitted by manufacturers to DOE 
pursuant to Sec.  429.12(b)(13), whether the certification was based on 
a test procedure waiver and the date of such waiver, and whether the 
certification was based on exception relief from the Office of Hearing 
and Appeals and the date of such relief.
    (b) An individual manufacturer model number is public information 
unless it is:
    (1) 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) Not displayed on product literature, and
    (3) The manufacturer treats the model number as confidential 
business information--in which case, the manufacturer may identify the 
individual manufacturer model number as a private model number on a 
certification report submitted pursuant to Sec.  429.12(b)(6).
* * * * *
0
4. Section 429.12 is amended by revising paragraph (b) to read as 
follows:

Sec.  429.12  General requirements applicable to certification reports.

* * * * *
    (b) Certification report. A certification report shall include a 
compliance statement (see paragraph (c) of this section), and for each 
basic model, the information listed in this paragraph (b).
    (1) Product or equipment type;
    (2) Product or equipment class (as denoted in the provisions of 
part 430 or 431 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 individual 
manufacturer model number(s) in that basic model with the following 
exceptions: For external power supplies that are certified based on 
design families, the design family model number and the individual 
manufacturer's model numbers covered by that design family must be 
submitted for each brand. For walk-in coolers, the basic model number 
for each brand must be submitted. For distribution transformers, the 
basic model number or kVA grouping model number (depending on the 
certification method) for each brand must be submitted. For commercial 
HVAC, WH, and refrigeration equipment, an individual manufacturer model 
number may be identified as a ``private model number'' if it meets the 
requirements of Sec.  429.7(b).
    (7) Whether the submission is for a new model, a discontinued 
model, a correction to a previously submitted

[[Page 8899]]

model, data on a carryover model, or a model that has been found in 
violation of a voluntary industry certification program;
    (8) The test sample size (i.e., number of units tested for each 
basic model). Manufacturers must enter ``0'' if an AEDM was used in 
lieu of testing;
    (9) The certifying party's U.S. Customs and Border Protection (CBP) 
importer identification numbers assigned by CBP pursuant to 19 CFR 
24.5, if applicable;
    (10) Whether certification is based upon any waiver of test 
procedure requirements under Sec.  430.27 or Sec.  431.401 of this 
chapter and the date of such waiver(s);
    (11) Whether certification is based upon any exception relief from 
an applicable energy conservation standard and the date such relief was 
issued by DOE's Office of Hearings and Appeals;
    (12) If the test sample size is listed as ``0'' to indicate the 
certification is based upon the use of an alternate way of determining 
measures of energy conservation, identify the method used for 
determining measures of energy conservation (such as ``AEDM'', ``ARM'' 
or ``linear interpolation'') and the approval date, if applicable, of 
any such alternate rating, testing, or efficiency determination method. 
Manufacturers of commercial packaged boilers, commercial water heating 
equipment, commercial refrigeration equipment and commercial HVAC 
equipment, must provide the manufacturer's designation (name or other 
identifier) of the AEDM used; and
    (13) Product specific information listed in Sec. Sec.  429.14 
through 429.54.
* * * * *
0
5. Revise Sec.  429.41 to read as follows:

Sec.  429.41  Commercial warm air furnaces.

    (a) Determination of represented value. Manufacturers must 
determine the represented value, which includes the certified rating, 
for each basic model of commercial warm air furnace either by testing, 
in conjunction with the applicable sampling provisions, or by applying 
an AEDM.
    (1) Units to be tested. (i) If the represented value is determined 
through testing, the general requirements of Sec.  429.11 are 
applicable; and
    (ii) For each basic model selected for testing, a sample of 
sufficient size shall be randomly selected and tested to ensure that--
    (A) Any represented value of energy consumption or other measure of 
energy use of a basic model for which consumers would favor lower 
values shall be greater than or equal to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP14FE14.000
    

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:
[GRAPHIC] [TIFF OMITTED] TP14FE14.001

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.95 is the t statistic for a 
95% one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B of part 429). And,
    (B) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP14FE14.002
    

and, x is the sample mean; n is the number of samples; and 
xi is the i\th\ sample; Or,
    (2) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP14FE14.003

And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.95 is the t statistic for a 95% 
one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B of part 429).
    (2) Alternative efficiency determination methods. In lieu of 
testing, a represented value of efficiency or consumption for a basic 
model of commercial warm air furnace must be determined through the 
application of an AEDM pursuant to the requirements of Sec.  429.70 and 
the provisions of this section, where:
    (i) Any represented value of energy consumption or other measure of 
energy use of a basic model for which consumers would favor lower 
values shall be greater than or equal to the output of the AEDM and 
less than or equal to the Federal standard for that basic model; and
    (ii) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the output of the AEDM and 
greater than or equal to the Federal standard for that basic model.
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial warm air furnaces; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public, product-specific information: The thermal 
efficiency in percent (%), and the maximum rated input capacity in 
British thermal units per hour (Btu/h).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional product-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report may 
include supplemental testing instructions in PDF format. A manufacturer 
may also include with a certification report other supplementary items 
in PDF format (e.g., manuals) for DOE consideration in performing 
testing under subpart C of this part.
0
6. Section 429.42 is amended by:
0
a. Removing ``can'' from paragraph (a) introductory text and adding 
``must'' in its place; and
0
b. Revising paragraph (b) to read as follows:

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

* * * * *
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial refrigerators, freezers, and refrigerator-
freezers; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public, product-specific information:
    (i) The daily energy consumption in kilowatt hours per day (kWh/
day);
    (ii) The rating temperature (e.g. lowest product application 
temperature, if applicable) in degrees Fahrenheit ([deg]F); and
    (iii) The chilled or frozen compartment volume in cubic feet 
(ft\3\), the adjusted volume in cubic feet (ft\3\), or the total 
display area (TDA) in feet squared (ft\2\) (as appropriate for the 
equipment class).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the

[[Page 8900]]

following additional, product-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report must 
include supplemental information submitted in PDF format. The product-
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.
0
7. Section 429.43 is amended by:
0
a. Removing ``can'' from paragraph (a) introductory text and adding 
``must'' in its place; and
0
b. Revising paragraph (b) to read as follows:

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

* * * * *
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial HVAC equipment; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public product-specific information:
    (i) Commercial package air-conditioning and heating equipment 
(except commercial package air conditioning and 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) (as applicable), 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 air conditioning and heating equipment that 
is air-cooled with a cooling capacity less than 65,000 Btu/h (3-Phase): 
The seasonal energy efficiency ratio (SEER in British thermal units per 
Watt-hour (Btu/Wh)), the heating seasonal performance factor (HSPF in 
British thermal units per Watt-hour (Btu/Wh)) (as applicable), and the 
rated cooling capacity in British thermal units per hour (Btu/h).
    (iii) 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).
    (iv) 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).
    (v) Single package vertical air conditioners: The energy efficiency 
ratio (EER in British thermal units per Watt-hour (Btu/Wh)) and the 
rated cooling capacity in British thermal units per hour (Btu/h).
    (vi) 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).
    (vii) Variable refrigerant flow multi-split air conditioners and 
heat pumps with rated cooling capacity less than 65,000 Btu/h: 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)) (as applicable), and 
rated cooling capacity in British thermal units per hour (Btu/h).
    (viii) Variable refrigerant flow multi-split air conditioners and 
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 (Btu/Wh)), the coefficient of performance (COP) (as 
applicable), 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).
    (ix) Water source variable refrigerant flow heat pumps (all rated 
cooling capacities): The energy efficiency ratio (EER in British 
thermal units per Watt-hour (Btu/Wh)), the coefficient of performance 
(COP), rated cooling capacity in British thermal units per hour (Btu/
h), and the type(s) of heating used by the basic model (e.g., electric, 
gas, hydronic, none).
    (x) Computer room air-conditioners: The net sensible cooling 
capacity in British thermal units per hour (Btu/h), the net cooling 
capacity in British thermal units per hour (Btu/h), the configuration 
(upflow/downflow), economizer presence (yes or no), condenser medium 
(air, water, or glycol-cooled), sensible coefficient of performance 
(SCOP), and rated airflow in standard cubic feet per minute (SCFM).
    (xi) Water source heat pumps (other than variable refrigerant 
flow): The energy efficiency ratio (EER in British thermal units per 
Watt-hour (Btu/Wh)), the coefficient of performance (COP), the rated 
cooling capacity in British thermal units per hour (Btu/h), and the 
type(s) of heating used by the basic model (e.g., electric, gas, 
hydronic, none).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional product-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report must 
include supplemental information submitted in PDF format. A 
manufacturer may also include with a certification report other 
supplementary items in PDF format (e.g., manuals) for DOE consideration 
in performing testing under subpart C of this part. The product-
specific, supplemental information must include at least the following:
    (i) Commercial package air-conditioning and heating equipment 
(except commercial package air conditioning and 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), if 
applicable; 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; 
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

[[Page 8901]]

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 air conditioning and 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), if 
applicable; 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; 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) Variable refrigerant flow multi-split air conditioners and 
heat pumps with 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), if 
applicable; 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; 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.
    (iv) Variable refrigerant flow multi-split air conditioners and 
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), if 
applicable; 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; 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.
    (v) 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; 
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 
installation manual.
    (vi) 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; 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.
    (vii) Single package vertical air conditioners and 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.
    (viii) Computer room air-conditioners: Any additional testing 
instructions, if applicable; and which, if any, special features were 
included in rating the basic model.

[[Page 8902]]

    (ix) Package terminal air conditioners and package terminal heat 
pumps: Any additional testing instructions, if applicable.
* * * * *
0
8. Section 429.44 is amended by:
0
a. Removing ``can'' in paragraph (a) introductory text and adding 
``must'' in its place; and
0
b. Revising paragraph (b) to read as follows:

Sec.  429.44  Commercial water heating equipment.

* * * * *
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial WH equipment; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public product-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, maximum standby loss in British thermal units per hour 
(Btu/h) and measured storage volume in gallons (gal).
    (iv) Commercial gas-fired and oil-fired instantaneous water heaters 
greater than or equal to 10 gallons and gas-fired and oil-fired hot 
water supply boilers greater than or equal to 10 gallons: The thermal 
efficiency in percent (%), the maximum standby loss in British thermal 
units per hour (Btu/h), the rated storage volume in gallons (gal), and 
the nameplate input rate in Btu/h.
    (v) Commercial gas-fired and oil-fired instantaneous water heaters 
less than 10 gallons and gas-fired and oil-fired hot water supply 
boilers less than 10 gallons: The thermal efficiency in percent (%) and 
the rated storage volume in gallons (g).
    (vi) Commercial unfired hot water storage tanks: The thermal 
insulation (i.e., R-value) and stored volume in gallons (gal).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional, product-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report may 
include supplemental testing instructions in PDF format. A manufacturer 
may also include with a certification report other supplementary items 
in PDF format (e.g., manuals) for DOE consideration in performing 
testing under subpart C of this part.
* * * * *
0
9. Add Sec.  429.60 to read as follows:

Sec.  429.60  Commercial packaged boilers.

    (a) Determination of represented value. Manufacturers must 
determine the represented value, which includes the certified rating, 
for each basic model of commercial packaged boilers either by testing, 
in conjunction with the applicable sampling provisions, or by applying 
an AEDM.
    (1) Units to be tested. (i) If the represented value is determined 
through testing, the general requirements of Sec.  429.11 are 
applicable; and
    (ii) For each basic model selected for testing, a sample of 
sufficient size shall be randomly selected and tested to ensure that--
    (A) Any represented value of energy consumption or other measure of 
energy use of a basic model for which consumers would favor lower 
values shall be greater than or equal to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP14FE14.004
    

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:
[GRAPHIC] [TIFF OMITTED] TP14FE14.005

And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.95 is the t statistic for a 95% 
one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B of part 429). And,
    (B) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP14FE14.006
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; Or,
    (2) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP14FE14.007

And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.95 is the t statistic for a 95% 
one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B of part 429).
    (2) Alternative efficiency determination methods. In lieu of 
testing, a represented value of efficiency or consumption for a basic 
model of commercial packaged boiler must be determined through the 
application of an AEDM pursuant to the requirements of Sec.  429.70 and 
the provisions of this section, where:
    (i) Any represented value of energy consumption or other measure of 
energy use of a basic model for which consumers would favor lower 
values shall be greater than or equal to the output of the AEDM and 
less than or equal to the Federal standard for that basic model; and
    (ii) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the output of the AEDM and 
greater than or equal to the Federal standard for that basic model.
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to commercial packaged boilers; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public product-specific information: The 
combustion efficiency in percent (%) or the thermal efficiency in 
percent (%), as required in Sec.  431.87 of this chapter; and the 
maximum rated

[[Page 8903]]

input capacity in British thermal units per hour (Btu/h).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following additional product-specific information:
    (i) Whether the basic model is engineered-to-order; and
    (ii) For any basic model rated with an AEDM, whether the 
manufacturer elects the witness test option for verification testing. 
(See Sec.  429.70(c)(5)(iii) for options). However, the manufacturer 
may not select more than 10% of AEDM-rated basic models.
    (4) Pursuant to Sec.  429.12(b)(13), a certification report may 
include supplemental testing instructions in PDF format. A manufacturer 
may also include with a certification report other supplementary items 
in PDF format (e.g., manuals) for DOE consideration in performing 
testing under subpart C of this part.
    (c) Alternative methods for determining efficiency or energy use 
for commercial packaged boilers can be found in Sec.  429.70.
0
10. Section 429.70 is amended by revising the heading of paragraph (c) 
to read as follows:

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

* * * * *
    (c) Alternative efficiency determination method (AEDM) for 
commercial HVAC (includes commercial warm air furnaces and commercial 
packaged boilers), WH, and refrigeration equipment-- * * *
* * * * *
[FR Doc. 2014-03103 Filed 2-13-14; 8:45 am]
BILLING CODE 6450-01-P
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