67458 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

DEPARTMENT OF ENERGY 

10 CFR Parts 429 and 431 

[EERE–2023–BT–CE–0001] 

RIN 1904–AF48 

Energy Conservation Program for 

Appliance Standards: Certification 

Requirements, Labeling Requirements, 

and Enforcement Provisions for 

Certain Consumer Products and 

Commercial Equipment 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking 

and announcement of public meeting. 

SUMMARY: The U.S. Department of 

Energy (‘‘DOE’’) proposes to establish 

and amend the certification provisions, 

labeling requirements, and enforcement 

provisions for specific types of 

consumer products and commercial and 

industrial equipment, as described in 

sections II and III of this proposed rule. 

DOE is proposing to establish and make 

amendments to the certification 

requirements, labeling requirements, 

and enforcement provisions for these 

products and equipment to ensure 

reporting that is consistent with 

currently applicable energy 

conservation standards and test 

procedures and to ensure DOE has the 

information necessary to determine the 

appropriate classification of products 

for the application of standards. DOE 

seeks comment from interested parties 

on all aspects of this proposal. 

DATES: DOE will accept comments, data, 

and information regarding this proposal 

no later than November 28, 2023. See 

section V, ‘‘Public Participation,’’ for 

details. DOE will hold a public meeting 

via webinar on Thursday, October 26, 

2023, from 1:00 p.m. to 4:00 p.m. See 

section V, ‘‘Public Participation,’’ for 

webinar registration information, 

participant instructions, and 

information about the capabilities 

available to webinar participants. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

www.regulations.gov under docket 

number EERE–2023–BT–CE–0001. 

Follow the instructions for submitting 

comments. Alternatively, interested 

persons may submit comments, 

identified by docket number EERE– 

2023–BT–CE–0001, by any of the 

following methods: 

Email: 

ApplianceStandardsQuestions@

ee.doe.gov. Include the docket number 

EERE–2023–BT–CE–0001 in the subject 

line of the message. 

Postal Mail: Appliance and 

Equipment Standards Program, U.S. 

Department of Energy, Building 

Technologies Office, Mailstop EE–5B, 

1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 287–1445. If possible, 

please submit all items on a compact 

disc (‘‘CD’’), in which case it is not 

necessary to include printed copies. 

Hand Delivery/Courier: Appliance 

and Equipment Standards Program, U.S. 

Department of Energy, Building 

Technologies Office, 1000 

Independence Ave. SW, Washington, 

DC 20585. Telephone: (202) 287–1445. 

If possible, please submit all items on a 

CD, in which case it is not necessary to 

include printed copies. 

No telefacsimiles (‘‘faxes’’) will be 

accepted. For detailed instructions on 

submitting comments and additional 

information on this process, see section 

V of this document. 

Docket: The docket for this activity, 

which includes Federal Register 

notices, public meeting attendee lists 

and transcripts (if a public meeting is 

held), comments, and other supporting 

documents/materials, is available for 

review at www.regulations.gov. All 

documents in the docket are listed in 

the www.regulations.gov index. 

However, not all documents listed in 

the index may be publicly available, 

such as information that is exempt from 

public disclosure. 

The docket web page can be found at 

www.regulations.gov/docket/EERE2023-BT-CE-0001. The docket web page 

contains instructions on how to access 

all documents, including public 

comments, in the docket. See section V 

for information on how to submit 

comments through 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Lucas Adin, U.S. Department of Energy, 

Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Office, EE–2J, 1000 

Independence Avenue SW, Washington, 

DC 20585–0121. Telephone: (202) 287– 

5904. Email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

Ms. Amelia Whiting, U.S. Department 

of Energy, Office of the General Counsel, 

GC–33, 1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 586–2588. Email: 

Amelia.Whiting@hq.doe.gov. 

For further information on how to 

submit a comment, review other public 

comments and the docket, or participate 

in a public meeting (if one is held), 

contact the Appliance and Equipment 

Standards Program staff at (202) 287– 

1445 or by email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Authority and Background 

A. Authority 

B. Background 

II. Synopsis of the Notice of Proposed 

Rulemaking 

III. Discussion 

A. Central Air Conditioners and Heat 

Pumps 

1. Reporting 

2. Reporting Costs and Impacts 

B. Dishwashers 

1. Reporting 

2. Reporting Costs and Impacts 

C. Residential Clothes Washers 

1. Reporting 

2. Reporting Costs and Impacts 

D. Pool Heaters 

1. Reporting 

2. Reporting Costs and Impacts 

E. Dehumidifiers 

1. Reporting 

2. Reporting Costs and Impacts 

F. External Power Supplies 

1. Reporting 

2. Reporting Costs and Impacts 

G. Battery Chargers 

1. Reporting 

2. Reporting Costs and Impacts 

H. Computer Room Air Conditioners 

1. Reporting 

2. Reporting Costs and Impacts 

I. Direct Expansion-Dedicated Outdoor Air 

Systems 

1. Reporting 

2. Reporting Costs and Impacts 

J. Air Cooled, Three-Phase, Small 

Commercial Air Conditioners and Heat 

Pumps With a Cooling Capacity of Less 

Than 65,000 Btu/h and Air-Cooled, 

Three-Phase, Variable Refrigerant Flow 

Air Conditioners and Heat Pumps With 

a Cooling Capacity of Less Than 65,000 

Btu/h 

1. Reporting 

2. Reporting Costs and Impacts 

K. Commercial Water Heating Equipment 

1. Reporting 

2. Reporting Costs and Impacts 

L. Automatic Commercial Ice Makers 

1. Reporting 

2. Reporting Costs and Impacts 

M. Walk-In Coolers and Freezers 

1. Reporting 

2. Reporting Costs and Impacts 

3. Labeling 

4. Labeling Costs and Impact 

N. Commercial and Industrial Pumps 

1. Reporting 

2. Reporting Costs and Impacts 

O. Portable Air Conditioners 

1. Reporting 

2. Reporting Costs and Impacts 

P. Compressors 

1. Reporting 

2. Reporting Costs and Impacts 

Q. Dedicated-Purpose Pool Pump Motors 

1. Reporting 


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Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 67459 

1All references to EPCA in this document refer 

to the statute as amended through the Energy Act 

of 2020, Public Law 116–260 (Dec. 27, 2020), which 

reflect the last statutory amendments that impact 

Parts A and A–1 of EPCA. 

2For editorial reasons, upon codification in the 

U.S. Code, Part B was redesignated Part A. 

3For editorial reasons, upon codification in the 

U.S. Code, Part C was redesignated Part A–1. 

2. Reporting Costs and Impacts 

R. Air Cleaners 

1. Reporting 

2. Reporting Costs and Impacts 

S. Single Package Vertical Units 

1. Reporting 

2. Reporting Costs and Impacts 

T. Ceiling Fan Light Kits 

1. Reporting 

2. Reporting Costs and Impacts 

U. Additional Corrections 

V. Draft Certification Templates for Review 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Orders 12866, 

13563, and 14094 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

1. Description of the Requirements 

2. Method of Collection 

3. Data 

4. Conclusion 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

M. Description of Materials Incorporated 

by Reference 

V. Public Participation 

A. Participation in the Webinar 

B. Procedure for Submitting Prepared 

General Statements for Distribution 

C. Conduct of the Webinar 

D. Submission of Comments 

E. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

A. Authority 

The Energy Policy and Conservation 

Act, Public Law 94–163, as amended 

(‘‘EPCA’’),1 authorizes DOE to regulate 

the energy efficiency of a number of 

consumer products and certain 

industrial equipment. (42 U.S.C. 6291– 

6317) Title III, Part B of EPCA 2

established the Energy Conservation 

Program for Consumer Products Other 

Than Automobiles, which sets forth a 

variety of provisions designed to 

improve energy efficiency, while Title 

III, Part C of EPCA,3 added by Public 

Law 95–619, Title IV, section 441(a), 

established the Energy Conservation 

Program for Certain Industrial 

Equipment, which sets forth a variety of 

provisions designed to improve energy 

efficiency. These products and 

equipment include central air 

conditioners and heat pumps (‘‘CAC/ 

HPs’’), dishwashers (‘‘DWs’’), residential 

clothes washers (‘‘RCWs’’), pool heaters, 

dehumidifiers, external power supplies 

(‘‘EPSs’’), battery chargers, computer 

room air conditioners (‘‘CRACs’’), 

direct-expansion dedicated outdoor air 

systems (‘‘DX–DOASes’’), air cooled, 

three-phase, small commercial air 

conditioners and heat pumps with a 

cooling capacity of less than 65,000 Btu/ 

h and air-cooled, three-phase (‘‘threephase, less than 65,000 Btu/h ACUACs 

and ACUHPs’’), variable refrigerant flow 

air conditioners and heat pumps with a 

cooling capacity of less than 65,000 Btu/ 

h (‘‘three-phase, less than 65,000 Btu/h 

VRF’’), commercial water heating 

equipment (‘‘CWHs’’), automatic 

commercial ice makers (‘‘ACIMs’’), 

walk-in coolers and walk-in freezers 

(‘‘walk-ins’’), commercial and industrial 

pumps, portable air conditioners 

(‘‘portable ACs’’), compressors, 

dedicated-purpose pool pump motors 

(‘‘DPPPMs’’), air cleaners, single 

package vertical units (‘‘SPVUs’’), and 

ceiling fan light kits (‘‘CFLKs’’), all of 

which are subjects of this document. (42 

U.S.C. 6292(a)(3), (6–7), (11), and (20); 

42 U.S.C. 6295(u), (cc), and (ff); 42 

U.S.C. 6311(1)(A–D), (F–G), (K), and 

(2)(B)(i)). 

The energy conservation program 

under EPCA consists essentially of four 

parts: (1) testing, (2) labeling, (3) Federal 

energy conservation standards, and (4) 

certification and enforcement 

procedures. Relevant provisions of 

EPCA specifically include definitions 

(42 U.S.C. 6291; 42 U.S.C. 6311), test 

procedures (42 U.S.C. 6293; 42 U.S.C. 

6314), labeling provisions (42 U.S.C. 

6294; 42 U.S.C. 6315), energy 

conservation standards (42 U.S.C. 6295; 

42 U.S.C. 6313), and the authority to 

require information and reports from 

manufacturers (42 U.S.C. 6316; 42 

U.S.C. 6296). 

The Federal testing requirements 

consist of test procedures that 

manufacturers of covered products and 

equipment must use as the basis for: (1) 

certifying to DOE that their products or 

equipment comply with the applicable 

energy conservation standards adopted 

pursuant to EPCA (42 U.S.C. 6295(s); 42 

U.S.C. 6316(a); 42 U.S.C. 6316(b); 42 

U.S.C. 6296), and (2) making other 

representations about the efficiency of 

those consumer products or industrial 

equipment (42 U.S.C. 6293(c); 42 U.S.C. 

6314(d)). Similarly, DOE must use these 

test procedures to determine whether 

the products or equipment comply with 

relevant standards promulgated under 

EPCA. (42 U.S.C. 6295(s); 42 U.S.C. 

6316(a); 42 U.S.C. 6316(b); 42 U.S.C. 

6296). 

EPCA authorizes DOE to enforce 

compliance with the energy and water 

conservation standards established for 

covered products and equipment. (42 

U.S.C. 6299–6305; 42 U.S.C. 6316(a)– 

(b)) DOE has promulgated certification 

and/or enforcement regulations that 

include reporting requirements for 

covered products and equipment 

including CAC/HPs, DWs, RCWs, pool 

heaters, dehumidifiers, EPSs, battery 

chargers, CRACs, three-phase, less than 

65,000 Btu/h ACUACs and ACUHPs, 

three-phase, less than 65,000 Btu/h 

VRF, CWHs, ACIMs, walk-ins, 

commercial and industrial pumps, 

portable ACs, compressors, SPVUs, and 

CFLKs. DOE is proposing certification 

and reporting requirements for DX– 

DOASes, DPPPMs, and air cleaners. See 

10 CFR part 429. Additionally, DOE is 

amending labeling requirements for 

walk-ins. See 10 CFR 431.305. The 

reporting requirements ensure that DOE 

has the information it needs to assess 

whether regulated products and 

equipment sold in the United States 

comply with the statutory and 

regulatory requirements applicable to 

each covered product and equipment 

type. 

B. Background 

DOE’s certification regulations are a 

mechanism that DOE uses to help 

ensure compliance with its regulations 

by collecting information about the 

energy and water use characteristics of 

covered products and covered 

equipment distributed in commerce in 

the United States. Manufacturers of 

most covered products and covered 

equipment must submit a certification 

report for the duration of distribution, 

specifically (1) before a basic model is 

distributed in commerce, (2) annually 

thereafter, and (3) if the basic model is 

redesigned in a manner that increases 

the consumption or decreases the 

efficiency of the basic model such that 

the certified rating is no longer 

supported by test data. 10 CFR 429.12. 

Additionally, manufacturers must report 

when production of a basic model has 

ceased and is no longer offered for sale 

as part of the next annual certification 

report following such cessation. 10 CFR 

429.12(f). DOE requires the 

manufacturer of any covered product or 

covered equipment to establish, 

maintain, and retain the records of 

certification reports, of the underlying 

test data for all certification testing, and 


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67460 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

of any other testing conducted to satisfy 

the requirements of 10 CFR part 429, 10 

CFR part 430, and/or 10 CFR part 431 

until 2 years after notifying DOE that a 

model has been discontinued. 10 CFR 

429.71. Certification reports provide 

DOE and consumers with 

comprehensive, up-to-date efficiency 

information and support effective 

enforcement. 

To ensure that all covered products 

and covered equipment distributed in 

the United States comply with DOE’s 

energy and water conservation 

standards and reporting requirements, 

DOE has promulgated certification, 

compliance, and enforcement 

regulations in 10 CFR parts 429 and 431. 

On March 7, 2011, DOE published in 

the Federal Register a final rule 

regarding certification, compliance, and 

enforcement for consumer products and 

commercial and industrial equipment, 

which revised, consolidated, and 

streamlined DOE’s existing certification, 

compliance, and enforcement 

regulations for certain consumer 

products and commercial and industrial 

equipment covered under EPCA. See 76 

FR 12422. Since that time, DOE has 

completed multiple rulemakings 

regarding certification, compliance, and 

enforcement for specific covered 

products or equipment. See 79 FR 25486 

(the May 5, 2014 Final Rule specific to 

certification of commercial and 

industrial heating, ventilation, and air 

conditioning (‘‘HVAC’’), refrigeration, 

and water heating equipment) and 87 

FR 43952 (the July 22, 2022 Final Rule 

amending certification provisions for 

CFLKs, general service incandescent 

lamps, incandescent reflector lamps, 

ceiling fans, consumer furnaces and 

boilers, consumer water heaters, DWs, 

commercial clothes washers, battery 

charges, and DPPPMs). 

Additionally, if the Secretary has 

prescribed test procedures under section 

6314 for any class of covered 

equipment, the Secretary shall prescribe 

a labeling rule applicable to such class 

of covered equipment. See 42 U.S.C. 

6315(a). EPCA, however, also sets out 

certain criteria that must be met prior to 

prescribing a given labeling rule. 

Specifically, to establish these 

requirements, DOE must determine that: 

(1) labeling in accordance with section 

6315 is technologically and 

economically feasible with respect to 

any particular equipment class; (2) 

significant energy savings will likely 

result from such labeling; and (3) 

labeling in accordance with section 

6315 is likely to assist consumers in 

making purchasing decisions. (42 U.S.C. 

6315(h)) 

If these criteria are met, EPCA 

specifies certain aspects of equipment 

labeling that DOE must consider in any 

rulemaking establishing labeling 

requirements for covered equipment. At 

a minimum, such labels must include 

the energy efficiency of the affected 

equipment, as tested under the 

prescribed DOE test procedure, and may 

also require disclosure of the estimated 

operating costs and energy use. (42 

U.S.C. 6315(b)) The labeling provisions 

shall include requirements the Secretary 

determines are likely to assist 

purchasers in making purchasing 

decisions, such as: requirements and 

directions for the display of the label; 

requirements for including on any label, 

or separately attaching to, or shipping 

with, the covered equipment, such 

additional information related to energy 

efficiency, energy use, and other 

measures of energy consumption, 

including instructions for maintenance 

and repair of the covered equipment, as 

the Secretary determines is necessary to 

provide adequate information to 

purchasers; and requirements that 

printed matter displayed or distributed 

with the equipment at the point of sale 

also include the information required to 

be placed on the label. (42 U.S.C. 

6315(c)) 

II. Synopsis of the Notice of Proposed 

Rulemaking 

Since the previous final rule 

amending certification requirements for 

covered products (July 22, 2022; 87 FR 

43952), DOE has proposed or finalized 

test procedures and/or energy 

conservation standards for multiple 

products and equipment. In this 

rulemaking, DOE is proposing to revise 

its certification, labeling, and 

enforcement regulations for certain 

covered products and equipment to 

align with these proposed and finalized 

amendments. 

In this notice of proposed rulemaking 

(‘‘NOPR’’), DOE proposes to update the 

certification reporting requirements as 

follows: 

(1) CAC/HP. Update the CAC/HP 

certification reporting requirements at 

10 CFR 429.16 to reflect the current 

version of the test procedure at 

appendix M1 to subpart B of 10 CFR 

part 430 (‘‘appendix M1’’) including test 

condition information. Correct 

discrepancies in CAC/HP sampling plan 

to require using Student’s t-Distribution 

Values from appendix A to subpart B of 

part 429. 

(2) DW. Align the DW certification 

reporting requirements with appendix 

C1 to subpart B of 10 CFR part 430 

(‘‘appendix C1’’), and with appendix C2 

to subpart B of 10 CFR part 430 

(‘‘appendix C2’’). Manufacturers must 

use appendix C1 beginning July 17, 

2023. If DOE adopts any amended 

energy conservation standards based on 

appendix C2, manufacturers must use 

appendix C2 beginning on the 

standards’ compliance date. Add 

reporting requirements specific to the 

energy and water use for DWs with 

water re-use systems and built-in 

reservoirs. 

(3) RCWs. Remove outdated 

certification reporting requirements for 

RCWs pertaining to appendix J1 to 

subpart B of 10 CFR part 430 

(‘‘appendix J1’’), which has been 

removed. Update the existing 

certification reporting requirements 

pertaining to appendix J2 to subpart B 

of 10 CFR part 430 (‘‘appendix J2’’) for 

consistency with test procedure 

terminology. Add a reporting 

requirement for test cloth lot used by a 

manufacturer for testing/certifying to 

align with RCW enforcement provisions 

outlined in 10 CFR 429.134(c). Add new 

certification reporting requirements 

specific to appendix J to subpart B of 10 

CFR part 430 (‘‘appendix J’’), use of 

which would be required at such time 

as compliance is required with any 

amended energy conservation standards 

based on appendix J. 

(4) Pool heaters. Align pool heater 

certification reporting requirements 

with the amended energy conservation 

standards established in a final rule 

published on May 30, 2023 (88 FR 

34624) to require reporting of thermal 

efficiency for electric pool heaters and 

establish new reporting requirements 

specific to electric pool heaters. 

(5) Dehumidifiers. Remove outdated 

certification reporting requirements for 

dehumidifiers pertaining to appendix X 

to subpart B of 10 CFR part 430 

(‘‘appendix X’’), use of which is no 

longer required. 

(6) EPSs. Align EPS certification 

reporting requirements with the 

amended test procedure at appendix Z 

to subpart B of 10 CFR part 430 

(‘‘appendix Z’’), use of which is 

required beginning February 15, 2023. 

Add reporting requirements to specify 

the output cord shipped with the EPS 

(or the manufacturer’s recommended 

output cord specifications). Update the 

existing EPS certification reporting 

requirements to align with the energy 

conservation standards established in 

the February 10, 2014 final rule (79 FR 

7845), and require output voltage, 

which is needed to verify the applicable 

product class. Revise sales reporting 

requirements for EPSs exempt from 

energy conservation standards to 

include the years for which the sales 

number represents. 


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Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 67461 

(7) Battery chargers. Align battery 

charger certification reporting 

requirements with appendix Y1 to 

subpart B of 10 CFR part 430 

(‘‘appendix Y1’’), use of which would be 

required for any future amended energy 

conservation standards for battery 

chargers. 

(8) CRACs. Align CRACs certification 

reporting requirements with amended 

energy conservation standards 

established in a final rule published in 

the Federal Register on June 2, 2023 (88 

FR 36392) and require submission of a 

supplemental testing instructions file in 

PDF format. Establish alternative 

efficiency determination method 

(‘‘AEDM’’) tolerances for CRAC 

verification tests for NSenCOP. 

(9) DX–DOAS. Establish DX–DOAS 

certification reporting requirements for 

certifying compliance with the energy 

conservation standards established in 

the November 1, 2022 final rule (87 FR 

65651), compliance with which is 

required beginning May 1, 2024. 

Require submission of a supplemental 

testing instructions file in PDF format. 

(10) Commercial AC/HPs. Establish 

certification reporting requirements for 

three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase, 

less than 65,000 Btu/h VRF aligned with 

the energy conservation standards 

established in the final rule published 

on June 2, 2023 (88 FR 36392), 

compliance with which would be 

required beginning January 1, 2025. 

Correct discrepancies in sampling plan 

for three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase, 

less than 65,000 Btu/h VRF to specify 

that the Student’s t-Distribution Values 

from appendix A to subpart B of part 

429 should be used. 

(11) CWHs. Align CWH certification 

reporting requirements with amended 

energy conservation standards proposed 

in the May 19, 2022 NOPR (87 FR 

30610). Add reporting requirements 

specific to commercial electric 

instantaneous water heaters. 

Additionally, add rated input reporting 

requirement for commercial electric 

storage water heaters. 

(12) ACIMs. Align existing ACIM 

certification reporting requirements 

with revised ‘‘energy use’’ and 

‘‘condenser water use’’ definitions and 

terminology adopted in the amended 

test procedure at 10 CFR 431.134, use of 

which is required beginning October 27, 

2023. Correct ACIM sampling 

requirements to remove discrepancy 

and require using the Student’s tDistribution Values for a 95 percent onetailed confidence interval. 

(13) WICFs. For walk-in refrigeration 

systems, add requirement to report 

whether each refrigeration system meets 

the definition of a carbon dioxide 

(‘‘CO2’’) unit cooler, detachable singlepackaged dedicated system, or an 

attached split system, consistent with 

amendments to 10 CFR 431.302. Add 

requirements for submission of 

supplementary testing information if 

necessary to run a valid test and provide 

an option to report any compressor 

break-in duration used to obtain 

certified rating. Additionally, expand 

the certification reporting requirements 

for walk-in cooler and freezers with 

anti-sweat heater (‘‘ASH’’) doors. Revise 

labeling requirements for walk-in panels 

and walk-in refrigeration systems at 10 

CFR 431.305. 

(14) Commercial and Industrial 

Pumps. Require certification reporting 

of commercial and industrial pump 

efficiency at best efficiency point 

(‘‘BEP’’), constant load pump energy 

rating, and variable load pump energy 

rating. 

(15) Portable ACs. Clarify existing 

certification reporting requirements for 

portable ACs and align them with 

instructions specified in the test 

procedure at appendix CC to subpart B 

of 10 CFR part 430 (‘‘appendix CC’’) and 

10 CFR 429.62(a)(5). 

(16) Compressors. Establish an annual 

filing date of September 1 for 

compressors at 10 CFR 429.12(d). 

(17) DPPPMs. Add certification 

reporting requirements for DPPPMs 

when certifying compliance with the 

energy conservation standards proposed 

in the June 21, 2022 NOPR (87 FR 

37122), and establish an annual filing 

date of September 1 at 10 CFR 

429.12(d). 

(18) Air cleaners. Add certification 

reporting requirements for air cleaners 

when certifying compliance with the 

energy conservation standards adopted 

in the April 11, 2023 direct final rule, 

compliance with which will be required 

beginning December 31, 2023, and 

establish an annual filing date of 

December 1 at 10 CFR 429.12(d). 

(19) SPVAC/HPs. Align SPVAC/HPs 

certification reporting requirements 

with amended energy conservation 

standards proposed in the December 8, 

2022 ECS NOPR (87 FR 75388) and add 

content requirements for supplemental 

testing instructions file in PDF format. 

(20) CFLKs. Clarify existing CFLK 

reporting requirements at 10 CFR 

429.33(b)(2)(ii)(A) and (b)(3)(ii)(B). 

DOE’s current and proposed reporting 

requirements, as well as the reason for 

the proposed changes, are summarized 

in Table II.1. 

TABLE II.1—SUMMARY OF PROPOSED CHANGES TO CERTIFICATION REPORTING AND LABELING REQUIREMENTS RELATIVE

TO CURRENT CERTIFICATION REPORTING AND LABELING REQUIREMENTS

Current DOE certification reporting requirements Proposed certification reporting requirements Attribution 

For CAC/HPs, no reporting requirement to indicate whether variable speed coil-only rating is 

based on non-communicating or communicating control.

Add reporting requirement to § 429.16(e)(2)(vi) to specify whether variable speed coil-only rating is based on non-communicating or communicating control.Required to determine applicable test conditions 

specified in appendix M1 test procedure. 

For CAC/HPs, no reporting requirement to indicate whether system varies blower speeds 

with outdoor air conditions.

Add reporting requirement to § 429.16(e)(4)(iv) to specify whether system varies blower speeds with outdoor air conditions.Required to determine applicable test conditions 

specified in appendix M1 test procedure. 

For CAC/HPs, current sampling requirements 

state to use Student’s t-Distribution Values 

from ‘‘Appendix D’’, whereas appendix A to 

subpart B of part 429 contains the applicable 

Student’s t-Distribution Values.

Correct § 429.16(b)(3)(i)(B), (ii)(B), and (iii)(A)(2) to specify that 

the Student’s t-Distribution Values in appendix A to subpart B 

of part 429 should be used.

Removes discrepancy from sampling provisions, 

improves clarity. 

For DWs, reporting requirements in 

§ 429.19(b)(2) and (3) and list of materials incorporated by reference in § 429.4 specify 

ANSI/AHAM DW–1–2010.

Remove referenced standard in § 429.19(b)(2) and from the list 

of materials incorporated by reference in § 429.4.

Ensures consistency between reporting requirements and DW test procedures. 

For DWs, reporting requirements do not include 

cycle selected for energy test.

Add reporting requirements for cycle selected for energy test at 

heavy, medium, and light soil loads, whether the cycles are 

soil-sensing, and the options selected for the energy test at 

these soil loads (when testing in accordance with appendix 

C2) to § 429.19(b)(3)(iv).

Required to ensure that information reported to 

DOE is consistent with the tested cycle requirements specified in appendix C2. 


lotter on DSK11XQN23PROD with PROPOSALS2
67462 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

TABLE II.1—SUMMARY OF PROPOSED CHANGES TO CERTIFICATION REPORTING AND LABELING REQUIREMENTS RELATIVE

TO CURRENT CERTIFICATION REPORTING AND LABELING REQUIREMENTS—Continued 

Current DOE certification reporting requirements Proposed certification reporting requirements Attribution 

For DWs, reporting requirements do not include 

cleaning index.

Add reporting requirement for average cleaning index of sensor 

heavy response, sensor medium response, and sensor light 

response test cycles (when testing in accordance with appendix C2) to § 429.19(b)(3)(v).

Required to ensure that the reported test cycle 

is a valid test cycle that meets the specified 

cleaning index threshold. 

For DWs, reporting requirements do not reflect 

water re-use system DWs.

Add reporting requirements specific to water re-use system 

DWs to § 429.19(b)(3)(vii), including energy use and water 

use associated with drain out and clean out events.

Required to account for extra energy use and 

water use associated with water re-use systems. 

For DWs, reporting requirements do not reflect 

information needed for DWs with built-in reservoirs.

Add reporting requirements specific to DWs with built-in reservoirs to § 429.19(b)(3)(viii), including reservoir capacity, 

prewash and main wash fill water volume, and total water 

consumption.

Required to account for water consumption of 

DWs with built-in reservoirs, and therefore determine compliance with the current energy 

conservation standards. 

For DWs, no rounding requirements are specified in § 429.19.Add rounding requirements to § 429.19(c) ................................... Improves representativeness, repeatability, and 

reproducibility. 

For RCWs, reporting requirements include outdated requirements associated with appendix 

J1.

Remove obsolete appendix J1 RCW reporting requirements 

from § 429.20(b)(2)(i).

Appendix J1 has been removed from 10 CFR 

part 430. 

For RCWs, ‘‘capacity’’ is required to be reported Update existing requirement to specify ‘‘clothes container capacity’’ rather than ‘‘capacity’’ at § 429.20(b)(2)(ii).Consistency in terminology between existing 

test procedure and reporting requirements. 

For RCWs, reporting requirements do not include test cloth lot used by manufacturer for 

testing and certifying.

Add reporting requirement to § 429.20(b)(3) for test cloth lot 

number used during testing to determine other reported values.

Required to ensure that correct remaining moisture content calculation is used for enforcement testing per RCW enforcement provisions 

specified in 10 CFR 429.134(c). 

For RCWs, no reporting requirements for RCWs 

tested in accordance with appendix J test procedure.

Add reporting requirements for energy efficiency ratio, water efficiency ratio, type of control system, remaining moisture content, clothes container capacity, and type of loading when certifying in accordance with appendix J to § 429.20(b)(2)(i).Required to ensure compliance with proposed 

amendments to energy conservation standards. 

For pool heaters, reporting requirement only includes thermal efficiency for gas-fired pool 

heaters.

Add reporting requirement for integrated thermal efficiency for 

both gas-fired and electric pool heaters to § 429.24(b)(2)(i).

Required to determine compliance with the 

amended energy conservation standards. 

For electric pool heaters, no reporting requirement for active electrical power.Add reporting requirement for active electrical power for electric 

pool heaters to § 429.24(b)(2)(ii).

Required to determine compliance with the 

amended energy conservation standards. 

For dehumidifiers, reporting requirements include outdated requirements associated with 

appendix X.

Remove obsolete appendix X dehumidifier reporting requirements from § 429.36(b)(2)(i).Appendix X test procedure is no longer required 

for use. 

For EPSs, no reporting requirement for output 

cord specifications.

Add reporting requirement for output cord specifications (or for 

EPSs shipped without an output cord, specifications for the 

manufacturer’s recommended output cord) to § 429.37(b)(i)– 

(iv).

Required to conduct amended appendix Z test 

procedure. 

For EPSs, no reporting requirements for output 

voltage.

Add reporting requirements for output voltage to § 429.37(i) 

through (iv).

Required to determine compliance with currently 

applicable energy conservation standards. 

For EPSs exempt from the energy conservation 

standards, only the number of units of exempt 

external power supplies sold during the most 

recent 12-calendar-month period ending on 

July 31, importer or manufacturer name and 

address, and brand name must be reported.

Add requirement that the year for which the sales number being 

reported represents to § 429.37(b)(3) and (c).

Improved clarity, consistency with other similar 

reporting requirements. 

For battery chargers, reporting requirements 

only reflect metrics associated with battery 

chargers tested in accordance with appendix 

Y.

Add reporting requirements to § 429.39(b)(5) and (6) for battery 

chargers tested in accordance with newly adopted appendix 

Y1, multi-metric approach.

Required to determine compliance with any future amended energy conservation standards 

for battery chargers. 

For CRACs, reporting requirements do not include provisions for certifying compliance with 

net sensible coefficient of performance standards.

Add reporting requirements specific to net sensible coefficient of 

performance to § 429.43(b)(2)(ix)(B).

Required to determine compliance with the 

amended energy conservation standards. 

For CRACs, reporting requirements do not include provisions for submitting a supplemental 

testing instructions file in PDF form.

Add supplemental testing instructions file requirements in PDF 

form for certification reports to § 429.43(b)(4)(viii).

Required to ensure that testing conditions are 

met in the case of enforcement testing. 

For CRACs, reporting requirements do not include indoor and outdoor unit individual model 

numbers.

Add reporting requirements for indoor and outdoor unit individual model numbers to § 429.43(b)(6)(i).Required to determine specific individual models 

distributed in commerce under each basic 

model. 

For CRACs, current AEDM tolerances do not 

specify tolerances for NSenCOP verification 

tests.

Add tolerance of 5 percent to table 2 to § 429.70(c)(5)(vi)(B) for 

CRAC verification tests for NSenCOP.

Required for consistency with allowable AEDMs 

for other product types and metrics. 

For DX–DOASes, reporting requirements do not 

include provisions for certifying compliance 

with integrated seasonal moisture removal efficiency 2 and integrated seasonal coefficient 

of performance 2 standards.

Add reporting requirements for integrated seasonal moisture removal efficiency 2 and integrated seasonal coefficient of performance 2, as well as rated moisture removal capacity, rated 

supply airflow rate, and configuration of the basic model to 

§ 429.43(b)(2)(xi)(A) through (C).

Required to determine compliance with the energy conservation standards. 

For DX–DOASes, reporting requirements do not 

include reporting requirements for systems 

with ventilation energy recovery systems 

(‘‘VERS’’).

Add reporting requirements for systems with VERS to 

§ 429.43(b)(3)(iii).

Required to fully ensure that enforcement provisions specified at § 429.134(s)for DX– 

DOASes are met in the case of enforcement 

testing. 

For DX–DOASes, reporting requirements do not 

include provisions for submitting a supplemental testing instructions file in PDF form.

Add supplemental testing instructions file requirements in PDF 

form for certification reports to § 429.43(b)(4)(x).

Required to ensure that testing conditions are 

met in the case of enforcement testing. 

For DX–DOASes, reporting requirements do not 

include indoor and outdoor unit individual 

model numbers.

Add reporting requirements for indoor and outdoor unit individual model numbers to § 429.43(b)(6)(ii).Required to determine specific individual models 

distributed in commerce under each basic 

model. 


lotter on DSK11XQN23PROD with PROPOSALS2
Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 67463 

TABLE II.1—SUMMARY OF PROPOSED CHANGES TO CERTIFICATION REPORTING AND LABELING REQUIREMENTS RELATIVE

TO CURRENT CERTIFICATION REPORTING AND LABELING REQUIREMENTS—Continued 

Current DOE certification reporting requirements Proposed certification reporting requirements Attribution 

For three-phase less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase less 

than 65,000 Btu/h VRF, no reporting requirements for seasonal energy efficiency ratio 2 

and heating seasonal performance factor 2.

Add reporting requirements for seasonal energy efficiency ratio 

2 and heating seasonal performance factor 2 to § 429.67(f)(2).

Required to determine compliance with energy 

conservation standards. 

For three-phase less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase less 

than 65,000 Btu/h VRF, reporting requirements do not include indoor and outdoor unit 

individual model numbers.

Add reporting requirements for indoor and outdoor unit individual model numbers to § 429.67(f)(4)).Required to determine specific individual models 

distributed in commerce under each basic 

model. 

For three-phase less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase less 

than 65,000 Btu/h VRF, reporting requirements do not include provisions for submitting 

a supplemental testing instructions file in pdf 

form for outdoor units with no match.

Add supplemental testing instructions file requirements in PDF 

form for certification reports for outdoor units with no match to 

§ 429.67(f)(3).

Required to ensure that testing conditions are 

met in the case of enforcement testing. 

For three-phase less than 65,000 Btu/h 

ACUACs three-phase less than 65,000 Btu/h 

VRF, current sampling requirements state to 

use the Student’s t-Distribution Values from 

‘‘appendix D’’, whereas appendix A to subpart 

B of part 429 contains the applicable Student’s t-Distribution Values.

Correct § 429.67(c)(2)(ii)(A)(2) to specify that the Student’s tDistribution Values in appendix A to subpart B of part 429 

should be used.

Removes discrepancy from sampling provisions, 

improves clarity. 

For CWHs, no reporting requirements for electric instantaneous water heaters.Add reporting requirements for electric instantaneous water 

heaters to § 429.44(c)(2)(vi)–(vii).

Required to determine compliance with proposed energy conservation standards. 

For CWHs, no rated input reporting requirement 

for electric storage water heaters.

Add rated input reporting requirement for electric storage water 

heaters to § 429.44(c)(2)(i).

Required to determine that models exceed the 

definitional requirement for electric storage 

water heaters. 

For ACIMs, reporting requirements include 

‘‘maximum energy use’’ and ‘‘maximum condenser water use.’’.

Update reporting requirement terminology to specify ‘‘energy 

use’’ and ‘‘condenser water use’’ in § 429.45(b)(2).

Improved clarity and consistency with definitions. 

For ACIMs, no rounding requirements for represented values specified in 10 CFR 429.45.Add rounding requirements in § 429.45(b)(3) that specify represented values determined in 10 CFR 429.45 must be rounded consistent with the test procedure rounding instructions 

upon the compliance date of any amended standards.

Improves representativeness, repeatability, and 

reproducibility. 

For ACIMs, sampling provisions require use of 

the Student’s t-Distribution Values for a 95 

percent two-tailed confidence interval from appendix A to subpart B of part 429, whereas 

appendix A to subpart B of part 429 contains 

one-tailed Student’s t-Distribution Values.

Revise sampling provisions in 10 CFR 429.45(a)(2) to correct 

this discrepancy and clarify that the Student’s t-Distribution 

Values for a 95 percent one-tailed confidence interval from 

appendix A to subpart B of part 429.

Removes discrepancy from sampling provisions, 

improves clarity. 

For walk-in refrigeration systems, no reporting 

requirement for whether the basic model 

meets the definition of a CO2 unit cooler.

Add reporting requirement for whether the basic model meets 

the definition of a CO2 unit cooler to § 429.53(b)(2)(iii)(G).

Required to ensure test conditions specified in 

the test procedure are met. 

For walk-in refrigeration systems, the configuration reporting requirement does not include 

‘‘detachable single-packaged dedicated system’’ or ‘‘attached split system’’.

Modify current configuration reporting requirement in 

§ 429.53(b)(2)(iii)(C) to include ‘‘detachable single-packaged 

dedicated system’’ and ‘‘attached split system’’.

Required to ensure test conditions specified in 

the test procedure are met. 

For walk-in dedicated condensing systems, no 

reporting requirement for head pressure controls.

Add reporting requirement in § 429.53(b)(3)(ii) for whether the 

basic model has head pressure controls.

Required to ensure test conditions specified in 

the test procedure are met. 

No supplemental testing instructions for walk-in 

refrigeration systems.

Add requirement in § 429.53(b)(4) for submission of supplement 

test information in PDF format, if necessary to run a valid test, 

at the time of certification.

Required to ensure test conditions specified in 

the test procedure are met. 

For walk-in refrigeration systems, no reporting 

requirement for compressor break-in duration 

used to obtain certified rating.

Add optional reporting requirement to § 429.53(b)(3)(ii) for compressor break-in duration used to obtain certified rating, if applicable.Improves representativeness, repeatability, and 

reproducibility. 

For walk-in doors with anti-sweat heater controls, no reporting requirements for conditions 

at which the controls activate the ASH wire.

Add reporting requirements to § 429.53(b)(2)(i)(H) for conditions 

(i.e., temperature, humidity, etc.) at which the controls activate 

the ASH wire.

Required to ensure applicable enforcement provisions are met in the case of enforcement 

testing. 

For walk-in doors, no reporting requirement for 

thermal conduction load through the door.

Add reporting requirement for thermal conduction load through 

the door to § 429.53(b)(3)(i)(B).

Required to calculate daily energy consumption. 

For walk-in panels, date of manufacturer is not 

required on a panel’s nameplate or label.

Require panel manufacture date be added to the nameplate or 

label in § 431.305(a).

Aids enforcement evaluation, as necessary. 

For walk-in refrigeration systems, unit coolers 

designed for use with CO2 as a refrigerant are 

not required to indicate that they are designed 

for use with CO2 on the nameplate.

Require the statement ‘‘Only CO2 is approved as a refrigerant 

for this system’’ to be included on the nameplate for unit coolers designed for use with CO2 as a refrigerant.

Required to ensure test conditions specified in 

the test procedure are met. 

For commercial and industrial pumps, reporting 

requirements are optional for pump efficiency 

at BEP, constant load pump energy rating, 

and variable load pump energy rating.

Modify existing provisions in § 429.59(b)(2) to require reporting 

of pump efficiency at BEP, constant load pump energy rating, 

and variable load pump energy rating.

Standardize public information reported for 

pumps. 

For portable ACs, reporting requirement for duct 

configuration lists ‘‘ability to operate in both 

configurations’’ as an option.

Remove ‘‘ability to operate in both configurations’’ as an option 

in § 429.62(b)(2) and add reporting requirement for whether 

model is distributed in commerce with multiple duct configuration options.

Improved clarity, consistency with instructions in 

appendix CC and 10 CFR 429.62(a)(5). 

For portable ACs, no reporting requirement for 

full-load seasonally adjusted cooling capacity 

for variable-speed models.

Add reporting requirements for whether the basic model is variable-speed, and if yes; the full-load seasonally adjusted cooling capacity to § 429.62(b)(3).Required to determine compliance with the energy conservation standards. 


lotter on DSK11XQN23PROD with PROPOSALS2
67464 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

TABLE II.1—SUMMARY OF PROPOSED CHANGES TO CERTIFICATION REPORTING AND LABELING REQUIREMENTS RELATIVE

TO CURRENT CERTIFICATION REPORTING AND LABELING REQUIREMENTS—Continued 

Current DOE certification reporting requirements Proposed certification reporting requirements Attribution 

For compressors, reporting requirements are included in 10 CFR 429.63, but no annual filing 

date is specified in 10 CFR 429.12.

Establish an annual filing date of September 1 at 10 CFR 

429.12(d), by which manufacturers would be required to submit required reporting information to DOE.

Required to ensure certification information is 

current on an annual basis, consistent with 

the requirements for other covered products 

and equipment. 

For DPPPMs, no reporting requirements outlined in 10 CFR 429.65.Add reporting requirements for DPPPMs to § 429.65(e) .............. Required to verify compliance with proposed energy conservation standards. 

For DPPPMs, no rounding requirements outlined in 10 CFR 429.65.Add rounding requirements for DPPPMs to § 429.65(f) ............... Improves representativeness, repeatability, and 

reproducibility. 

For DPPPMs, no annual filing date specified in 

10 CFR 429.12.

Establish an annual filing date of September 1 at 10 CFR 

429.12(d), by which manufacturers would be required to submit required reporting information to DOE.

Required to ensure certification information is 

current on an annual basis, consistent with 

the requirements for other covered products 

and equipment. 

For air cleaners, no reporting requirements outlined in 10 CFR 429.68.Add reporting requirements for air cleaners to § 429.68(b) .......... Required to verify compliance with recently 

adopted energy conservation standards. 

For air cleaners, no annual filing date specified 

in 10 CFR 429.12.

Establish an annual filing date of December 1 at 10 CFR 

429.12(d), by which manufacturers would be required to submit required reporting information to DOE.

Required to ensure certification information is 

current on an annual basis, consistent with 

the requirements for other covered products 

and equipment. 

For SPVUs, reporting requirements do not include provisions for certifying compliance with 

integrated energy efficiency ratio standards.

Add reporting requirements for certifying compliance with integrated energy efficiency ratio standards to 10 CFR 

429.43(b)(2)(v)(B) and (vi)(B).

Required to determine compliance with the energy conservation standards. 

For SPVUs with cooling capacities less than 

65,000 Btu/h, reporting requirements do not 

include whether the unit is weatherized or 

non-weatherized, and if non-weatherized, the 

airflow rate of outdoor ventilation air which is 

drawn in and conditioned.

Add reporting requirements to 10 CFR 429.43(b)(2)(v)(B) and 

(vi)(B) for whether the unit is weatherized or non-weatherized, 

and if non-weatherized, the airflow rate of outdoor ventilation 

air which is drawn in and conditioned as determined in accordance with 10 CFR 429.134(x)(3), while the equipment is 

operating with the same drive kit and motor settings used to 

determine the certified efficiency rating of the equipment.

Required to determine whether non-weatherized 

SPVUs with cooling capacities less than 

65,000 Btu/h have met the definitional requirements for airflow rate of outdoor ventilation air which is drawn in and conditioned. 

For SPVUs, existing supplemental testing instruction requirements do not reflect updated 

integrated energy efficiency ratio test procedure.

Add supplemental testing instruction file content requirements 

for when certifying compliance with an integrated energy efficiency ratio standard to 10 CFR 429.43(b)(4)(vi)(B) and 

(vii)(B).

Required to ensure test conditions specified in 

the test procedure are met. 

For CFLKs, reporting requirements inadvertently 

omit CFLKs distributed with consumer-replaceable SSL.

Amend reporting requirements in 10 CFR 429.33(b)(2)(ii)(A) and 

(b)(3)(ii)(B) to include CFLKs distributed with consumer-replaceable SSL.

Required to determine compliance with the energy conservation standards. 

The proposed regulatory amendments 

summarized in this section, and that are 

described in greater detail in section III, 

pertain to certification reporting 

requirements only. DOE is not 

proposing amendments to the test 

procedures or energy conservation 

standards for CAC/HPs, DWs, RCWs, 

pool heaters, dehumidifiers, EPSs, 

battery chargers, CRACs, DX–DOASes, 

three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs, three-phase, less 

than 65,000 Btu/h VRF, CWHs, ACIMs, 

WICFs, commercial and industrial 

pumps, portable ACs, compressors, 

DPPPMs, air cleaners, SPVUs, and 

CFLKs. 

III. Discussion 

Certification of compliance to DOE is 

a mechanism that helps manufacturers 

understand their regulatory obligations 

for distributing basic models of covered 

products and equipment that are subject 

to energy conservation standards. 

Certification also helps consumers 

obtain information about products’ 

energy performance. Certification 

reports include characteristics of 

covered products or equipment used to 

determine which standard applies to a 

given basic model, and they also help 

DOE identify models and/or regulated 

entities that may not comply with the 

applicable regulations. 

For the covered products and 

equipment addressed in this NOPR, 

DOE has identified areas in which the 

certification reporting requirements in 

10 CFR part 429 are not consistent with 

the information required to verify 

whether the information provided is 

consistent with the certifier’s statement 

of compliance with current energy 

conservation standards. DOE is 

proposing amendments to the 

certification and reporting provisions 

for these products and equipment to 

ensure reporting that is consistent with 

currently applicable energy 

conservation standards and to ensure 

that DOE has the information necessary 

to determine the appropriate 

classification of products for the 

application of standards. In addition to 

the specific proposals discussed in the 

following sections, DOE is also 

proposing minor amendments to ensure 

consistency among terms used 

throughout DOE’s certification and 

reporting provisions. Additionally, DOE 

is proposing labeling requirements for 

certain covered equipment. 

A. Central Air Conditioners and Heat 

Pumps 

DOE is proposing to amend the 

certification reporting requirements for 

CAC/HPs. A central air conditioner or 

central air conditioning heat pump 

means a product, other than a packaged 

terminal air conditioner or packaged 

terminal heat pump, which is powered 

by single phase electric current, air 

cooled, rated below 65,000 Btu/h, not 

contained within the same cabinet as a 

furnace, the rated capacity of which is 

above 225,000 Btu/h, and is a heat 

pump or a cooling unit only. A central 

air conditioner or central air 

conditioning heat pump may consist of: 

a single-package unit; an outdoor unit 

and one or more indoor units; an indoor 

unit only; or an outdoor unit with no 

match. In the case of an indoor unit only 

or an outdoor unit with no match, the 

unit must be tested and rated as a 

system (combination of both an indoor 

and an outdoor unit). 10 CFR 430.2. 

On October 25, 2022, DOE published 

a final rule (‘‘October 2022 CAC/HP 

Final Rule’’) in which DOE amended the 

test procedure provisions for CAC/HPs. 

87 FR 64550. Consistent with that final 

rule, DOE is proposing amendments to 

the reporting requirements. 


lotter on DSK11XQN23PROD with PROPOSALS2
Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 67465 

4Appendix D now contains the sampling plan for 

enforcement testing of Uninterruptible Power 

Supplies 

1. Reporting 

Under the existing requirements in 10 

CFR 429.16, manufacturers of CAC/HPs 

must report a variety of values and 

information, including seasonal energy 

efficiency ratio 2 (‘‘SEER2’’) in Btu/Wh, average off mode power 

consumption, cooling capacity in Btu/h, 

and heating seasonal performance factor 

2 (‘‘HSPF2’’) in Btu/W-h. 10 CFR 

429.16(e)(2) For a complete list of 

existing certification reporting 

requirements, see 10 CFR 429.16(e). 

These requirements provide for 

certifying compliance with the current 

standards applicable to CAC/HP 

equipment manufactured on or after 

January 1, 2023. 10 CFR 430.32(c). DOE 

is proposing to update these 

requirements and align the reporting 

requirements with the appendix M1 test 

procedure and proposing general 

certification requirements for CAC/HPs. 

DOE discusses these proposed updates 

in the following sections. 

a. Variable Speed Coil-Only Rating 

Based on Non-Communicating or 

Communicating Control 

In the October 2022 CAC/HP Final 

Rule, DOE defined a ‘‘communicating 

variable-speed coil-only central air 

conditioner or heat pump’’ as a variablespeed compressor system having a coilonly indoor unit that is installed with a 

control system that (a) communicates 

the difference in space temperature and 

space setpoint temperature (not a 

setpoint value inferred from on/off 

thermostat signals) to the control that 

sets compressor speed; (b) provides a 

signal to the indoor fan to set fan speed 

appropriate for compressor staging and 

air volume rate; and (c) has installation 

instructions indicating that the required 

control system meeting both (a) and (b) 

must be installed. 87 FR 64550, 64560. 

DOE defined a ‘‘variable-speed noncommunicating coil-only central air 

conditioner or heat pump’’ as a variablespeed compressor system having a coilonly indoor unit that does not meet the 

definition of variable-speed 

communicating coil-only central air 

conditioner or heat pump. Id. 

In the October 2022 CAC/HP Final 

Rule, DOE elaborated that variablespeed coil-only systems that meet the 

‘‘communicating’’ definition should be 

tested like any other variable-speed 

system, except that the heating full-load 

air volume rate should be equal to the 

cooling full-load air volume rate and the 

intermediate and minimum cooling and 

heating air volume rates should all be 

higher than (1) the rate specified by the 

installation instructions included with 

the unit by the manufacturer, and (2) 75 

percent of the full-load cooling air 

volume rate. Id. 

Because this aspect of the basic 

model’s operating characteristics 

determines the way it must be tested, 

manufacturers need to certify whether a 

variable speed coil-only rating is based 

on non-communicating or 

communicating control. Therefore, DOE 

is proposing to include this requirement 

in the certification template. 

DOE seeks comment on its proposal to 

require reporting of whether a variable 

speed coil-only rating is based on noncommunicating or communicating 

control. 

b. Air Volume Rate Changing With 

Outdoor Conditions 

In the October 2022 CAC/HP Final 

Rule, DOE explained that requirements 

for setting air volume rate in section 

3.1.4 of appendix M1 may conflict with 

instructions to use air volume rates that 

represent a ‘‘normal installation’’ in 

section 3.2, particularly for modern 

blower-coil systems with multiplespeed or variable-speed indoor fans and 

control systems, which may change air 

volume rate in response to operating 

conditions such as outdoor air 

temperature. 87 FR 64550, 64569. To 

address this issue, in the October 2022 

CAC/HP Final Rule, DOE explicitly 

stated in step 7 of sections 3.1.4.1.1.a, 

3.1.4.2.a, and 3.1.4.3.a of appendix M1 

that, for blower-coil systems in which 

the indoor blower capacity modulation 

correlates with outdoor dry bulb 

temperature or sensible-to-total cooling 

capacity ratio, use an air volume rate 

that represents a normal operation. Id. 

Also, DOE indicated that to ensure 

consistency of testing, it may be 

necessary for manufacturers to certify 

whether the system varies blower 

speeds with outdoor air conditions. Id. 

For these reasons, DOE is proposing 

that manufacturers include in their 

certification whether the system varies 

blower speeds with outdoor air 

conditions. 

DOE seeks comment on its proposal to 

require reporting of whether a CAC/HP 

system varies blower speeds with 

outdoor air conditions. 

c. Sampling Corrections 

Currently, DOE’s sampling provisions 

for CAC/HPs state that any represented 

value of power consumption or other 

measure of consumption of a basic 

model for which consumers would favor 

lower values shall be greater than or 

equal to the higher of the mean of the 

sample, or the upper 90 percent 

confidence limit of the true mean 

(‘‘UCL’’) divided by 1.05. 10 CFR 

429.16(b)(3)(i). Additionally, the 

sampling provisions state that any 

represented value of the energy 

efficiency, cooling capacity, heating 

capacity or other measure of energy 

consumption for which consumers 

would favor higher values shall be less 

than or equal to the lower of the mean 

of the sample, or the lower 90 percent 

confidence limit of the true mean 

(‘‘LCL’’) divided by 0.95. 10 CFR 

429.16(b)(3)(ii)–(iii). The sampling 

provisions also state that the UCL and 

LCL should be calculated using the 

Student’s t-Distribution Values for a 90 

percent one-tailed confidence interval 

with n-1 degrees of freedom from 

appendix D to subpart B of part 429 

(‘‘appendix D’’), where ‘‘n’’ is the 

number of samples. 10 CFR 

429.16(b)(3)(i)–(iii). However, the 

Appendix containing Student’s tDistribution Values has moved to 

appendix A to subpart B of part 429 

(‘‘Appendix A’’) and is no longer 

located at appendix D.4.’’). To correct 

this discrepancy, DOE is proposing to 

revise 10 CFR 429.16(b)(3)(i)-(iii) to 

specify that the UCL and LCL should be 

calculated using the Student’s tDistribution Values for a 90 percent onetailed confidence interval outlined in 

appendix A. 

DOE seeks comment on its proposal to 

correct the sampling provisions for 

CAC/HPs to reference appendix A 

instead of appendix D. 

2. Reporting Costs and Impacts 

As described in the previous section, 

DOE proposes in this NOPR to align 

CAC/HP certification reporting 

requirements with the current test 

procedure for CAC/HP in appendix M1, 

which was most recently amended by 

the October 2022 CAC/HP Final Rule. 

The proposed certification requirements 

in this proposed rule specifically 

address new provisions in this amended 

version of the appendix M1 test 

procedure, use of which was required 

beginning on April 24, 2023. 

DOE has tentatively determined that 

these proposed amendments to the 

certification requirements would not 

impose additional costs for 

manufacturers because manufacturers of 

CAC/HPs are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 

compared to what CAC/HP 


lotter on DSK11XQN23PROD with PROPOSALS2
67466 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

5American National Standards Institute/ 

Association of Home Appliance Manufacturers 

DW–1–2010: Household Electric Dishwasher. 

manufacturers are currently doing 

today. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for CAC/HPs. 

B. Dishwashers 

DOE is proposing to amend the 

certification reporting requirements for 

DWs, which are cabinet-like appliances 

which, with the aid of water and 

detergent, wash, rinse, and dry (when a 

drying process is included) dishware, 

glassware, eating utensils, and most 

cooking utensils by chemical, 

mechanical and/or electrical means and 

discharge to the plumbing drainage 

system. 10 CFR 430.2. In the DWs test 

procedure final rule published on 

January 18, 2023 (‘‘January 2023 DW 

Final Rule’’), DOE amended the existing 

DWs test procedure at appendix C1 and 

established a new test procedure at 

appendix C2, which would be required 

at the time compliance is required with 

any amended energy and water 

conservation standards. 88 FR 3234. 

Consistent with that final rule, DOE is 

proposing amendments to the reporting 

requirements. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.19, manufacturers must report 

the following public product-specific 

information: the estimated annual 

energy use in kilowatt hours (‘‘kWh’’) 

per year (‘‘kWh/yr’’), the water 

consumption in gallons per cycle, and 

the capacity in number of place settings 

as specified in ANSI/AHAM DW–1– 

2010.5 10 CFR 429.19(b)(2). 

Manufacturers must additionally report 

the following product-specific 

information: the presence of a soil 

sensor (and if present, the number of 

cycles required to reach calibration); 

water inlet temperature used for testing 

in degrees Fahrenheit (‘‘°F’’); cycle 

selected for the energy test and whether 

that cycle is soil-sensing; the options 

selected for the energy test; the presence 

of a built-in water softening system (and 

if present, the energy use in kWh and 

the water use in gallons required for 

each regeneration of the water softening 

system, the number of regeneration 

cycles per year, and data and 

calculations used to derive these 

values); and an indication of whether 

Cascade Complete powder was used as 

the detergent formulation in lieu of 

Cascade with the Grease Fighting Power 

of Dawn powder. 10 CFR 429.19(b)(3). 

These requirements are applicable for 

any DW distributed in the United States 

on or after May 30, 2013. Additionally, 

in a test procedure final rule published 

on July 27, 2023 (‘‘July 2023 DW Final 

Rule’’), DOE updated the detergent 

formulation reporting requirement at 10 

CFR 429.19(b)(3)(vi) as follows: 

indication of whether Cascade Complete 

Powder or Cascade with the Grease 

Fighting Power of Dawn was used as the 

detergent formulation. 88 FR 48351. For 

dishwashers other than water re-use 

dishwashers, the July 2023 DW Final 

Rule additionally specified that before 

July 17, 2023, Cascade Complete 

Powder detergent may be used as the 

basis for certification in conjunction 

with the detergent dosing methods 

specified in either section 2.5.2.1.1 or 

section 2.5.2.1.2 of appendix C1 as 

amended in the July 2023 DW Final 

Rule and Cascade with the Grease 

Fighting Power of Dawn detergent may 

be used as the basis for certification 

only in conjunction with the detergent 

dosing specified in section 2.5.2.1.1 of 

appendix C1 as amended in the July 

2023 DW Final Rule. Further, for 

dishwashers other than water re-use 

dishwashers, the July 2023 DW Final 

Rule specified that beginning July 17, 

2023, Cascade Complete Powder 

detergent may be used as the basis for 

certification of newly certified basic 

models only in conjunction with the 

detergent dosing method specified in 

section 2.5.2.1.2 of appendix C1 as 

amended in the July 2023 DW Final 

Rule and Cascade with the Grease 

Fighting Power of Dawn detergent may 

be used as the basis for certification 

only in conjunction with the detergent 

dosing specified in section 2.5.2.1.1 of 

appendix C1 as amended in the July 

2023 DW Final Rule. The July 2023 DW 

Final Rule additionally specified that 

manufacturers may maintain existing 

basic model certifications made prior to 

July 17, 2023, consistent with the 

provisions of § 429.19(b)(3)(vi)(A) and 

(B). Id. 

DOE is proposing to update the 

dishwasher certification reporting 

requirements and align the reporting 

requirements with the amended test 

procedure at appendix C1 and the new 

test procedure at appendix C2. Use of 

appendix C2 would be required when 

determining compliance with any future 

amended energy and water conservation 

standards. Appendix C2 to subpart B of 

part 430. Accordingly, the certification 

reporting requirements that are specific 

to appendix C2 would be required only 

at such time as use of appendix C2 is 

required to demonstrate compliance 

with any future amended energy and 

water conservation standards. DOE 

discusses the proposed updates in the 

following sections. 

a. Update to the AHAM Industry 

Standard 

The current reporting requirements at 

10 CFR 429.19(b)(2) reference the 

industry standard, ANSI/AHAM DW–1– 

2010 to the capacity of a dishwasher in 

number of place settings. DOE is 

proposing to exclude this reference in 

the dishwasher reporting requirements 

at 10 CFR 429.19 because this industry 

standard is now obsolete. Additionally, 

the reference to the definition of place 

settings only includes the items in the 

test load that comprise a single place 

setting; it does not define the capacity 

of a dishwasher itself, which is the 

metric that needs to be reported for 

dishwashers at 10 CFR 429.19(b)(2). 

Relatedly, DOE also proposes to remove 

ANSI/AHAM DW–1–2010 from its list 

of materials incorporated by reference at 

10 CFR 429.4 because this standard 

would no longer be referenced 

anywhere in 10 CFR part 429 after the 

proposed removal of this reference from 

10 CFR 429.19. 

DOE requests comment on its 

proposal to remove ANSI/AHAM DW– 

1–2010 from the referenced industry 

standard in 10 CFR 429.19(b)(2). 

b. Cycle Selected for Energy Test 

In the January 2023 DW Final Rule, 

DOE established a new appendix C2 

that specifies, in part, a minimum 

cleaning index threshold as a condition 

for a valid test cycle. 88 FR 3234. If the 

normal cycle at any soil level (i.e., 

heavy, medium, or light) does not meet 

the specified cleaning index threshold, 

the unit is tested at the most energyintensive cycle that can achieve a 

cleaning index threshold of 70. 88 FR 

3234, 3266. To ensure that the 

certification template is consistent with 

the tested cycle requirements specified 

in appendix C2, DOE proposes to 

include the following additional 

confidential reporting requirement at 10 

CFR 429.19(b)(3)(iii): the cycle selected 

for the energy test at the heavy, 

medium, and light soil loads and 

whether these cycles are soil-sensing. 

Further, DOE proposes to include the 

following additional confidential 

reporting requirement at 10 CFR 

429.19(b)(3)(iv): the options selected for 

the energy test at the heavy, medium, 

and light soil loads. These reporting 

requirements would be required only at 

such time as use of appendix C2 is 

required to demonstrate compliance 

with any future amended energy and 

water conservation standards. 

DOE requests comment on the 

proposed requirement to confidentially 


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6All materials regarding the Whirlpool waiver are 

available in docket EERE–2013–BT–WAV–0042 at 

www.regulations.gov. 

7All materials regarding the CNA waiver are 

available in docket EERE–2020–BT–WAV–0024 at 

www.regulations.gov. 

report the cycle selected for the energy 

test at the heavy, medium, and light soil 

loads and whether these cycles are soilsensing as well as the options selected 

for the energy test at the heavy, 

medium, and light soil loads when 

testing according to appendix C2. 

c. Cleaning Index 

As noted previously, the January 2023 

DW Final Rule established a new 

appendix C2 that specifies a minimum 

cleaning index threshold as a condition 

for a valid test cycle. 88 FR 3234. 

Specifically, the January 2023 DW Final 

Rule states that each tested cycle on 

each individual unit is required to 

achieve the applicable cleaning index 

threshold to constitute a valid test cycle. 

88 FR 3234, 3265–3266. To ensure that 

the reported test cycle is a valid test 

cycle that meets the specified applicable 

cleaning index threshold, DOE is 

proposing a confidential reporting 

requirement for the cleaning index of 

the sensor heavy response, sensor 

medium response, and sensor light 

response test cycles. DOE additionally 

proposes that the reported cleaning 

index for each basic model must be the 

average cleaning index of the individual 

test units at each soil level. This 

reporting requirement would be 

required only at such time as use of 

appendix C2 is required to demonstrate 

compliance with any future amended 

energy and water conservation 

standards. 

DOE requests comment on the 

proposed requirement to confidentially 

report the average cleaning index of the 

sensor heavy response, sensor medium 

response, and sensor light response test 

cycles. 

d. Water Re-Use System Dishwashers 

On November 1, 2013, DOE published 

a Decision and Order granting 

Whirlpool a test procedure waiver 

(‘‘Whirlpool waiver’’) for testing 

specified basic models equipped with a 

‘‘water use system,’’ in which water 

from the final rinse cycle is stored for 

use in the subsequent cycle, with 

periodic draining (‘‘drain out’’) and 

cleaning (‘‘clean out’’) events. 78 FR 

65629, 65629–65630. (Case No. DW– 

11).6

In the January 2023 DW Final Rule, 

DOE amended appendix C1 to include 

the requirements from the Whirlpool 

waiver for testing water re-use system 

DWs via reference to the industry 

standard, AHAM DW–1–2020, with 

some modifications to the equations in 

sections 5.6.1.3, 5.6.1.4, 5.6.2.3, and 

5.6.2.4 of AHAM DW–1–2020. DOE also 

adopted these requirements in the new 

appendix C2. 88 FR 3234, 3249. 

Accordingly, DOE proposes to amend 

the reporting requirements at 10 CFR 

429.19(b)(3) to include reporting of 

energy and water use associated with 

drain out and clean out events, 

consistent with the information required 

to be reported by Whirlpool as part of 

the waiver. These reported values 

would be used in equations to account 

for the extra water and energy 

associated with water re-use systems. 

Specifically, DOE is proposing that the 

additional machine electrical energy 

consumption required for a drain out 

event and clean out event—expressed in 

kWh—and the additional water 

consumption required for drain out and 

clean out events during a drain out 

cycle—expressed in gallons per cycle 

(‘‘gal/cycle’’)—be reported 

confidentially. 

DOE seeks comment on its proposal to 

require that additional machine 

electrical energy consumption required 

for a drain out event and clean out 

event—expressed in kWh—and the 

additional water consumption required 

for drain out and clean out events 

during a drain out cycle—expressed in 

gal/cycle—be reported confidentially. 

e. Dishwashers With Built-In Reservoirs 

DOE published a Decision and Order 

on December 9, 2020 granting CNA 

International Inc. (‘‘CNA’’) a test 

procedure waiver (‘‘CNA waiver’’) for a 

basic model of a compact DW that does 

not connect to a water supply line and 

instead has a built-in reservoir that must 

be manually filled with water. 85 FR 

79171, 79171 and 79173 (Case No. 

2020–008).7

In the January 2023 DW Final Rule, 

DOE amended appendix C1 to include 

the requirements from the CNA waiver, 

which was specific to a compact DW 

basic model, to be applicable to a DW 

of any capacity with a manually filled 

built-in water reservoir. DOE also 

adopted these requirements in the new 

appendix C2. 88 FR 3234, 3241. 

Accordingly, DOE proposes to amend 

the reporting requirements at 10 CFR 

429.19(b)(3) to include reporting of the 

reservoir capacity in gallons, prewash 

and main wash fill water volume in 

gallons (if testing is performed using 

appendix C1), and the total water 

consumption in gallons per cycle for 

DWs with built-in reservoirs. DOE’s 

proposal to report the prewash and 

main wash fill water volumes is only 

applicable to appendix C1 because these 

water volumes are used to determine 

detergent dosage in appendix C1, while 

the detergent dosage in appendix C2 is 

dependent on the number of place 

settings. 

DOE seeks comment on its proposal to 

require reporting of reservoir capacity in 

gallons, prewash and main wash fill 

water volume in gallons (if testing is 

performed using appendix C1), and the 

total water consumption in gallons per 

cycle for DWs with built-in reservoirs. 

f. Rounding Requirements 

DOE proposes to specify at new 

section 10 CFR 429.19(c) that the 

represented value of estimated annual 

energy use must be rounded to the 

nearest kWh/yr and the represented 

value of water consumption must be 

rounded to one decimal place, i.e., the 

nearest 0.1 gallon per cycle. These 

rounding requirements are consistent 

with the existing rounding requirements 

for DWs specified at 10 CFR 430.23(c)(2) 

and 10 CFR 430.23(c)(3), respectively. 

DOE requests comment on the 

proposed rounding requirements for 

DWs. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

the DW certification reporting 

requirements with the amended test 

procedure at appendix C1, use of which 

is required beginning July 17, 2023, and 

with the newly adopted test procedure 

at appendix C2, use of which would be 

required at such time as compliance is 

required with any amended energy 

conservation standards based on 

appendix C2. 

For dishwashers, manufacturers 

currently report the following: (1) the 

estimated annual energy use in kWh/yr; 

(2) the water consumption in gallons per 

cycle; (3) the capacity in number of 

place settings as specified in ANSI/ 

AHAM DW–1–2010; (4) the presence of 

a soil sensor, and if present, the number 

of cycles required to reach calibration; 

(5) the water inlet temperature used for 

testing in °F; (6) the cycle selected for 

the energy test and whether that cycle 

is soil-sensing; (7) the options selected 

for the energy test; and (8) the presence 

of a built-in water softening system, and 

if present, the energy use in kWh and 

the water use in gallons required for 

each regeneration of the water softening 

system, the number of regeneration 

cycles per year, and data and 

calculations used to derive these values. 

10 CFR 429.19 (b)(2)–(3). Manufacturers 

also report whether Cascade Complete 

powder was used as the detergent 

formulation in lieu of Cascade with the 


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Grease Fighting Power of Dawn powder. 

10 CFR 429.19(b)(3)(vi). Beginning 

August 28, 2023, the effective date of 

the July 2023 DW Final Rule, the 

reporting requirement pertaining to the 

detergent formulation would be updated 

such that manufacturers would be 

required to report whether Cascade 

Complete Powder or Cascade with the 

Grease Fighting Power of Dawn was 

used as the detergent formulation. 88 FR 

48351, 48357. Additionally, when 

certifying dishwashers, other than water 

re-use dishwashers, according to 

appendix C1, the following 

requirements would be applicable: (A) 

Before July 17, 2023, Cascade Complete 

Powder detergent may be used as the 

basis for certification in conjunction 

with the detergent dosing methods 

specified in either section 2.5.2.1.1 or 

section 2.5.2.1.2 of appendix C1. 

Cascade with the Grease Fighting Power 

of Dawn detergent may be used as the 

basis for certification only in 

conjunction with the detergent dosing 

specified in section 2.5.2.1.1 of 

appendix C1. (B) Beginning July 17, 

2023, Cascade Complete Powder 

detergent may be used as the basis for 

certification of newly certified basic 

models only in conjunction with the 

detergent dosing method specified in 

section 2.5.2.1.2 of appendix C1. 

Cascade with the Grease Fighting Power 

of Dawn detergent may be used as the 

basis for certification only in 

conjunction with the detergent dosing 

specified in section 2.5.2.1.1 of 

appendix C1. Manufacturers may 

maintain existing basic model 

certifications made prior to July 17, 

2023, consistent with the provisions of 

paragraph 10 CFR 429.19(b)(3)(vi)(A). 

Id. 

Under the proposed amendments, if 

adopted, manufacturers would 

additionally report the following: (1) the 

cycles selected for the sensor heavy 

response, sensor medium response, and 

sensor light response and whether these 

cycles are soil-sensing if testing is 

performed using appendix C2; (2) the 

options selected for the sensor heavy 

response, sensor medium response, and 

sensor light response if testing is 

performed using appendix C2; (3) the 

average cleaning index for the sensor 

heavy response, sensor medium 

response, and sensor light response 

cycles if testing is performed using 

appendix C2; (4) whether the product is 

a water re-use system dishwasher and if 

so, the energy use in kWh and water use 

in gallons required for a drain out event, 

the energy use in kWh and water use in 

gallons required for a clean out event, 

the number of drain out events per year, 

the number of clean out events per year, 

the water fill volume to calculate 

detergent dosage in gallons, and data 

and calculations used to derive these 

values, as applicable; and (5) the 

presence of a built-in reservoir and if 

present, the manufacturer-stated 

reservoir capacity in gallons, the 

prewash fill water volume in gallons 

and the main wash fill water volume in 

gallons if testing is performed using 

appendix C1, and the reservoir water 

consumption in gallons per cycle. DOE 

is additionally proposing to add 

rounding requirements for estimated 

annual energy use and water 

consumption and remove the ANSI/ 

AHAM DW–1–2010 industry standard 

that is included as a reference from 10 

CFR 429.4. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

DWs are already submitting certification 

reports to DOE and should have readily 

available the information that DOE is 

proposing to collect as part of this 

rulemaking. Additionally, any 

requirements stemming from the 

updates to the test procedure were 

accounted for in the January 2023 Final 

Rule. DOE does not believe the revised 

reporting requirements will cause any 

appreciable change in reporting burden 

or hours as compared to what DW 

manufacturers are currently doing 

today. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for DWs. 

C. Residential Clothes Washers 

DOE is proposing to amend the 

reporting requirements for RCWs, which 

are a consumer product designed to 

clean clothes, utilizing a water solution 

of soap and/or detergent and 

mechanical agitation or other 

movement, that must be one of the 

following classes: automatic clothes 

washers, semi-automatic clothes 

washers, and other clothes washers. 10 

CFR 430.2. In the RCWs test procedure 

final rule published on June 1, 2022 

(‘‘June 2022 RCW Final Rule’’), DOE 

amended the existing RCWs test 

procedure at appendix J2, established a 

new test procedure at appendix J, which 

would be required at the time 

compliance is required with any 

amended energy and water conservation 

standards, and removed appendix J1. 87 

FR 33316. Consistent with the June 2022 

RCW Final Rule, DOE is proposing 

amendments to the reporting 

requirements. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.20(b)(2)(i), manufacturers of 

RCWs tested in accordance with the test 

procedure at appendix J1 must report: 

the modified energy factor (‘‘MEF’’), the 

capacity, the corrected moisture content 

(‘‘RMC’’), and the integrated water factor 

(‘‘IWF’’). Under the existing 

requirements in 10 CFR 429.20(b)(2)(ii), 

manufacturers of RCWs tested in 

accordance with the test procedure at 

appendix J2 must report: the integrated 

modified energy factor (‘‘IMEF’’), the 

IWF, the capacity, the RMC, and the 

type of loading (top-loading or frontloading). Under the existing 

requirements in 10 CFR 429.20(b)(3), all 

manufacturers of RCWs must also report 

a list of cycle selections comprising the 

complete energy test cycle. 

DOE is proposing to update these 

requirements and to specify new 

reporting requirements that would 

apply to the new appendix J test 

procedure and that would be required 

for certifying compliance only at such 

time as use of appendix J is required. 

DOE discusses these proposed updates 

in the following sections. 

a. Removing Appendix J1 

Appendix J1 was removed from the 

CFR as part of the June 2022 RCW Final 

Rule. 87 FR 33316, 33365. Therefore, 

the provisions in 10 CFR 429.20(b)(2)(i), 

which specify reporting requirements 

for RCWs tested in accordance with 

appendix J1, are obsolete. For these 

reasons, DOE proposes to remove these 

reporting requirements. 

DOE requests comment on its 

proposal to remove reporting 

requirements applicable to appendix J1 

from 10 CFR 429.20(b)(2)(i). 

b. Clothes Container Capacity 

DOE has established separate product 

classes for RCWs based on clothes 

container capacity, among other 

characteristics. 10 CFR 430.32(g)(4) The 

current test procedure uses the term 

‘‘clothes container capacity’’ to refer to 

the measured capacity (see section 3.1 

of appendix J2), whereas the current 

reporting requirements at 10 CFR 

429.20(b)(2) use the term ‘‘capacity.’’ To 

provide greater consistency in 

terminology between the test procedure 

and the reporting requirements, DOE 

proposes to update the reporting 

requirement terminology from 

‘‘capacity’’ to ‘‘clothes container 

capacity.’’ 

DOE requests comment on its 

proposal to update reporting 

requirement terminology to specify 

‘‘clothes container capacity for RCWs. 


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8EER is defined as the weighted-average load size 

in pounds (‘‘lbs’’) divided by the sum of (1) the percycle machine energy, (2) the per-cycle water 

heating energy, (3) the per-cycle drying energy, and 

(4) the per-cycle standby and off mode energy 

consumption, in kilowatt-hours (‘‘kWh’’). 

9WER is defined as the weighted-average load 

size in lbs divided by the total weighted per-cycle 

water consumption for all wash cycles in gallons 

(‘‘gal’’). 

10 DOE defines ‘‘automatic clothes washer’’ as a 

class of clothes washer that has a control system 

that is capable of scheduling a preselected 

combination of operations, such as regulation of 

water temperature, regulation of the water fill level, 

and performance of wash, rinse, drain, and spin 

functions without the need for user intervention 

subsequent to the initiation of machine operation. 

Some models may require user intervention to 

initiate these different segments of the cycle after 

the machine has begun operation, but they do not 

require the user to intervene to regulate the water 

temperature by adjusting the external water faucet 

valves. 10 CFR 430.2. 

11 DOE defines ‘‘semi-automatic clothes washer’’ 

as a class of clothes washer that is the same as an 

automatic clothes washer except that user 

intervention is required to regulate the water 

temperature by adjusting the external water faucet 

valves. 10 CFR 430.2. 

c. Test Cloth Lot Number 

In the June 2022 RCW Final Rule, 

DOE implemented new language in 10 

CFR 429.134(c) that provides additional 

product-specific enforcement provisions 

for clothes washers to accommodate 

differences in RMC values that may 

result from DOE using a different test 

cloth lot than was used by the 

manufacturer for testing and certifying 

the basic model. 87 FR 33316, 33369– 

33371. To implement this new 

enforcement provision, DOE proposes to 

require reporting the test cloth lot 

number used during certification 

testing. DOE also proposes that the 

reported test cloth lot number would 

not be public. 

DOE requests comment on its 

proposal to require the reporting of the 

test cloth lot number for RCWs for the 

purpose of implementing the 

enforcement provisions in 10 CFR 

429.134(c), as well as its proposal that 

the reported test cloth lot number would 

not be public. 

d. Specifying Requirements for 

Appendix J 

The new appendix J test procedure 

establishes new energy and water 

efficiency metrics for RCWs. Use of 

appendix J would be required at such 

time as compliance is required with any 

amended energy conservation standards 

based on these new metrics as measured 

using appendix J. 87 FR 33316. On 

March 3, 2023, DOE proposed amended 

standards for clothes washers based on 

the new metrics as measured using 

appendix J. 88 FR 13520. Consistent 

with these new metrics, DOE proposes 

to specify certification requirements at 

10 CFR 429.20(b)(2)(i) corresponding to 

the use of appendix J, as detailed in the 

following sections. These reporting 

requirements would be required only at 

such time as use of appendix J is 

required to demonstrate compliance 

with standards based on the new 

appendix J metrics. 

Energy Efficiency Ratio and Water 

Efficiency Ratio 

Appendix J defines new metrics for 

representing clothes washer efficiency: 

energy efficiency ratio (‘‘EER’’) 8 and 

water efficiency ratio (‘‘WER’’).9

DOE proposes to require including 

EER and WER as public information in 

a certification report for RCWs tested in 

accordance with appendix J. 

In the June 2022 RCW Final Rule, 

DOE established rounding requirements 

for EER and WER in 10 CFR 

430.23(j)(2)(ii) and (j)(4)(ii), 

respectively. 87 FR 33316, 33381. These 

requirements specify rounding EER to 

the nearest 0.01 lb/kWh/cycle and 

rounding WER to the nearest 0.01 gal/ 

kWh/cycle. DOE proposes to specify 

these same rounding requirements for 

EER and WER at 10 CFR 430.29(c). 

DOE requests comment on the 

proposed RCW reporting requirements 

for EER and WER, including the 

proposed rounding requirements. 

Type of Control System 

The existing RCW product classes are 

applicable to automatic clothes 

washers.10 Whereas performance-based 

standards are currently applicable for all 

classes of automatic RCWs, DOE has not 

established performance-based 

standards for semi-automatic RCWs. On 

March 3, 2023, DOE published an 

energy conservation standards NOPR 

that includes a proposal to re-establish 

a separate product class and separate 

performance-based energy conservation 

standards for semi-automatic RCWs.11

88 FR 13520. To distinguish basic 

models as either automatic or semiautomatic for the purpose of 

determining whether the current 

performance-based standards apply, as 

well as which energy conservation 

standards would apply if DOE were to 

finalize its proposal to establish 

performance-based energy conservation 

standards for semi-automatic RCWs, 

DOE proposes to require reporting the 

type of control system (automatic or 

semi-automatic) as public information 

to be included in a certification report 

for RCWs tested in accordance with 

appendix J. 

DOE requests comment on its 

proposal to require reporting the type of 

control system (automatic or semiautomatic) for RCWs. 

Other Requirements 

For RCWs tested in accordance with 

appendix J, DOE also proposes to 

establish public reporting requirements 

for RMC, clothes container capacity, and 

type of loading (top-loading or frontloading), consistent with the current 

reporting requirements specified at 10 

CFR 429.20(b)(2)(ii) for RCWs tested in 

accordance with appendix J2. DOE 

notes that the current requirement at 10 

CFR 429.20(b)(3) to report a list of all 

cycle selections comprising the 

complete energy test cycle for each basic 

model applies to all RCWs and would 

therefore also apply to any RCW tested 

in accordance with appendix J. 

Similarly, the proposed requirement to 

report test cloth lot number would also 

apply to RCWs tested in accordance 

with appendix J. These reporting 

requirements would be required only at 

such time as use of appendix J is 

required to demonstrate compliance 

with standards based on the new 

appendix J metrics. 

DOE requests comment on its 

proposal to require reporting of RMC, 

clothes container capacity, and type of 

loading (top-loading or front-loading) 

for RCWs tested in accordance with 

appendix J. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

RCW certification reporting 

requirements with the energy 

conservation requirements that would 

be applicable to RCWs tested in 

accordance with appendix J. 

Currently, manufacturers report IMEF, 

IWF, capacity, RMC, loading type, and 

cycle selections. Manufacturers would 

additionally report test cloth lot number 

if the proposed amendments were 

adopted. For RCWs manufactured after 

the compliance date of any future 

energy conservation standards based on 

use of appendix J, manufacturers would 

be required to report EER, WER, 

capacity, RMC, control system type, 

loading type, cycle selections, and test 

cloth lot number, if the proposed 

amendments are adopted. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

RCWs are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 


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67470 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

12 ‘‘Electric pool heater’’ means a pool heater 

other than an electric spa heater that uses electricity 

as its primary energy source. An ‘‘electric spa 

heater’’ means a pool heater that (1) uses electricity 

as its primary energy source; (2) has an output 

capacity of 11 kW or less; and (3) is designed to be 

installed within a portable electric spa. 88 FR 

34624, 34703. DOE did not establish standards for 

electric spa heaters in the May 2023 Pool Heaters 

Final Rule, so the certification requirements 

proposed in this NOPR pertain only to electric pool 

heaters. 

13 ‘‘Active electrical power’’ means the maximum 

electrical power consumption in active mode for an 

electric pool heater. 

compared to what RCW manufacturers 

are currently doing today as the 

proposed amendments are replacement 

metrics or information that should be 

readily available. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for RCWs. 

D. Pool Heaters 

DOE is proposing to amend the 

reporting requirements for consumer 

pool heaters. DOE defines pool heaters 

as an appliance designed for heating 

non-potable water contained at 

atmospheric pressure, including heating 

water in swimming pools, spas, hot 

tubs, and similar applications. 10 CFR 

430.2. In the final rule published on 

May 30, 2023 (‘‘May 2023 Pool Heaters 

Final Rule’’), DOE amended the energy 

conservation standards for consumer 

pool heaters. 88 FR 34624. While the 

current standards only apply to gas-fired 

pool heaters, the new and amended 

standards apply to both gas-fired pool 

heaters and electric pool heaters 

(excluding electric spa heaters) 12 and 

use an updated efficiency metric. Id. at 

88 FR 34704. Consistent with the May 

2023 Pool Heaters Final Rule, DOE is 

proposing amendments to the reporting 

requirements for consumer pool heaters. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.24, manufacturers of gas-fired 

pool heaters must report: thermal 

efficiency in percent and input capacity 

in Btu/h. 10 CFR 429.24(b)(1)–(2). These 

requirements provide for certifying 

compliance with the April 16, 2013 

thermal efficiency standards. The 

amended standards are based on a 

different metric: integrated thermal 

efficiency. (See 88 FR 34624, 34625). 

DOE is proposing to update these 

certification requirements and align 

them with the energy conservation 

standards outlined in the May 2023 Pool 

Heaters Final Rule. DOE is additionally 

proposing general certification 

requirements for consumer pool heaters. 

DOE discusses these proposed updates 

in the following paragraphs. 

The current standards for consumer 

pool heaters at 10 CFR 430.32(k) 

provide only minimum thermal 

efficiency (‘‘TE’’) requirements for gasfired pool heaters, which does not 

include standby mode and off mode 

energy consumption. While the TE 

metric has historically been used to rate 

pool heaters, the current test procedure 

at appendix P to subpart B of 10 CFR 

part 430 (‘‘appendix P’’) includes 

provisions to determine the new 

integrated thermal efficiency (‘‘TEI’’) 

metric, which includes standby mode 

and off mode energy consumption as 

required by EPCA. Hence, the May 2023 

Pool Heaters Final Rule established new 

and amended standards for gas-fired 

pool heaters and electric pool heaters in 

terms of TEI. (88 FR 34624, 34625) In 

the May 2023 Pool Heaters Final Rule, 

DOE stated that it would consider 

requirements for reporting and 

certifying TEI in lieu of TE in a separate 

rulemaking. 88 FR 34624, 34636. DOE 

stated that it would also consider 

requirements for reporting and 

certifying active electrical power 13

along with the representative value for 

TEI in a separate rulemaking. Id. 

In the pool heaters energy 

conservation standards NOPR 

rulemaking (‘‘April 2022 Pool Heaters 

NOPR’’), DOE addressed comments 

from Air-Conditioning, Heating, and 

Refrigeration Institute (‘‘AHRI’’) 

regarding the level of precision required 

for representations of TEI. 87 FR 22640, 

22652 (Apr. 15, 2022). AHRI suggested 

that, for products where the efficiency 

ratings are less than 100 percent, a 

change of one or two points may make 

a difference; however, for products such 

as heat pump pool heaters with 

efficiency ratings that can exceed 300 

percent, a difference of one or two 

points is inconsequential. Id. DOE 

stated that it would consider rounding 

requirements for consumer pool heaters 

in a separate rulemaking addressing 

certification reports. Id. 

The April 2022 Pool Heaters NOPR 

sought comment on changes to 

certification and enforcement 

requirements. Id. DOE received 

comments from Rheem Manufacturing 

Company (‘‘Rheem’’) regarding 

certification provisions for consumer 

pool heaters. Rheem recommended that 

DOE update the certification provisions 

at 10 CFR 429.24 to require certification 

of TEI and either input capacity or 

active electrical power as necessary. 

(Rheem, Docket No. EERE–2021–BT– 

STD–0020, No. 19 at p. 2) Rheem also 

recommended that DOE evaluate adding 

certification provisions—similar to the 

requirements for consumer water 

heaters—which allow for the propane 

gas version of a basic model to be rated 

using the natural gas version if the 

propane gas input rate is within 10 

percent of the natural gas input rate. 

(Rheem, Docket No. EERE–2021–BT– 

STD–0020, No. 19 at p. 10) 

In response to Rheem’s request to use 

representations of natural gas basic 

models for propane basic models, DOE 

notes that the water heater certification 

provisions referenced by the commenter 

are specifically for alternative efficiency 

determination methods (see 10 CFR 

429.70(g)(1)). At this time, 

manufacturers of consumer pool heaters 

are not authorized to use alternative 

efficiency determination methods for 

representations pertaining to consumer 

pool heaters (see 10 CFR 429.70(a)), and 

the May 2023 Pool Heaters Final Rule 

did not establish this allowance. (88 FR 

34624) Hence, DOE is not proposing 

special certification requirements for 

propane gas-fired pool heaters. 

For consumer pool heaters, DOE 

proposes to clarify provisions for 

certifying input capacity, establish 

provisions for certifying active electrical 

power, and establish certification 

requirements for TEI (including 

rounding requirements). DOE has 

tentatively determined that certification 

of input capacity and active electrical 

power is necessary because these values 

are used to determine the TEI standard 

that applies to a pool heater. 

DOE proposes to clarify that 

representations of input capacity for 

gas-fired pool heaters must be made 

based on the average of the input 

capacities measured for each tested unit 

of the basic model, and rounded to the 

nearest 1,000 Btu/h. 

There are currently no certification 

requirements for electric pool heaters. 

DOE is proposing to establish 

requirements for active electrical power 

similar to those for input capacity, 

because these two values are analogous 

to each other for electric pool heaters 

and gas-fired pool heaters, respectively. 

The May 2023 Pool Heaters Final Rule 

will require compliance with standards 

using the TEI metric; hence, DOE is also 

proposing to require certification of this 

value. The represented value for TEI

would be rounded to the nearest tenth 

of one percent for gas-fired pool heaters. 

However, in consideration of the 

comments from AHRI indicating that 

the level of precision does not need to 

be so stringent for electric pool heaters, 

DOE is proposing that the value for TEI

would be rounded to the nearest 1 

percent for electric pool heaters. Until 

compliance with new TEI standards is 

mandatory, manufacturers of gas-fired 

pool heaters must still ensure that these 


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products comply with the current TE 

standards at 10 CFR 430.32(k). 

Therefore, DOE is maintaining the 

requirement for certifying TE of gasfired pool heaters for products that must 

comply with TE standards. Reporting of 

TEI would become mandatory upon the 

compliance date of the energy 

conservation standards adopted in the 

May 2023 Pool Heaters Final Rule, May 

30, 2028, at which time manufacturers 

would no longer be required to report 

TE. 

DOE seeks comment on its proposal to 

require the reporting of input capacity, 

active electrical power, and integrated 

thermal efficiency. DOE also seeks 

comment on the proposed rounding 

requirements. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

pool heater certification reporting 

requirements with the energy 

conservation requirements that would 

be applicable to pool heaters, as 

finalized in the May 2023 Pool Heaters 

Final Rule. 

For gas-fired pool heaters, 

manufacturers currently report TE as a 

percentage and input capacity in Btu/h. 

As a result of the amended standards, 

manufacturers of gas-fired pool heaters 

would be required to report TEI as a 

percentage in lieu of TE when certifying 

compliance with the revised standards. 

For electric pool heaters, manufacturers 

are not currently required to submit 

certification reports as there are no 

applicable standards at this time. As a 

result of the amended standards, 

manufacturers of electric pool heaters 

would be required to report TEI as a 

percentage and active electrical power 

in Btu/h. 88 FR 34624, 34704. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers of gas-fired pool heaters 

because manufacturers of gas-fired pool 

heaters are already submitting 

certification reports to DOE and should 

have the information that DOE is 

proposing to collect as part of this 

rulemaking readily available. DOE does 

not believe the revised reporting 

requirements will cause any appreciable 

increase in any manufacturer’s reporting 

burden or hours compared to certifying 

under current gas-fired pool heater 

requirements. For electric pool heaters, 

manufacturers are not currently 

required to submit certification reports 

to DOE because electric pool heaters are 

not currently subject to any applicable 

energy conservation standards. Any 

manufacturer of electric pool heaters 

would be required to submit 

certification reports for electric pool 

heaters upon the compliance date of the 

amended energy conservation 

standards, May 30, 2028. 88 FR 34624, 

34704. Costs associated with the 

proposed updates to reporting 

requirements are discussed in section 

IV.C of this document. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for pool heaters. 

E. Dehumidifiers 

DOE is proposing to amend the 

reporting requirements for 

dehumidifiers, which DOE defines as 

products—other than portable air 

conditioners, room air conditioners, or 

packaged terminal air conditioners— 

that are self-contained, electrically 

operated, and mechanically encased 

assemblies consisting of (1) a 

refrigerated surface (evaporator) that 

condenses moisture from the 

atmosphere; (2) a refrigerating system, 

including an electric motor; (3) an aircirculating fan; and (4) a means for 

collecting or disposing of the 

condensate. 10 CFR 430.2. Use of 

appendix X1 to subpart B of 10 CFR part 

430 is currently required for any 

representations of energy use or 

efficiency of portable and whole-home 

dehumidifiers, including demonstrating 

compliance with the currently 

applicable energy conservation 

standards. Consequently, appendix X to 

subpart B of 10 CFR part 430 is obsolete 

for dehumidifiers manufactured on or 

after June 13, 2019. Therefore, DOE is 

proposing amendments to the remove 

the outdated appendix X reporting 

requirements, consistent with the 

proposed removal of appendix X in the 

test procedure NOPR published on June 

9, 2022 (‘‘June 2022 Dehumidifiers 

NOPR’’). 87 FR 35286, 35305. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.36, manufacturers must report: 

energy factor in liters per kilowatt hour 

(‘‘liters/kWh’’) and capacity in pints per 

day when certifying compliance with 

dehumidifiers tested in accordance with 

appendix X. 10 CFR 429.36(b)(2)(i). 

However, use of appendix X is no longer 

permitted for compliance because use of 

appendix X1 to subpart B of part 430 

(‘‘appendix X1’’) is required to 

demonstrate compliance with standards 

for products manufactured on or after 

June 13, 2019, and the June 2022 

Dehumidifiers NOPR proposed the 

removal of appendix X. 87 FR 35286, 

35305. DOE is proposing to remove the 

outdated appendix X certification 

requirements consistent with the 

proposed removal of appendix X in the 

June 2022 Dehumidifiers NOPR. 

DOE seeks comment on its proposal to 

remove the outdated appendix X 

certification requirements. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

dehumidifier certification reporting 

requirements with the appendix X1 test 

procedure requirements, use of which 

was required beginning on June 13, 

2019, by removing the appendix X 

requirements applicable to 

dehumidifiers manufactured prior to 

June 13, 2019. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because the only 

proposed amendments are the removal 

of outdated requirements. DOE is not 

proposing any amendments to the 

reporting requirements associated with 

appendix X1 and is proposing to remove 

certification requirements associated 

with a prior appendix. Therefore, DOE 

does not believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours 

compared to certifying under current 

dehumidifier requirements. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for 

dehumidifiers. 

F. External Power Supplies 

DOE is proposing to amend the 

reporting requirements for EPSs. DOE 

defines an EPS as an external power 

supply circuit that is used to convert 

household electric current into direct 

current or lower-voltage AC current to 

operate a consumer product. 10 CFR 

430.2. In the test procedure final rule 

published on August 19, 2022, DOE 

amended the appendix Z test procedure 

for EPSs. 87 FR 51200. Consistent with 

that final rule, DOE is proposing 

amendments to the reporting 

requirements. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.37(b)(2), manufacturers must 

report the following based on the 

external power supply type: 

For external power supplies, 

manufacturers currently report the 

average active mode efficiency as a 

percentage, no-load mode power 

consumption in watts, nameplate output 

power in watts, and, if missing from the 

nameplate, the output current in 

amperes of the basic model or the 

output current in amperes of the 

highest- and lowest-voltage models 

within the external power supply design 

family. 


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For switch-selectable single-voltage 

external power supplies, manufacturers 

currently report the average active mode 

efficiency as a percentage, no-load mode 

power consumption in watts using the 

lowest and highest selectable output 

voltages, nameplate output power in 

watts, and, if missing from the 

nameplate, the output current in 

amperes. 

For adaptive single-voltage external 

power supplies, manufacturers 

currently report the average active-mode 

efficiency as a percentage at the highest 

and lowest nameplate output voltages, 

no-load mode power consumption in 

watts, nameplate output power in watts 

at the lowest and highest nameplate 

output voltages, and, if missing from the 

nameplate, the output current in 

amperes at the lowest and highest 

nameplate output voltages. 

For external power supplies that are 

exempt from no-load mode 

requirements, manufacturers currently 

report a statement that the product is 

designed to be connected to a security 

or life safety alarm or surveillance 

system component, the average activemode efficiency as a percentage, the 

nameplate output power in watts, and if 

missing from the nameplate, the 

certification report must also include 

the output current in amperes of the 

basic model or the output current in 

amperes of the lowest- and highestvoltage models within the external 

power supply design family. 

Manufacturers of these exempt external 

power supplies are additionally 

required to report, if the aggregate total 

number of exempt EPSs sold as spare 

and service parts exceeds 1,000 units 

across all models: the importer or 

domestic manufacturer’s name and 

address, the brand name, and the 

number of units sold during the most 

recent 12-calendar-month period ending 

on July 31. 10 CFR 429.37(b)(3) and 10 

CFR 429.37(c). 

These requirements provide for 

certifying compliance with the energy 

conservation standards applicable to 

EPSs manufactured on or after February 

10, 2014. DOE is proposing to align the 

reporting requirements with the 

amended appendix Z test procedure, 

use of which was required beginning 

September 19, 2022, and proposing 

general certification requirements for 

EPSs. DOE discusses these proposed 

updates in the sections as follows. 

a. Output Cord Specifications 

DOE’s amended EPS test procedure 

requires that EPSs be tested with the 

output cord they are shipped with. For 

EPSs not shipped with an output cord, 

the EPS must be tested with a 

manufacturer’s recommended output 

cord. For EPSs not shipped with an 

output cord and for which the 

manufacturer does not recommend an 

output cord, the amendments specify 

that the EPS must be tested with a 3- 

foot-long output cord with a conductor 

thickness that is minimally sufficient to 

carry the maximum required current. 

See section 4(g) of appendix Z to 

subpart B of 10 CFR part 430. 

To better align the reporting 

requirements with the test procedure, 

DOE is proposing to add a reporting 

requirement of the included output cord 

specifications (gauge and length); for 

EPSs not shipped with an output cord, 

the specifications (gauge and length) for 

the manufacturer’s recommended 

output cord would be provided. For 

EPSs not shipped with an output cord 

and for which the manufacturer does 

not recommend an output cord, the 

gauge of the 3-foot-long output cord will 

be provided. 

DOE seeks comment on its proposal to 

require the reporting of output cord 

specifications for EPSs. 

b. Output Voltage 

In DOE’s current EPS test procedure 

and energy conservation standards, 

determining factors for EPS type and 

product class are the nature of the 

output voltage and its measured value. 

Output voltage type—(i.e. AC, DC, 

multiple voltage and/or adaptive) 

determines the applicable portion of the 

test procedure and the template that 

must be used for certification purposes. 

The measured value of the voltage 

determines whether the EPS falls within 

the basic or low voltage product class. 

To better align the reporting 

requirements with the test procedure 

and energy conservation standards for 

EPSs, DOE is proposing to add a 

reporting requirement for the measured 

output voltage for each port. 

DOE seeks comment on its proposal to 

require the reporting of measured 

output voltage for EPSs for each port. 

c. Additional Date Reporting 

Requirements for Exempt EPSs 

To further clarify the time period 

during which the exempt EPSs were 

sold, DOE is proposing to further 

require the manufacturer to report the 

applicable timeframe of which the 

number of exempt EPSs were sold. 

DOE seeks comment on its proposal to 

require manufacturers of exempt EPSs 

to report the year for which the sales 

number being reported represents. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

EPS certification reporting requirements 

with the revised appendix Z test 

procedure requirements, use of which 

was required beginning September 19, 

2022. 

For switch-selectable single-voltage 

external power supplies, manufacturers 

currently report the average active mode 

efficiency as a percentage, no-load mode 

power consumption in watts using the 

lowest and highest selectable output 

voltages, nameplate output power in 

watts, and, if missing from the 

nameplate, the output current in 

amperes, and would additionally report 

included or recommended output cord 

specifications and the measured output 

voltage at the lowest and highest 

selectable output voltages if the 

proposed amendments are adopted. 

For adaptive single-voltage external 

power supplies, manufacturers 

currently report the average active-mode 

efficiency as a percentage at the highest 

and lowest nameplate output voltages, 

no-load mode power consumption in 

watts, nameplate output power in watts 

at the lowest and highest nameplate 

output voltages, and, if missing from the 

nameplate, the output current in 

amperes at the lowest and highest 

nameplate output voltages, and would 

additionally report included or 

recommended output cord 

specifications and the measured output 

voltage at the lowest and highest 

nameplate output voltages if the 

proposed amendments are adopted. 

For external power supplies that are 

exempt from no-load mode 

requirements, manufacturers currently 

report a statement that the product is 

designed to be connected to a security 

or life safety alarm or surveillance 

system component, the average activemode efficiency as a percentage, the 

nameplate output power in watts, and if 

missing from the nameplate, the 

certification report must also include 

the output current in amperes of the 

basic model or the output current in 

amperes of the lowest- and highestvoltage models within the external 

power supply design family, and would 

additionally report included or 

recommended output cord 

specifications and the measured output 

voltage or the measured output voltage 

of the lowest and highest voltage models 

within the external power supply design 

family, and the timeframe of which 

these exempt EPSs were sold, if the 

proposed amendments are adopted. 

For all other external power supplies, 

manufacturers currently report the 

average active mode efficiency as a 

percentage, no-load mode power 

consumption in watts, nameplate output 

power in watts, and, if missing from the 

nameplate, the output current in 


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amperes of the basic model or the 

output current in amperes of the 

highest- and lowest-voltage models 

within the external power supply design 

family, and would additionally report 

included or recommended output cord 

specifications and the measured output 

voltage or the measured output voltage 

of the lower and highest voltage models 

within the external power supply design 

family if the proposed amendments are 

adopted. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

EPSs are already submitting certification 

reports to DOE and should have readily 

available the information that DOE is 

proposing to collect as part of this 

rulemaking. DOE does not believe the 

revised reporting requirements will 

cause any appreciable change in 

reporting burden or hours as compared 

to what EPS manufacturers are currently 

doing today. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for EPSs. 

G. Battery Chargers 

DOE is proposing to amend the 

reporting requirements for battery 

chargers, which DOE defines as devices 

that charge batteries for consumer 

products, including battery chargers 

embedded in other consumer products. 

10 CFR 430.2. In the test procedure final 

rule published on September 8, 2022 

(‘‘September 2022 Battery Charger Final 

Rule’’), DOE amended the scope of 

coverage and test procedure provisions 

for battery chargers. 87 FR 55090. On 

March 15, 2023, DOE published an 

energy conservation standards NOPR for 

battery chargers that was developed 

based on the amended test procedure. 

88 FR 16112. Consistent with the test 

procedure final rule and the energy 

conservation standards NOPR, DOE is 

proposing to reorganize current 

reporting requirements and add new 

reporting requirements that would 

become mandatory upon the 

compliance date of any future amended 

energy conservation standards for 

battery chargers. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.39, manufacturers must report: 

(1) the nameplate battery voltage of the 

test battery in volts, the nameplate 

battery charge capacity of the test 

battery in ampere-hours, and the 

nameplate battery energy capacity of the 

test battery in watt-hours; and (2) the 

represented values for the maintenance 

mode power (Pm), standby mode power 

(Psb), off mode power (Poff), battery 

discharge energy (Ebatt), 24-hour energy 

consumption (E24), duration of the 

charge and maintenance mode test (tcd), 

and unit energy consumption (UEC); 

and (3) the manufacturer and model of 

the test battery, and the manufacturer 

and model, when applicable, of the 

external power supply. 10 CFR 429.39. 

These requirements provide for 

certifying compliance with the energy 

conservation standards applicable to 

battery chargers manufactured on or 

after June 13, 2018. DOE is proposing to 

reorganize these requirements and align 

the reporting requirements with the 

amended test procedure at appendix Y 

to subpart B of part 430 (‘‘appendix Y’’), 

use of which was required beginning on 

March 7, 2023. DOE is also proposing 

new reporting requirements to the 

certification requirements for battery 

chargers tested under appendix Y1 to 

subpart B of part 430 (‘‘appendix Y1’’), 

use of which would be required upon 

the compliance date of any future 

amended energy conservation standards 

for battery chargers. DOE discusses 

these proposed appendix Y1 updates in 

the sections as follows. 

a. Reporting Requirements for Battery 

Chargers Tested Under Appendix Y1 

In the September 2022 Battery 

Charger Final Rule, DOE established a 

new appendix Y1 for the multi-metric 

testing approach for battery chargers. 

Under the new multi-metric testing 

approach, instead of computing and 

reporting the UEC value, which captures 

the performance of a battery charger in 

all modes of operation into a single 

metric, manufacturers are required to 

calculate and report the battery charger 

energy and power values for each mode 

of operation separately. These modes 

consist of active charge mode, standby 

mode, and off mode. 87 FR 55090, 

55100–55105. 

DOE is proposing to update the 

battery charger reporting requirements 

in 10 CFR 429.39 to align with the new 

multi-metric test procedure by (1) 

removing the UEC reporting 

requirement for both wired and fixedlocation wireless battery chargers tested 

under appendix Y1, and (2) adding 

reporting requirements for active charge 

energy Ea and no-battery mode power 

Pnb. Additionally, DOE is proposing to 

include active charge energy Ea (as 

measured in accordance with appendix 

Y1) as an optional reporting 

requirement when certifying 

compliance with the existing appendix 

Y requirements to assist DOE in 

gathering data for any future amended 

energy conservation standards. Whether 

manufacturers choose to report this 

proposed optional information would 

have no impact on the validity of 

representations made when certifying 

compliance with appendix Y or the 

current energy conservation standards. 

DOE seeks comment on the proposed 

updates to reporting requirements for 

wired and fixed-location wireless 

battery chargers tested under appendix 

Y1. 

b. Reporting Requirements for OpenPlacement Wireless Battery Chargers 

Tested Under Appendix Y1 

In the September 2022 Battery 

Charger Final Rule, DOE also expanded 

the battery charger testing scope to 

include testing of fixed-location 

wireless chargers in all modes of 

operation and testing of open-placement 

wireless chargers in no-battery mode 

only. 87 FR 55090, 55095–55098. 

Under the current appendix Y test 

procedure, all modes of operation 

would need to be tested for battery 

chargers covered under the test 

procedure scope. As such, there was no 

need to differentiate the reporting 

requirements for wired vs. wireless 

chargers. However, under appendix Y1, 

open-placement wireless chargers will 

only need to be tested in the no-battery 

mode of operation. Accordingly, DOE is 

proposing to further specify that for 

open-placement wireless chargers, only 

the no-battery mode power, Pnb, would 

need to be reported. 

DOE seeks comment on the proposal 

to further specify the reporting 

requirements for open-placement 

wireless battery chargers tested under 

appendix Y1. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

battery charger certification reporting 

requirements with the amended 

appendix Y test procedural 

requirements, use of which was 

required beginning on October 11, 2022, 

and the newly established appendix Y1 

test procedure, use of which would be 

required at such time as compliance is 

required with any amended energy 

conservation standards based on these 

new metrics as measured using 

appendix Y1. 

For wired chargers tested under 

current appendix Y, manufacturers 

currently report (1) the nameplate 

battery voltage of the test battery in 

volts, the nameplate battery charge 

capacity of the test battery in amperehours, and the nameplate battery energy 

capacity of the test battery in watthours; and (2) the represented values for 

the Pm, Psb, Poff, Ebatt, E24, tcd, and UEC; 

and (3) the manufacturer and model of 

the test battery, and the manufacturer 


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and model, when applicable, of the 

external power supply. If the proposed 

amendments are adopted, when tested 

under appendix Y1, instead of reporting 

UEC and E24 values, manufacturers 

would report the active charge energy 

(Ea). Manufacturers would additionally 

report no-battery mode power, Pnb. 

For fixed-location wireless chargers 

tested under appendix Y1, 

manufacturers would need to report (1) 

the nameplate battery voltage of the test 

battery in volts, the nameplate battery 

charge capacity of the test battery in 

ampere-hours, and the nameplate 

battery energy capacity of the test 

battery in watt-hours; and (2) the 

represented values for the Pm, Pnb, Psb, 

Poff, Ebatt, Ea, and duration of the charge 

and tcd; and (3) the manufacturer and 

model of the test battery, and the 

manufacturer and model—when 

applicable—of the external power 

supply, if the proposed amendments are 

adopted. 

For open-placement wireless chargers 

tested under appendix Y1, 

manufacturers would need to report the 

represented values for Pnb, and the 

manufacturer and model, when 

applicable, of the external power 

supply, if the proposed amendments are 

adopted. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

battery chargers are already submitting 

certification reports to DOE and the 

additional information that DOE is 

proposing to collect as part of this 

rulemaking should be readily available 

to manufacturers and would not require 

additional testing. DOE does not believe 

the revised reporting requirements will 

cause any appreciable change in 

reporting burden or hours as compared 

to what battery charger manufacturers 

are currently doing today. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for battery 

chargers. 

H. Computer Room Air Conditioners 

DOE is proposing to amend the 

reporting requirements for CRACs. DOE 

defines ‘‘computer room air 

conditioner’’ as a basic model of 

commercial package air-conditioning 

and heating equipment (packaged or 

split) that is: used in computer rooms, 

data processing rooms, or other 

information technology cooling 

applications; rated for sensible 

coefficient of performance (SCOP) and 

tested in accordance with 10 CFR 

431.96; and is not a covered consumer 

product under 42 U.S.C. 6291(1)–(2) and 

42 U.S.C. 6292. A CRAC may be 

provided with, or have as available 

options, an integrated humidifier, 

temperature and/or humidity control of 

the supplied air, and reheating function. 

10 CFR 431.92. In the energy 

conservation standards final rule 

published in the Federal Register on 

June 2, 2023 (June 2023 CRACs final 

rule), DOE amended the energy 

conservation standards for CRACs and 

adopted the net sensible coefficient of 

performance (NSenCOP) metric. 88 FR 

36392. Consistent with the June 2023 

CRACs final rule, DOE is proposing 

amendments to the reporting 

requirements for CRACs. 

1. Reporting 

Under the existing reporting 

requirements for CRACs in 10 CFR 

429.43(b)(2)(ix), manufacturers must 

report: net sensible cooling capacity in 

Btu/h, net cooling capacity in Btu/h, 

configuration (upflow/downflow), 

economizer presence (or lack thereof), 

condenser medium (air, water, or glycolcooled), SCOP, and rated airflow in 

standard cubic feet per minute (SCFM). 

These requirements provide for 

certifying compliance with the 

standards applicable to CRACs 

manufactured on or after October 29, 

2012, for units of capacity less than 

65,000 Btu/hr. and October 29, 2013, for 

the remainder of covered CRACs. DOE 

is proposing to update these 

requirements and align the reporting 

requirements with the energy 

conservation standards in the June 2023 

CRACs final rule. DOE is also proposing 

other general certification requirements 

for CRACs to better ascertain applicable 

standards and represented values, 

including whether the basic model is 

split system or single-package, unit 

configuration, and refrigerant utilized. 

DOE discusses these proposed updates 

in the sections as follows. 

a. Revising Certification Reporting 

Requirements at 10 CFR 429.43(b)(2)(ix) 

When Certifying With NSenCOP 

Standards 

Manufacturers are currently required 

to certify compliance with SCOP 

standards, in addition to the other 

equipment-specific reporting 

requirements. In this NOPR, DOE is 

proposing to amend the certification 

requirements to allow certifying 

compliance with NSenCOP standards 

and related equipment-specific 

reporting requirements. Specifically, 

DOE proposes to place the existing 

reporting requirements for SCOP 

standards in new 10 CFR 

429.43(b)(2)(ix)(A), and to place the new 

reporting requirements for NSenCOP 

standards in new 10 CFR 

429.43(b)(2)(ix)(B). The NSenCOP 

standard reporting requirements include 

the net sensible cooling capacity in Btu/ 

h, the net total cooling capacity in Btu/ 

h, whether the basic model is split 

system or single-package, the 

configuration (e.g., downflow, upflow 

ducted, upflow non-ducted, horizontal 

flow, ceiling-mounted ducted, ceilingmounted non-ducted), fluid economizer 

presence (or lack thereof), condenser 

heat rejection medium (air, water, or 

glycol-cooled), NSenCOP, rated airflow 

in SCFM, and the refrigerant used to 

determine the represented values at 10 

CFR 429.43(b)(2)(ix). 

DOE seeks comment on its proposal to 

require the reporting of net sensible 

cooling capacity in Btu/h, the net total 

cooling capacity in Btu/h, whether the 

basic model is split system or singlepackage, the configuration (e.g., 

downflow, upflow ducted, upflow nonducted, horizontal flow, ceilingmounted ducted, ceiling-mounted nonducted), fluid economizer presence (or 

lack thereof), condenser heat rejection 

medium (air, water, or glycol-cooled), 

NSenCOP, rated airflow in SCFM, and 

the refrigerant used to determine the 

represented values. 

b. Adding Supplemental Testing 

Instructions for CRACs at 10 CFR 

429.43(b)(4)(viii) 

Currently, manufacturers must submit 

supplemental information regarding 

additional testing instructions, if 

applicable, and specify which special 

features, if any, were included in rating 

the basic model. 10 CRF 

429.43(b)(4)(viii). The supplemental 

information submitted in PDF format 

allows for third-party testing of 

equipment. For CRACs, there are 

currently no specific requirements for 

the supplemental PDF. For SCOP 

certification, DOE proposes to maintain 

the current requirements of 10 CFR 

429.43(b)(4)(viii), but move them to 10 

CFR 429.43(b)(4)(viii)(A). For NSenCOP 

certification, DOE proposes to specify 

the information required in 

supplemental testing instructions that 

would enable independent testing of the 

relevant equipment and to align with 

the corresponding requirements for 

CUACs, where appropriate. This 

includes, but is not limited to 

supplementary information about 

compressor break-in period duration, 

control set points, optional motor/drive 

kits and associated settings, and any 

other additional testing instructions. 

DOE proposes to add these new 

provisions when certifying to NSenCOP 

in 10 CFR 429.43(b)(4)(viii)(B). 


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14 DOE defines ‘‘unitary dedicated outdoor air 

system’’ as a category of small, large, or very large 

commercial package air-conditioning and heating 

equipment that is capable of providing ventilation 

and conditioning of 100-percent outdoor air and is 

marketed in materials (including but not limited to, 

specification sheets, insert sheets, and online 

materials) as having such capability. 

15 In the November 2022 DX–DOAS Final Rule, 

DOE adopted a requirement in 10 CFR 

429.43(a)(3)(i) that the represented value of 

moisture removal capacity (‘‘MRC’’) be either 

between 95 and 100 percent of the mean of the 

measured capacities of the units in the selected 

sample rounded to the nearest lb/hr multiple 

according to Table 3 of AHRI 920–2020 or the MRC 

output simulated by an AEDM rounded to the 

nearest lb/hr multiple according to Table 3 of AHRI 

920–2020. DOE is adopting these provisions. 87 FR 

65658, 65667. 

16Certification and compliance with both the 

applicable ISCOP2 and ISMRE2 standards is 

required for the air-source heat pump and watersource heat pump DX–DOAS equipment classes. 

The proposed certification 

requirements provide further direction 

to the existing requirements and would 

not result in significant additional 

burden for manufacturers. Where DOE 

identifies specific test-related 

information, the relevant information is 

already collected by or available to the 

manufacturer, and as such, reporting 

that information to DOE would result in 

minimal additional burden. 

DOE seeks comment on its proposed 

supplemental testing instructions 

requirements for CRACs when certifying 

compliance with NSenCOP standards. 

c. Certification of Model Numbers for 

Split Systems 

DOE’s current certification reporting 

requirements for CRACs at 10 CFR 

429.43(b)(2)(ix) do not specify the 

model numbers that the manufacturer 

must certify. Specifically, for split 

systems, the current regulations do not 

explicitly require certification of both 

the outdoor and indoor unit model 

numbers. Therefore, DOE is proposing 

at 10 CFR 429.43(b)(6) to clarify that the 

manufacturer must certify individual 

model numbers for both the indoor unit 

and the outdoor unit. 

DOE seeks comment on its proposal to 

require the reporting of both indoor unit 

and outdoor unit individual model 

numbers for split-system CRACs. 

d. AEDM Tolerance for NSenCOP 

DOE’s existing testing regulations 

allow the use of an alternative efficiency 

determination method (AEDM), in lieu 

of testing, to simulate the efficiency of 

CRACs. 10 CFR 429.43(a). For models 

certified with an AEDM, results from 

DOE verification tests are subject to 

certain tolerances when compared to 

certified ratings. Currently, DOE 

specifies a 5-percent tolerance for CRAC 

verification tests for SCOP, identical to 

the current tolerance specified for 

single-point metrics (i.e., EER and COP) 

for other categories of commercial air 

conditioners and heat pumps. See table 

2 to paragraph (c)(5)(vi)(B) at 10 CFR 

429.70. In alignment with the tolerance 

specified for SCOP, DOE is proposing to 

specify a tolerance of 5 percent for 

CRAC verification tests for NSenCOP. 

DOE seeks comment on its proposal to 

specify a tolerance of 5 percent for 

CRAC verification tests for NSenCOP. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

CRAC certification reporting 

requirements with the amended energy 

conservation standards in the June 2023 

CRACs Final Rule. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

CRACs are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 

compared to what CRACs manufacturers 

are currently doing. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for CRACs. 

I. Direct Expansion-Dedicated Outdoor 

Air Systems 

DOE is proposing to establish 

reporting requirements for DX–DOASes. 

DOE defines ‘‘direct expansiondedicated outdoor air system’’ as a basic 

model of commercial package airconditioning and heating equipment 

(packaged or split) that is a unitary 

dedicated outdoor air system 14 that is 

capable of dehumidifying air to a 55 °F 

dew point—when operating under 

Standard Rating Condition A as 

specified in Table 4 or Table 5 of AHRI 

(I–P)-2020, ‘‘Performance Rating of DX– 

Dedicated Outdoor Air System Units’’ 

(‘‘AHRI 920–2020’’) with a barometric 

pressure of 29.92 in Hg—for any part of 

the range of airflow rates advertised in 

manufacturer materials, and has a 

moisture removal capacity of less than 

324 pounds per hour (‘‘lb/h’’). 10 CFR 

431.92. In the DX–DOAS energy 

conservation standards final rule 

published on November 1, 2022 

(‘‘November 2022 DX–DOAS Final 

Rule’’), DOE adopted energy 

conservation standards for DX–DOASes. 

87 FR 65651. Consistent with that final 

rule, DOE is proposing to establish 

reporting requirements for DX–DOASes. 

1. Reporting 

Prior to the adoption of energy 

conservation standards in the November 

2022 DX–DOAS Final Rule, there were 

no energy conservation standards for 

DX–DOASes in 10 CFR 431.97, nor were 

there reporting requirements for this 

equipment in 10 CFR 429.43.15 Because 

DOE has now adopted energy 

conservation standards for DX–DOASes, 

DOE is proposing to establish reporting 

requirements in alignment with the 

standards adopted in the November 

2022 DX–DOAS Final Rule. DOE 

discusses these proposals in the 

following sections. 

a. Addition of Certification 

Requirements To Include the New 

Metrics, ISMRE2 and ISCOP2 

In this NOPR, DOE is proposing 

certification requirements for certifying 

compliance with the new energy 

conservation standards for DX–DOAS, 

expressed in integrated seasonal 

moisture removal efficiency 2 

(‘‘ISMRE2’’) and integrated seasonal 

coefficient of performance 2 

(‘‘ISCOP2’’), as adopted in the 

November 2022 DX–DOAS Final Rule. 

Specifically, DOE proposes to add new 

10 CFR 429.43(b)(2)(xi)(A) and require 

the following when certifying 

compliance with an ISMRE2 standard: 

the ISMRE2 in lb/kWh, the rated 

moisture removal capacity at Standard 

Rating Condition A according to AHRI 

920–2020 (incorporated by reference; 

see 10 CFR 429.4) (MRC in lb/h), and 

the rated supply airflow rate for 100 

percent outdoor air applications (QSA in 

standard cubic feet per minute). The 

moisture removal capacity is used for 

certifying compliance and the rated 

supply airflow rate must be specified to 

determine how to test a basic model 

according to the DOE test procedure at 

appendix B to subpart F of 10 CFR part 

431. 

Additionally, DOE proposes to require 

the following at 10 CFR 

429.43(b)(2)(xi)(B) when certifying 

compliance with an ISCOP2 standard in 

addition to an ISMRE2 standard 16: the 

ISCOP2 in watts of heating per watts of 

power input (‘‘W/W’’). 

DOE proposes to include these 

certification provisions for DX–DOASes 

in 10 CFR 429.43(b), consistent with 

other commercial HVAC equipment. As 

a result, the general requirements 

applicable to certification reports 

outlined in 10 CFR 429.12 would apply 

to DX–DOASes, as currently outlined in 

the existing reporting requirements for 

commercial HVAC equipment. 10 CFR 

429.43(b)(1). 


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DOE seeks comment on requiring the 

reporting of ISMRE2 and ISCOP2 to 

certify compliance with the standards 

applicable to DX–DOASes 

manufactured on or after May 1, 2024. 

DOE also seeks comment on reporting 

rated moisture removal capacity and 

rated supply airflow rate. 

b. Reporting Requirements for DX– 

DOASes With Ventilation Energy 

Recovery Systems 

In the November 2022 DX–DOAS 

Final Rule, DOE adopted productspecific enforcement provisions for DX– 

DOASes in 10 CFR 429.134(s) in 

addition to the revised energy 

conservation standards. These 

enforcement provisions specify how 

DOE would determine the ISMRE2 and 

ISCOP2 values when conducting 

enforcement testing for DX–DOASes 

with Ventilation Energy Recovery 

Systems (‘‘VERS’’). As outlined in 

§ 429.134(s)(2)–(3), these provisions rely 

on values of VERS performance certified 

to DOE as the basis for determining the 

ISMRE2 and/or ISCOP2 of the basic 

model being tested in some scenarios. 

To inform DOE’s enforcement testing, 

DOE is proposing additional non-public 

certification reporting requirements for 

DX–DOASes with VERS in new 

subparagraph 10 CFR 429.43(b)(3)(iii). 

These reporting requirements include 

the method of determination of the 

exhaust air transfer ratio (‘‘EATR’’), 

sensible effectiveness, latent 

effectiveness of the ventilation energy 

recovery system (name and version of 

certified performance modeling software 

or if the device was directly tested), the 

test method (i.e., Option 1 or Option 2) 

for units rated based on testing, and 

motor control settings (including 

rotational speed) for energy recovery 

wheels—all of which would be used by 

DOE to determine ISMRE2 and/or 

ISCOP2 for enforcement testing and 

would be considered non-public 

information if adopted. 

DOE seeks comment on its proposal to 

include reporting requirements for DX– 

DOASes with ventilation energy 

recovery systems. 

c. Supplemental Testing Instructions 

Currently, manufacturers of other 

covered commercial HVAC equipment 

types must submit in PDF format 

supplemental information regarding 

additional testing instructions, if 

applicable, and they must also specify 

which, if any, special features were 

included in rating the basic model. 10 

CFR 429.43(b)(4). The supplemental 

information submitted in PDF format 

allows for third-party testing of 

equipment. Consistent with other 

commercial HVAC equipment types, 

DOE proposes to specify information 

required in supplemental testing 

instructions submitted in PDF format for 

DX–DOASes to enable independent 

testing of the relevant equipment and to 

align with the corresponding 

requirements for CUACs, where 

appropriate. 

Specifically, for all DX–DOASes, DOE 

is proposing the following content 

requirements for the supplemental 

instructions PDF attachment: water flow 

rate in gallons per minute (‘‘gpm’’) for 

water-cooled and water-source units, 

rated external static pressure (‘‘ESP’’) in 

inches of water column for the supply 

air stream, frequency or control set 

points for variable speed components 

(e.g., compressors, Variable Frequency 

Drives (‘‘VFDs’’)), required dip switch/ 

control settings for step or variable 

components (e.g., reheat or head 

pressure control valves), a statement as 

to whether the model will operate at test 

conditions without manufacturer 

programming, and any additional 

testing instructions specified in AHRI 

920–2020, if applicable (e.g., supply air 

dry bulb temperatures for ISMRE2 tests, 

equipment settings for airflow, 

installation priority for split-system 

units, defrost control settings for airsource heat pump units, compressor 

break-in period, or condenser head 

pressure controls). Additionally, if a 

variety of motors/drive kits are offered 

for sale as options in the basic model to 

account for varying installation 

requirements, DOE is proposing that the 

supplemental file also include the 

model number, the specifications of the 

motor (including 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. 

For DX–DOASes with VERS, DOE is 

proposing the following additional 

content requirements for the 

supplemental instruction PDF 

attachment: rated ESP in inches of water 

column for the return air stream, 

exhaust air transfer ratio at the rated 

supply airflow rate and a neutral 

pressure difference between return and 

supply airflow (EATR as a percent 

value), sensible and latent effectiveness 

of the ventilation energy recovery 

system at 75 percent of the nominal 

supply airflow and zero pressure 

differential, sensible and latent 

effectiveness of the ventilation energy 

recovery system at 100 percent of the 

nominal supply airflow and zero 

pressure differential, and any additional 

testing instructions, if applicable (e.g., 

deactivation of VERS or VERS bypass in 

accordance with section 5.4.3 of AHRI 

920–2020). 

DOE seeks comment on its proposal to 

require supplemental testing instruction 

file contents for DX–DOASes. 

2. Reporting Costs and Impacts 

The addition of reporting 

requirements for DX–DOASes would 

newly require manufacturers to report 

this information. DOE discusses 

reporting cost impacts corresponding to 

this proposal in section IV.C of this 

document. 

DOE requests comment on its 

proposal to add new reporting 

requirements for DX–DOASes. 

J. Air Cooled, Three-Phase, Small 

Commercial Air Conditioners and Heat 

Pumps With a Cooling Capacity of Less 

Than 65,000 Btu/h and Air-Cooled, 

Three-Phase, Variable Refrigerant Flow 

Air Conditioners and Heat Pumps With 

a Cooling Capacity of Less Than 65,000 

Btu/h 

DOE is proposing to amend the 

reporting requirements for three-phase, 

less than 65,000 Btu/h ACUACs and 

ACUHPs and three-phase, less than 

65,000 Btu/h VRF. Three-phase, less 

than 65,000 Btu/h ACUACs and 

ACUHPs and three-phase, less than 

65,000 Btu/h VRF are both categories of 

small commercial package air 

conditioning and heating equipment. 

Commercial package air-conditioning 

and heating equipment may be air 

cooled, water cooled, evaporatively 

cooled, or water source based (not 

including ground water source). This 

equipment is electrically operated and 

designed as unitary central air 

conditioners or central air conditioning 

heat pumps for use in commercial 

applications. 10 CFR 431.92. 

In the energy conservation standards 

(‘‘ECS’’) final rule published in the 

Federal Register on June 2, 2023 (‘‘June 

2023 3-Phase Final Rule’’), DOE 

amended energy conservation standards 

for three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase, 

less than 65,000 Btu/h VRF to be in 

terms of the new cooling and heating 

metrics, SEER2 and HSPF2, 

respectively, as determined by using the 

new test procedure at appendix F1 to 

subpart F of 10 CFR part 431. 88 FR 

36368. Consistent with that final rule, 

DOE is proposing amendments to the 

reporting requirements for three-phase, 

less than 65,000 Btu/h ACUACs and 

ACUHPs and three-phase, less than 

65,000 Btu/h VRF. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.67(f)(2)(i) and (ii) for threeVerDate Sep<11>2014 22:19 Sep 28, 2023 Jkt 259001 PO 00000 Frm 00020 Fmt 4701 Sfmt 4702 E:\FR\FM\29SEP2.SGM 29SEP2

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phase, less than 65,000 Btu/h ACUACs 

and ACUHPs, manufacturers must 

report the seasonal energy efficiency 

ratio (‘‘SEER’’) in British thermal units 

per Watt-hour (‘‘Btu/Wh’’), the rated 

cooling capacity in Btu/h, and (for heat 

pumps) the heating seasonal 

performance factor (‘‘HSPF’’) in Btu/ 

Wh. 

Under the existing requirements in 10 

CFR 429.67(f)(2)(iii) and (iv) for threephase, less than 65,000 Btu/h VRF, 

manufacturers must report the SEER in 

Btu/Wh, rated cooling capacity in Btu/ 

h, and (for heat pumps) the HSPF in 

Btu/Wh. 

These requirements provide for 

certifying compliance with the 

standards applicable to three-phase, less 

than 65,000 Btu/h ACUACs and 

ACUHPs manufactured on or after 

January 1, 2017, and the standards 

applicable to three-phase, less than 

65,000 Btu/h VRF manufactured on or 

after June 16, 2008. 88 FR 36368, 36389. 

DOE is proposing to update these 

reporting requirements to align with the 

amended standards adopted by the June 

2023 3-Phase Final Rule that apply to 

three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase, 

less than 65,000 Btu/h VRF 

manufactured on or after January 1, 

2025. 88 FR 36368, 36389. Additionally, 

DOE is proposing general certification 

requirements for three-phase, less than 

65,000 Btu/h ACUACs and ACUHPs and 

three-phase, less than 65,000 Btu/h 

VRF. DOE discusses these proposed 

updates in the sections as follows. 

a. Updating the Certification 

Requirements To Include the New 

Metrics, SEER2 and HSPF2 

In the June 2023 3-Phase Final Rule, 

DOE amended energy conservation 

standards for three-phase, less than 

65,000 Btu/h ACUACs and ACUHPs and 

three-phase, less than 65,000 Btu/h VRF 

to be in terms of the new cooling and 

heating metrics, SEER2 and HSPF2. Id. 

Accordingly, in this document, DOE is 

proposing to update the certification 

requirements at 10 CFR 429.67(f)(2) to 

include ratings in terms of SEER2 and 

HSPF2, which will become the required 

reporting metrics upon the compliance 

date of the amended standards. 

Manufacturers may use appendix F1 to 

certify compliance with the amended 

standards based on SEER2 and HSPF2 

prior to the applicable compliance date 

for the amended energy conservation 

standards. 

DOE seeks comment on its proposal to 

require the reporting of new metrics, 

such as SEER2 and HSPF2. 

b. Aligning Basic Model Number and 

Individual Model Number(s) Reporting 

Requirements With Single-Phase 

Products 

DOE proposes to include additional 

instructions regarding the basic model 

number and individual model 

number(s) required to be reported under 

10 CFR 429.12(b)(6); this proposal is 

consistent with the requirement for 

single-phase products and represents 

readily available information to the 

manufacturer regarding the 

requirements for three-phase 

equipment. 

Specifically, DOE would require in 

new subparagraph 10 CFR 429.67(f)(4) 

that the basic model number and 

individual model number(s) reported 

under 10 CFR 429.12(b)(6) consist of the 

following: 

Equipment type Basic model 

number 

Individual model number(s) 

1 2 3 

Single-Package (including Space-Constrained).Number unique to 

the basic model.

Package ................ N/A ....................................................... N/A. 

Single-Split System (including SpaceConstrained and SDHV).Number unique to 

the basic model.

Outdoor Unit ......... Indoor Unit ........................................... If applicable—Air Mover (could be 

same as indoor unit if fan is part of 

indoor unit model number). 

Multi-Split, Multi-Circuit, and Multi-Head 

Mini-Split System (including SpaceConstrained and SDHV).

Number unique to 

the basic model.

Outdoor Unit ......... When certifying a basic model based 

on tested combination(s): * * * 

When certifying an individual combination: Each indoor units paired 

with the outdoor unit.

If applicable—When certifying a basic 

model based on tested combination(s): * * *. When certifying an individual combination: Each air movers paired with the outdoor unit. 

Outdoor Unit with No Match ................. Number unique to 

the basic model.

Outdoor Unit ......... N/A ....................................................... N/A. 

c. Outdoor Units With No Match 

For three-phase, less than 65,000 Btu/ 

h ACUACs and ACUHPs with outdoor 

units having no matching indoor 

component, DOE proposes requiring 

that in addition to any supplemental 

testing instructions used to satisfy the 

existing requirement in 10 CFR 

429.67(f)(3), supplemental testing 

instructions also include any additional 

testing and testing set up instructions 

necessary to operate the basic model 

under the required conditions specified 

by the test procedure. Specifically, 

manufacturers must provide 

information regarding the following 

characteristics of the indoor coil: the 

face area, the coil depth in the direction 

of airflow, the fin density (fins per 

inch), the fin material, the fin style, the 

tube diameter, the tube material, and the 

numbers of tubes high and deep. This 

proposed requirement would be 

consistent with the 10 CFR 429.16 

requirement for single-phase products, 

as well as with the test requirements in 

the 2019 edition of American Society of 

Heating, Refrigerating and AirConditioning Engineers (‘‘ASHRAE’’) 

Standard 90.1 ‘‘Energy Standard for 

Buildings Except Low-Rise Residential 

Buildings’’ (‘‘ASHRAE 90.1–2019’’), 

which, in turn, references ANSI/AHRI 

210/240, ‘‘2023 Standard for 

Performance Rating of Unitary Airconditioning & Air-source Heat Pump 

Equipment’’ (‘‘AHRI 210/240–2023’’). 

Therefore, this information should be 

readily available to manufacturers and 

will not add manufacturer burden. 

d. Sampling Corrections 

Currently, DOE’s sampling provisions 

for three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase, 

less than 65,000 Btu/h VRF state that 

any represented value of cooling 

capacity and heating capacity must each 

be a self-declared value that is less than 

or equal to the lower of the mean of the 

sample, or the lower 90 percent 

confidence limit of the true mean 

(‘‘LCL’’) divided by 0.95. 10 CFR 

429.67(c)(2)(ii)(A)(2). The sampling 

provisions also state that the LCL 

should be calculated using the Student’s 

t-Distribution Values for a 90 percent 

one-tailed confidence interval with n-1 

degrees of freedom from appendix D to 

subpart B of part 429, where ‘‘n’’ is the 

number of samples. Id. However, the 

appendix containing Student’s tDistribution Values has moved to 

appendix A to subpart B of part 429 

(‘‘appendix A’’). To correct this 

discrepancy, DOE is proposing to revise 

10 CFR 429.67(c)(2)(ii)(A)(2) to specify 

that the LCL should be calculated using 


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17The annual certification report filings for 

commercial water heating equipment are due on 

May 1. See 10 CFR 429.12. 

the Student’s t-Distribution Values for a 

90 percent one-tailed confidence 

interval outlined in appendix A. 

DOE seeks comment on its proposal to 

correct the sampling provisions for 

three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase, 

less than 65,000 Btu/h VRF to reference 

appendix A. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

the three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase, 

less than 65,000 Btu/h VRF certification 

reporting requirements with the 

amended standards adopted by the June 

2023 3-Phase Final Rule that apply to 

products manufactured on or after 

January 1, 2025. 88 FR 36368. 

For three-phase, less than 65,000 Btu/ 

h ACUACs and three-phase, less than 

65,000 Btu/h VRF air conditioners, 

manufacturers currently report SEER in 

Btu/Wh and rated cooling capacity in 

Btu/h, but would report SEER2 in Btu/ 

Wh in lieu of SEER to conform with the 

amended standards. For three-phase, 

less than 65,000 Btu/h ACUHPs and 

three-phase, less than 65,000 Btu/h VRF 

heat pumps, manufacturers currently 

report SEER in Btu/Wh, HSPF in Btu/ 

Wh, and rated cooling capacity in Btu/ 

h, but would be required to report 

SEER2 in Btu/Wh and HSPF2 in Btu/ 

Wh in lieu of SEER and HSPF to 

conform with the amended standards. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs and three-phase, 

less than 65,000 Btu/h VRF are already 

submitting certification reports to DOE 

and should have readily available the 

information that DOE is proposing to 

collect as part of this rulemaking. DOE 

does not believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 

compared to what three-phase, less than 

65,000 Btu/h ACUACs and ACUHPs and 

three-phase, less than 65,000 Btu/h VRF 

manufacturers are doing currently. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for three-phase, 

less than 65,000 Btu/h ACUACs and 

ACUHPs and three-phase, less than 

65,000 Btu/h VRF. 

K. Commercial Water Heating 

Equipment 

DOE is proposing to amend the 

reporting requirements for commercial 

water heating equipment. EPCA 

prescribes energy conservation 

standards for several classes of CWH 

equipment manufactured on or after 

January 1, 1994. (42 U.S.C. 6313(a)(5)) 

DOE codified these standards in its 

regulations for CWH equipment at 10 

CFR 431.110. However, when codifying 

these standards from EPCA, DOE 

inadvertently omitted the standards put 

in place by EPCA for electric 

instantaneous water heaters, which are 

instantaneous water heaters with a rated 

input both greater than 12 kW and not 

less than 4,000 Btu/h per gallon of 

stored water (see 10 CFR 431.102). 

Therefore, in a NOPR published on May 

19, 2022 (‘‘May 2022 CWH NOPR’’), 

DOE proposed to codify these standards 

in its regulations at 10 CFR 431.110. 87 

FR 30610, 30622. 

DOE is proposing to establish 

reporting requirements for commercial 

electric instantaneous water heaters 

(except for residential-duty commercial 

electric instantaneous water heaters for 

which certification is already addressed 

in 10 CFR 429.44), consistent with the 

May 2022 CWH NOPR. 

Additionally, DOE is proposing to add 

reporting requirements for commercial 

electric storage water heaters to ensure 

that the input rating of all certified 

models exceeds the 12 kW threshold 

that is part of the definition of electric 

storage water heaters at 10 CFR 431.102. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.44, manufacturer certification 

reports for commercial water heating 

equipment are not required to include 

information about electric instantaneous 

water heaters. 10 CFR 429.44(c)(2). 

Therefore, for commercial electric 

instantaneous water heaters of all 

storage volumes (except for residentialduty commercial electric instantaneous 

water heaters), DOE is proposing to add 

certification requirements for thermal 

efficiency, storage volume, rated input, 

and whether the storage volume is 

determined using a weight-based test (in 

accordance with 10 CFR 431.106) or the 

calculation-based method (in 

accordance with 10 CFR 429.72(e), as 

discussed in the following paragraph). 

For electric instantaneous water heaters 

with storage volume greater than or 

equal to 10 gallons (and thus subject to 

a standby loss standard), DOE is also 

proposing to require that the following 

information be certified to ensure 

compliance with standby loss standards 

and to enable DOE to understand how 

the standby test was conducted for each 

basic model: (1) standby loss, (2) 

whether the water heater initiates 

heating element operation based on a 

temperature-controlled call for heating 

that is internal to the water heater, (3) 

whether the water heater includes an 

integral pump purge functionality, and 

(4) the default duration of the pump off 

delay (for models equipped with 

integral pump purge). 

Similarly, DOE is proposing to allow 

use of a calculation-based method for 

determining the storage volume of 

electric instantaneous water heaters that 

is the same as the method for gas-fired 

and oil-fired instantaneous water 

heaters and hot water supply boilers 

found at 10 CFR 429.72(e). Furthermore, 

DOE is proposing to clarify that the 

method for calculating volume for 

instantaneous water heaters found at 10 

CFR 429.72(e) does not apply to storagetype instantaneous water heaters. 

Finally, for commercial electric 

storage water heaters, DOE is proposing 

to add a certification requirement for 

rated input to ensure that the input 

rating of all certified models exceeds the 

12 kW threshold that is part of the 

definition of electric storage water 

heaters at 10 CFR 431.102. DOE 

proposes that manufacturers would be 

required to comply with the 

certification requirement beginning on 

the date of the next annual filing of 

certification reports required for CWH 

equipment following the publication of 

a final rule.17

DOE seeks comment on its proposal to 

require the reporting of thermal 

efficiency, storage volume, rated input, 

and whether the storage volume is 

determined using a weight-based test or 

the calculation-based method for 

commercial electric instantaneous water 

heaters of all storage volumes (except 

for residential-duty commercial electric 

instantaneous water heaters). DOE also 

seeks comment on its proposal to 

require the reporting of standby loss, 

whether the water heater initiates 

heating element operation based on a 

temperature-controlled call for heating 

that is internal to the water heater, 

whether the water heater includes an 

integral pump purge functionality, and 

the default duration of the pump off 

delay (for models equipped with 

integral pump purge) for electric 

instantaneous water heaters with storage 

volume greater than or equal to 10 

gallons. Additionally, DOE seeks 

comment on its proposed calculationbased method for determining storage 

volume of electric instantaneous water 

heaters. 

DOE seeks comment on its proposal to 

add a requirement for the reporting of 

rated input for commercial electric 

storage water heaters. 


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2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

the certification reporting requirements 

for commercial electric instantaneous 

water heaters (except for residentialduty commercial electric instantaneous 

water heaters) with the energy 

conservation standards for such 

equipment as required by EPCA, and as 

proposed to be codified at 10 CFR 

431.110 by the May 2022 CWH NOPR. 

Manufacturers of commercial electric 

instantaneous water heaters (except for 

residential-duty commercial electric 

instantaneous water heaters) do not 

currently report any information about 

the performance or characteristics of 

such equipment, but would be required 

to report thermal efficiency, storage 

volume, rated input, and whether the 

storage volume is determined using a 

weight-based test (in accordance with 

10 CFR 431.106) or the calculationbased method (in accordance with 10 

CFR 429.72(e)). 

Additionally, for electric 

instantaneous water heaters with storage 

volume greater than or equal to 10 

gallons (and thus subject to a standby 

loss standard), manufacturers would 

also be required to report standby loss, 

whether the water heater initiates 

heating element operation based on a 

temperature-controlled call for heating 

that is internal to the water heater, 

whether the water heater includes an 

integral pump purge functionality, and 

the default duration of the pump off 

delay (for models equipped with 

integral pump purge). 

Any manufacturer of commercial 

electric instantaneous water heaters 

would be required to begin submitting 

certification reports. Costs associated 

with the proposed updates to reporting 

requirements are discussed in section 

IV.C of this document. 

In this NOPR, DOE also proposes to 

amend the certification reporting 

requirements for commercial electric 

storage water heaters to require 

manufacturers to report rated input. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers of commercial electric 

storage water heaters because they are 

already submitting certification reports 

to DOE and should have readily 

available the information that DOE is 

proposing to collect as part of this 

rulemaking. DOE does not believe the 

revised reporting requirements will 

cause any appreciable change in 

reporting burden or hours as compared 

to what commercial electric storage 

water heaters manufacturers are 

currently doing today. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for commercial 

electric instantaneous water heaters and 

commercial electric storage water 

heaters. 

L. Automatic Commercial Ice Makers 

DOE is proposing to amend the 

reporting requirements for ACIMs, 

which are factory-made assemblies (not 

necessarily shipped in 1 package) that 

(1) consist of a condensing unit and icemaking section operating as an 

integrated unit, with means for making 

and harvesting ice; and (2) may include 

means for storing ice, dispensing ice, or 

storing and dispensing ice. 10 CFR 

431.132. In the November 1, 2022 

Automatic Commercial Ice Maker Test 

Procedure Final Rule (‘‘November 2022 

ACIM Final Rule’’), DOE replaced the 

terms ‘‘maximum energy use’’ and 

‘‘maximum condenser water use’’ with 

‘‘energy use’’ and ‘‘condenser water 

use,’’ respectively, for ACIMs. 87 FR 

65856, 56892. Consistent with that 

rulemaking, DOE is proposing 

amendments to the reporting 

requirements for ACIMs. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.45, manufacturers must report 

maximum energy use in kilowatt hours 

(‘‘kWh’’) per 100 pounds of ice, 

maximum condenser water use in 

gallons per 100 pounds of ice, harvest 

rate in pounds of ice per 24 hours, type 

of cooling, and equipment type. 10 CFR 

429.45(b)(2). These requirements 

provide for certifying compliance with 

the standards applicable to ACIMs 

manufactured on or after January 28, 

2018. 10 CFR 431.136(c) and (d). DOE 

is proposing to update these 

requirements and align the reporting 

requirements with the November 2022 

ACIM Final Rule and proposing general 

certification requirements for ACIMs. 

DOE discusses these proposed updates 

in the sections as follows. 

a. Energy and Water Condenser Use 

For ACIMs, the current reporting 

requirements include maximum energy 

use in kWh per 100 pounds of ice and 

maximum condenser water use in 

gallons per 100 pounds of ice. 10 CFR 

429.45(b)(2). In the November 2022 

ACIM Final Rule, DOE determined that 

the reference to ‘‘maximum energy use’’ 

and ‘‘maximum condenser water use’’ in 

10 CFR 429.45 could be misinterpreted 

to refer to the energy and water 

conservation standard levels for that 

basic model (i.e., the maximum 

allowable energy and maximum 

allowable condenser water use), as 

opposed to the tested performance. 87 

FR 65856, 65891. Therefore, in that 

same rule, for consistency and clarity, 

DOE replaced the term ‘‘maximum 

energy use’’ with the term ‘‘energy use’’ 

and the term ‘‘maximum condenser 

water use’’ with the term ‘‘condenser 

water use.’’ Id. at 87 FR 65892. In 

addition, values of both energy and 

condenser water consumption are 

relevant for ACIMs. Id. at 87 FR 65891. 

As such, DOE modified the language at 

10 CFR 429.45 to specify expressly that 

the sampling plan at 10 CFR 

429.45(a)(2)(i) applies both to measures 

of energy and condenser water use for 

which consumers would favor lower 

values. Id. at 87 FR 65892. 

Similarly, 10 CFR 431.132 included a 

definition for the term ‘‘maximum 

condenser water use.’’ This language 

may also be misinterpreted to refer to 

the condenser water conservation 

standard level for a basic model as 

opposed to the tested condenser water 

use. Therefore, in the November 2022 

ACIM Final Rule, DOE modified the 

term and definition of ‘‘maximum 

condenser water use’’ to instead refer to 

the term ‘‘condenser water use.’’ Id. 

In the November 2022 ACIM Final 

Rule, DOE did not revise the reporting 

requirements in 10 CFR 429.45 to 

remove the term ‘‘maximum’’ and align 

the requirements with the newly 

adopted definitions for ‘‘energy use’’ 

and ‘‘condenser water use.’’ Id. at 87 FR 

65897. As a result, DOE is proposing to 

update the reporting requirements to 

specify ‘‘energy use’’ and ‘‘condenser 

water use’’ in this document. 

DOE seeks comment on its proposal to 

align ACIM reporting requirement 

terminology with the amended terms. 

b. Rounding Requirements 

DOE currently requires test results for 

ACIMs to be rounded, as outlined in the 

ACIMs test procedure. 10 CFR 

431.134(g). However, the certification 

requirements in 10 CFR 429.45 do not 

specify how values calculated in 

accordance with 10 CFR 429.45(a) 

would be rounded for reporting per 10 

CFR 429.45(b). To ensure consistency 

among ACIM certification reports, DOE 

proposes that any reported values be 

rounded consistent with the rounding 

requirements for individual test results. 

Specifically, DOE proposes to require 

that reported values be rounded as 

follows: energy use to the nearest 0.01 

kWh/100 lb, condenser water use to the 

nearest gal/100 lb, and harvest rate to 

the nearest 1 lb/24 h (for ACIMs with 

harvest rates greater than 50 lb/24 h) or 

to the nearest 0.1 lb/24 h (for ACIMs 

with harvest rates less than or equal to 

50 lb/24 h). 


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18HTPG Decision and Order, 86 FR 14887 (Mar. 

19, 2021); Hussmann Decision and Order, 86 FR 

24606 (May 7, 2021); KeepRite Decision and Order, 

86 FR 24603 (May 7, 2021); RefPlus Interim Waiver, 

86 FR 43633 (Aug. 10, 2021). 

19CO2 refrigeration systems are transcritical 

because the high-temperature refrigerant that is 

DOE seeks comment on its proposal to 

establish rounding requirements for 

ACIMs. 

c. Sampling Corrections 

Currently, DOE’s sampling provisions 

for ACIMs state that any represented 

value of energy use, condenser water 

use, or other measure of consumption of 

a basic model for which consumers 

would favor lower values shall be 

greater than or equal to the higher of the 

mean of the sample, or the upper 95 

percent confidence limit of the true 

mean (‘‘UCL’’) divided by 1.10. 10 CFR 

429.45(a)(2). The sampling provisions 

also state that the UCL should be 

calculated using the Student’s tDistribution Values for Certification 

Testing for a 95 percent two-tailed 

confidence interval with n-1 degrees of 

freedom from appendix A, where ‘‘n’’ is 

the number of samples. Id. However, 

appendix A outlines Student’s tDistribution Values that are based on a 

one-tailed confidence interval, rather 

than the two-tailed confidence interval 

specified in 10 CFR 429.45(a)(2)(ii). To 

correct this discrepancy, DOE is 

proposing to revise 10 CFR 

429.45(a)(2)(ii) to specify that the UCL 

should be calculated using the Student’s 

t-Distribution Values for Certification 

Testing for a 95 percent one-tailed 

confidence interval outlined in 

appendix A. 

DOE seeks comment on its proposal to 

correct the sampling provisions for 

ACIMs. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

ACIM certification reporting 

requirements with the amended terms 

adopted in the November 2022 ACIM 

Final Rule. For ACIMs, manufacturers 

currently report maximum energy use 

and maximum condenser water and 

under the proposed amended 

requirements would report energy use 

and condenser water use, which are 

substantially similar to the previous 

requirement. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

ACIMs are already submitting 

certification reports to DOE containing 

these values and should have readily 

available the information that DOE is 

proposing to collect as part of this 

proposed rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 

compared to what ACIM manufacturers 

are doing currently. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for ACIMs. 

M. Walk-In Coolers and Freezers 

DOE is proposing to amend the 

reporting requirements for walk-in 

coolers and walk-in freezers (‘‘walkins’’), which are enclosed storage spaces 

refrigerated to temperatures, 

respectively, above and at or below 

32 °F that can be walked into and have 

a total chilled storage area of less than 

3,000 square feet. The terms ‘‘walk-in 

cooler’’ and ‘‘walk-in freezer’’ do not 

include products designed and 

marketed exclusively for medical, 

scientific, or research purposes. 10 CFR 

431.302 In the test procedure final rule 

published on May 4, 2023 (‘‘May 2023 

Walk-ins TP Final Rule’’), DOE 

amended the test procedure provisions 

for walk-ins. 88 FR 28780. Consistent 

with the May 2023 Walk-ins TP Final 

Rule, DOE is proposing amendments to 

the reporting requirements in this 

NOPR. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.53, manufacturers must report 

the following public information: 

(1) For all walk-in doors: the door 

type, R-value of the door insulation, a 

declaration that the manufacturer has 

incorporated the applicable design 

requirements, door energy consumption, 

and rated surface area in square feet. 10 

CFR 429.53(b)(2)(i) and (b)(3)(i). 

(2) For walk-in doors with transparent 

reach-in doors and windows, the glass 

type of the doors and windows (e.g., 

double-pane with heat reflective 

treatment, triple-pane glass with gas 

fill), and the power draw of the 

antisweat heater in watts per square foot 

of door opening. 10 CFR 429.53 (b)(i). 

(3) For walk-in panels: the insulation 

R-value. 10 CFR 429.53(b)(ii). 

(4) For walk-in refrigeration systems: 

the installed motor’s function purpose 

(i.e., evaporator fan motor or condenser 

fan motor), its rated horsepower, a 

declaration that the manufacturer has 

incorporated the applicable walk-inspecific design requirements into the 

motor, annual walk-in energy factor 

(‘‘AWEF’’), net capacity, the 

configuration tested for certification 

(e.g., condensing unit only, unit cooler 

only, single-packaged dedicated system, 

or matched pair), and if an indoor 

dedicated condensing unit is also 

certified as an outdoor dedicated 

condensing unit (and, if so, the basic 

model number for the outdoor dedicated 

condensing unit). 10 CFR 

429.53(b)(2)(iii), (b)(3)(ii), (b)(5). 

Under the existing requirements in 10 

CFR 429.53, manufacturers must report 

the following non-public information 

for all walk-in doors: (1) rated power of 

each light, heater wire, and/or other 

electricity consuming device; and (2) 

whether such device(s) has/have a 

timer, control system, or other demandbased control that reduces the device’s 

power consumption. 10 CFR 

429.53(b)(4)(i). 

These requirements provide for 

certifying compliance with the 

standards applicable to walk-in doors, 

panels, and medium temperature 

dedicated condensing units (including 

medium temperature single-packaged 

dedicated systems and matched pairs) 

manufactured on or after June 5, 2017 

and with the standards applicable to 

walk-in low temperature dedicated 

condensing units (including low 

temperature single-packaged dedicated 

systems and matched pairs), low 

temperature unit coolers, and medium 

temperature unit coolers manufactured 

on or after July 10, 2020. DOE is 

proposing to update these requirements 

and align the reporting requirements 

with the May 2023 Walk-ins TP Final 

Rule. DOE discusses these proposed 

updates in the sections as follows. 

a. Combining the Publicly Required 

Reporting Requirements in 10 CFR 

429.53(b)(2), 429.53 (b)(3), and 

429.53(b)(5) 

The current reporting requirements at 

10 CFR 429.53(b) specify public 

reporting requirements in three 

paragraphs—(b)(2), (b)(3), and (b)(5)— 

based on whether the reporting 

requirement was submitted before or 

after June 5, 2017. Given this date has 

passed, DOE is proposing to combine 

the public product-specific reporting 

requirements at 10 CFR 429.53(b)(2) and 

move the non-public product-specific 

reporting requirements from 10 CFR 

429.53(b)(4) to 10 CFR 429.53(b)(3). 

b. CO2 Systems 

DOE has granted waivers to Heat 

Transfer Products Group, Hussmann, 

KeepRite, and RefPlus for an alternate 

test procedure for specific unit cooler 

basic models that utilize CO2 as a 

refrigerant.18 The alternate test 

procedure provided in these waivers 

modifies the test condition values to 

reflect typical operating conditions for a 

transcritical 19 CO2 booster system. 


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cooled by ambient air is in a supercritical state, 

above the 87.8 °F critical point temperature, above 

which the refrigerant cannot exist as separate vapor 

and liquid phases. 

20The annual certification report filings for walkins are due no later than August 1. See 10 CFR 

429.12, Table 1 to paragraph (d). 

21Note that currently 10 CFR 429.53(b)(3) 

specifies public reporting requirements. In this 

NOPR, DOE is proposing to revise 10 CFR 429.53(b) 

such that paragraph (b)(2) specifies the public 

reporting requirements and paragraph (b)(3) 

specifies non-public reporting requirements. 

Specifically, the waiver test procedures 

require that CO2 unit cooler testing is 

conducted at a liquid inlet saturation 

temperature of 38 °F and a liquid inlet 

subcooling temperature of 5 °F. 

In the May 2023 Walk-ins TP Final 

Rule, DOE amended appendix C to 

include the alternate test conditions 

specified in the waivers. DOE also 

adopted these requirements into the 

new appendix C1. 88 FR 28780, 28809. 

Additionally, in the May 2023 Walk-ins 

TP Final Rule, DOE defined a ‘‘CO2 unit 

cooler’’ as ‘‘a unit cooler that includes 

a nameplate listing only CO2 as an 

approved refrigerant’’. 88 FR 28780, 

28790. 

Accordingly, DOE proposes to amend 

the public reporting requirements at 10 

CFR 429.53(b)(2)(iii) to require that 

manufacturers report whether a given 

basic model meets the definition of a 

CO2 unit cooler as defined in the May 

2023 Walk-ins TP Final Rule. DOE 

proposes that manufacturers would be 

required to comply with the proposed 

reporting requirement beginning on the 

next certification report annual filing 

date required for walk-in components 

following the publication of this rule, if 

finalized.20

DOE seeks comment on its proposal to 

require the reporting of whether a basic 

model meets the definition of a CO2 unit 

cooler. 

c. Detachable Single-Packaged 

Dedicated Systems and Attached Split 

System 

In the May 2023 Walk-ins TP Final 

Rule, DOE defined a ‘‘detachable singlepackaged dedicated system’’ as a system 

consisting of a dedicated condensing 

unit and an insulated evaporator section 

in which the evaporator section is 

designed to be installed external to the 

walk-in enclosure and circulating air 

through the enclosure wall, and the 

condensing unit is designed to be 

installed either attached to the 

evaporator section or mounted remotely 

with a set of refrigerant lines connecting 

the two components. 88 FR 28780, 

28790. Since detachable singlepackaged dedicated systems have 

thermal losses similar to those for 

single-packaged dedicated systems, DOE 

adopted the air enthalpy test procedure 

for single-packaged dedicated systems 

in the May 2023 Walk-ins TP Final 

Rule. 88 FR 28780, 28815–28816. 

Additionally, DOE defined an 

‘‘attached split system’’ in the May 2023 

Walk-ins TP Final Rule as a matched 

pair refrigeration system that is 

designed to be installed with the 

evaporator entirely inside the walk-in 

enclosure and the condenser entirely 

outside the walk-in enclosure, where 

the evaporator and condenser are 

permanently connected with structural 

members extending through the walk-in 

wall. 88 FR 28780, 28790. DOE has 

confirmed through testing that these 

systems still experience some heat 

leakage when compared to traditionally 

installed systems that have the 

dedicated condensing unit and the unit 

cooler in separate housings. This heat 

leakage has not been fully studied, 

however, so in the May 2023 Walk-ins 

TP Final Rule, DOE specified that these 

systems should be tested as a matched 

pair using refrigerant enthalpy methods. 

88 FR 28780, 28816. 

Although both detachable singlepackaged dedicated systems and 

attached split systems would be 

considered a ‘‘single-packaged 

dedicated system,’’ the two would be 

tested differently. Some of the 

previously discussed test procedure 

waivers specify basic models that meet 

the definition of a detachable singlepackaged dedicated system or an 

attached split system. To ensure 

appropriate testing and consistent 

reporting, it is important that these units 

be identified during certification. 

Accordingly, DOE proposes to amend 

the public reporting requirements at 10 

CFR 429.53(b)(2)(iii) to require that 

manufacturers report whether a given 

basic model meets the definition of a 

‘‘detachable single-packaged dedicated 

system’’ or an ‘‘attached split system’’ as 

defined in the May 2023 Walk-ins TP 

Final Rule. DOE proposes that 

manufacturers would be required to 

comply with the proposed reporting 

requirement beginning on the next 

certification report annual filing date 

required for walk-in components 

following the publication of this rule, if 

finalized. 

DOE seeks comment on its proposal to 

require the reporting of whether a basic 

model meets the definition of a 

detachable single-packaged dedicated 

system or an attached split system. 

d. Head Pressure Control 

In the May 2023 Walk-ins TP Final 

Rule, DOE adopted refrigerant charging 

provisions for walk-in dedicated 

condensing systems that use valves to 

‘‘flood’’ the condenser with liquid 

refrigerant to maintain sufficiently high 

condensing temperature under cold air 

temperatures. 88 FR 28780, 28804– 

28806. Specifically, DOE noted that 

charging in the ‘‘C’’ test condition rather 

than the ‘‘A’’ test condition is 

appropriate for dedicated condensing 

systems (dedicated condensing units, 

matched systems, and single-packaged 

dedicated systems) that use a flooded 

condenser design. Id. However, for 

dedicated condensing systems that use 

fan controls to maintain condensing 

temperature for low ambient operating 

conditions, the test procedure specifies 

charging at the ‘‘A’’ test condition. 88 

FR 28780, 28804–28806. 

Accordingly, DOE proposes to amend 

the non-public reporting requirements 

at 10 CFR 429.53(b)(3)(ii) 21 to require 

that manufacturers report whether a 

given dedicated condensing system 

basic model is sold with flooded head 

pressure controls for maintaining 

condensing temperature at low ambient 

temperatures. DOE proposes that 

manufacturers would be required to 

comply with the proposed reporting 

requirement beginning on the next 

certification report annual filing date 

required for walk-in components 

following the publication of this rule, if 

finalized. 

DOE seeks comment on its proposal to 

require the reporting of whether a 

dedicated condensing system basic 

model includes flooded head pressure 

controls. 

e. Compressor Break-In 

Although the DOE test procedure for 

walk-in refrigeration systems does not 

require a compressor ‘‘break-in’’ period, 

DOE recognizes that walk-in 

refrigeration manufacturers may 

routinely break-in the refrigeration 

system compressor for some time prior 

to conducting testing. This break-in 

period can reduce variation in 

compressor performance. 

In the June 8, 2016, central air 

conditioners and heat pumps test 

procedure final rule, DOE noted that the 

most significant improvements in both 

compressor performance and reduction 

in variation among compressor models 

occur during roughly the first 20 hours 

of run time. 81 FR 36992, 37034. 

Ultimately, DOE adopted the provision 

to limit the optional break-in period to 

20 hours to achieve the most uniform 

compressor performance while limiting 

test burden. Id. DOE additionally 

included provisions for manufacturers 

to have the option to report the use of 

a break-in period and its duration as 


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67482 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

22Note that currently 10 CFR 429.53(b)(3) 

specifies public reporting requirements. In this 

NOPR, DOE is proposing to revise 10 CFR 429.53(b) 

such that paragraph (b)(2) specifies public reporting 

requirements and paragraph (b)(3) specifies nonpublic reporting requirements. 

part of the test data underlying their 

product certifications, the use of the 

same break-in period specified in 

product certifications for testing 

conducted by DOE, and the use of the 

20 hours break-in period for products 

certified using an alternative efficiency 

determination method (‘‘AEDM’’). 81 FR 

36992, 37033. 

Other DOE-regulated equipment, such 

as dedicated outdoor air systems (see 

appendix B to subpart F of 10 CFR part 

431 and discussion at 87 FR 45164, 

45177–45178), single package vertical 

air conditioners and heat pumps 

(‘‘SPVUs’’) (see section I of subpart F to 

10 CFR part 431) and air-cooled unitary 

air conditions and heat pumps 

(‘‘CUACs’’) (see 10 CFR 431.96) include 

required or optional provisions for 

compressor break-in either as part of the 

test procedure or as a certification 

option, so that any potential 

enforcement testing uses conditions 

similar to those used for rating a given 

unit. Whether required or optional, 

break-in duration is limited to a 

maximum of 20 hours for dedicated 

outdoor air supply units, SPVUs, and 

CUACs. 

Accordingly, DOE proposes to amend 

the non-public reporting requirements 

at 10 CFR 429.53(b)(3)(ii) 22 to provide 

an option for manufacturers to report 

the compressor break-in period, in 

hours, used to obtain a basic model’s 

certified rating; however, the break-in 

duration may not exceed 20 hours in 

length. DOE proposes that 

manufacturers would be required to 

comply with the proposed reporting 

requirement beginning on the next 

certification report annual filing date 

required for walk-in components 

following the publication of this rule, if 

finalized. 

DOE seeks comment on its proposal to 

amend the reporting requirements and 

provide an option for manufactures to 

report compressor break-in. 

f. Supplemental Testing Instructions 

As discussed previously, DOE 

requires manufacturers of covered 

commercial HVAC equipment types to 

submit supplemental information 

regarding additional testing 

instructions, if applicable, and they 

must also specify which, if any, special 

features were included to rate a basic 

model. DOE also requires supplemental 

testing instructions from manufacturers 

of commercial warm air furnaces (see 10 

CFR 429.41(b)(4)), commercial 

refrigeration equipment (see 10 CFR 

429.42(b)(4)), and commercial water 

heating equipment (see 10 CFR 

429.44(c)(4)). The supplemental 

information submitted in PDF format 

provides information to allow for thirdparty laboratories to complete a valid 

test according to the DOE test 

procedure. 

Consistent with its requirements for 

other commercial equipment, DOE 

proposes to require that, if such 

information would be needed for a third 

party to independently run a valid test, 

manufacturers must submit 

supplemental testing instructions at the 

time each basic model is certified. 

Supplemental testing instructions for 

walk-ins might include (but are not 

limited to) specific charging 

instructions, control of fan cycling at 

specific test conditions, and type of 

expansion valve. Consistent with the 

supplemental testing instructions DOE 

has established for other commercial 

equipment, DOE notes that any 

supplemental information for testing 

walk-ins would need to be consistent 

with manufacturer installation 

instructions associated with the 

equipment under test. See section 3.2.6 

of appendix C to subpart R of 10 CFR 

part 431 and section 3.5.2.4 of appendix 

C1 to subpart R of 10 CFR part 431. 

Prior to testing any walk-in refrigeration 

system basic model under its 

enforcement provisions, DOE would 

determine if supplemental testing 

instructions were included with 

certification of the basic model. If 

supplemental testing instructions were 

included with certification, DOE would 

review these instructions and compare 

them to the manufacturer’s installation 

instructions. Once DOE has determined 

that the supplemental instructions are 

consistent with the manufacturer’s 

installation instructions, DOE would 

instruct the third-party test lab to 

incorporate the supplemental testing 

instructions into its test plan. 

DOE notes that manufacturers would 

need to provide the complete name of 

the PDF containing the supplemental 

testing instructions as part of the 

certification report. If the manufacturer 

changes the supplemental testing 

instructions and as a result changes the 

file name, then the manufacturer must 

update the certification report. 

DOE proposes to require that, if 

necessary to run a valid test, 

manufacturers must submit 

supplemental testing instructions at the 

time each basic model is certified. DOE 

proposes that manufacturers would be 

required to comply with the proposed 

reporting requirement beginning on the 

next certification report annual filing 

date required for walk-in components 

following the publication of this rule, if 

finalized. 

DOE seeks comment on its proposal to 

require, if necessary to run a valid test, 

supplemental testing information as a 

PDF file at the time of certification. 

g. Anti-Sweat Heater Wire With 

Controls 

For walk-ins with transparent reachin doors, EPCA prescribes specific ASHrelated requirements: (1) walk-ins 

without anti-sweat heater controls must 

have a heater power draw of no more 

than 7.1 or 3.0 watts per square foot of 

door opening for freezers and coolers, 

respectively; (2) walk-ins with antisweat heater controls must either have 

a heater power draw of no more than 7.1 

or 3.0 watts per square foot of door 

opening for freezers and coolers, 

respectively; or (3) the anti-sweat heater 

controls must reduce the energy use of 

the heater in a quantity corresponding 

to the relative humidity of the air 

outside the door or to the condensation 

on the inner glass pane. See 42 U.S.C. 

6313(f)(3)(C)–(D). These requirements 

are also codified at 10 CFR 

431.306(b)(3)–(4). 

The current test procedure assigns 

percent time off (‘‘PTO’’) values to 

various walk-in door components, 

including anti-sweat heaters, to reflect 

the hours in a day that an electricityconsuming device operates at its full 

rated or certified power. For walk-in 

cooler doors with ASH controls, the 

PTO value is 75 percent and for walkin freezer doors with ASH controls, the 

PTO value is 50 percent. For doors 

without ASH controls, the PTO is 0 

percent. The test procedure does not 

distinguish between types of ASH 

controls, just the presence of them. 

DOE recognizes that walk-in coolers 

and freezers may be installed in a 

variety of environments, including 

different geographical climate zones, 

different indoor building installations, 

and even outdoor installations. Thus, 

walk-ins may experience a wide variety 

of ambient conditions. Consumers 

looking to purchase walk-in doors with 

ASH controls may benefit from publicly 

available information on the conditions 

at which the ASH is activated based on 

any controls provided as part of the 

door. 

Additionally, during enforcement 

testing, DOE calculates the door’s 

energy consumption using the input 

power listed on the nameplate of each 

electricity-consuming device shipped 

with the door. In the absence of a value 

listed on the nameplate, DOE uses the 

device’s rated input power included in 


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the door’s certification report. In the 

absence of either a nameplate or 

certified value, DOE may measure the 

input power for the purposes of 

calculating a door’s energy 

consumption. 10 CFR 429.134(q)(4). 

Manufacturers are required to certify to 

DOE whether each electricityconsuming device, including ASH, has 

controls. 10 CFR 429.53(b)(4)(i). If there 

is no certification for the basic model, 

it can be difficult to discern whether the 

unit has controls without destroying the 

door. 

For these reasons, DOE is proposing 

that manufacturers of doors with ASH 

controls certify the conditions (i.e., 

temperature, humidity, etc.) at which 

the controls activate the ASH wire. DOE 

proposes that manufacturers would be 

required to comply with the proposed 

reporting requirement beginning on the 

next certification report annual filing 

date required for walk-in components 

following the publication of this rule, if 

finalized. 

DOE seeks comment on its proposal to 

require the reporting of the conditions at 

which the controls activate the ASH 

wire for walk-in doors with ASH 

controls. 

h. Door Conduction Load 

DOE’s test procedure for measuring 

walk-in door energy consumption 

accounts for thermal conduction 

through the door and the direct and 

indirect electricity use of any electrical 

components associated with the door. 

10 CFR 431.304(b)(1)–(2) and 10 CFR 

part 431, subpart R, appendix A. 

The direct and indirect electricity use 

of the electrical components associated 

with the door is based on the certified 

or nameplate input power values of 

each component, which are certified to 

DOE as non-public information. DOE 

does not, at present, require certification 

of the thermal conduction through the 

door. 

In this NOPR, DOE is proposing to 

require certification of thermal 

conduction load through the door in 

Btu/h. This would be added to the nonpublic reporting requirements in 10 CFR 

429.53(b)(3)(i). Manufacturers are 

already calculating conduction load as 

part of the current test procedure at 

sections 6.2.1 and 6.3.1 of appendix A 

to subpart R of 10 CFR part 431 for 

display doors and non-display doors, 

respectively. DOE notes that the 

conduction load is required for 

calculating the daily energy 

consumption. DOE has evaluated the 

theoretical thermal conduction for all 

walk-in doors certified to DOE and 

found in some cases that the calculated 

values may not be consistent with the 

values that would be expected based on 

the currently reported data (i.e., wattage, 

presence of controls) for the door’s 

electricity-consuming devices. To 

remedy this situation, DOE is proposing 

that walk-in door manufacturers certify 

thermal conduction load as non-public 

data, in addition to the requirements 

already listed in 10 CFR 429.53(b)(3)(i). 

DOE proposes that manufacturers would 

be required to comply with the 

proposed reporting requirement 

beginning on the next certification 

report annual filing date required for 

walk-in components following the 

publication of this rule, if finalized. 

DOE requests comment on its 

proposed additional certification 

reporting requirements for walk-in 

doors and refrigeration systems. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

walk-in certification reporting 

requirements with the test procedure 

requirements applicable to walk-ins 

manufactured on and after October 31, 

2023. For all walk-in doors, 

manufacturers currently report the door 

type, R-value of the door insulation, a 

declaration that the manufacturer has 

incorporated the applicable design 

requirements, door energy consumption, 

rated surface area, rated power of each 

light, heater wire, and/or other 

electricity-consuming device and 

whether such device(s) has a timer, 

control system, or other demand-based 

control that reduces the device’s power 

consumption. For transparent reach-in 

display doors and windows, 

manufacturers must currently also 

report the glass type of the doors and 

windows), and the power draw of the 

ASH. Manufacturers would additionally 

report the conduction load through the 

door, whether the basic model uses selfregulating heater wire, and, if so, specify 

the temperature at which the wire 

engages if the proposed amendments are 

adopted. 

For walk-in refrigeration systems, 

manufacturers currently report the 

installed motor’s function purpose (i.e., 

evaporator fan motor or condenser fan 

motor), its rated horsepower, a 

declaration that the manufacturer has 

incorporated the applicable walk-inspecific design requirements into the 

motor, AWEF, net capacity, the 

configuration tested for certification 

(e.g., condensing unit only, unit cooler 

only, single-packaged dedicated system, 

or matched pair), and if an indoor 

dedicated condensing unit is also 

certified as an outdoor dedicated 

condensing unit (and, if so, the basic 

model number for the outdoor dedicated 

condensing unit). If the proposed 

amendments are adopted manufacturers 

would additionally report whether the 

basic model is designed for use with 

CO2 as a refrigerant, whether a 

dedicated condensing system has 

flooded head pressure control, and 

whether a compressor break-in period 

was used, and if so, the duration of the 

break-in period. Additionally, 

manufacturers would be required to 

submit supplemental testing 

instructions in PDF format if these 

instructions are necessary to run a valid 

test. DOE has tentatively determined 

that these proposed amendments would 

not impose additional costs for 

manufacturers because manufacturers of 

walk-ins are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 

compared to what walk-in 

manufacturers are currently doing 

today. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for walk-ins. 

3. Labeling 

If the Secretary has prescribed test 

procedures for any class of covered 

equipment, a labeling rule applicable to 

such class of covered equipment must 

be prescribed. See 42 U.S.C. 6315(a). 

EPCA, however, also sets out certain 

criteria that must be met prior to 

prescribing a given labeling rule. 

Specifically, to establish these 

requirements, DOE must determine that: 

(1) labeling in accordance with section 

6315 is technologically and 

economically feasible with respect to 

any equipment class; (2) significant 

energy savings will likely result from 

such labeling; and (3) labeling in 

accordance with section 6315 is likely 

to assist consumers in making 

purchasing decisions. (See 42 U.S.C. 

6315(h)) 

If these criteria are met, EPCA 

specifies certain aspects of equipment 

labeling that DOE must consider in any 

rulemaking establishing labeling 

requirements for covered equipment. At 

a minimum, such labels must include 

the energy efficiency of the affected 

equipment as tested under the 

prescribed DOE test procedure. The 

labeling provisions may also consider 

the addition of other requirements, 

including: (1) directions for the display 

of the label; (2) a requirement to display 

on the label additional information 

related to energy efficiency or energy 

consumption, which may include 


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23 DOE estimated the hourly wage using data from 

BLS’s ‘‘Occupational Employment and Wages, May 

2022’’ publication. DOE used the ‘‘Electrical 

Engineers’’ mean hourly wage of $48.28 to estimate 

the hourly wage rate (www.bls.gov/oes/current/ 

oes172071.htm). DOE then used BLS’s ‘‘Employer 

Costs for Employee Compensation—June 2022’’ to 

estimate that wages and salary account for 

approximately 69 percent for private industry 

workers. (www.bls.gov/news.release/pdf/ecec.pdf 

last accessed on December 1, 2022). Therefore, DOE 

estimated a fully burdened labor rate of $69.97 

($48.28 ÷ 0.69 = $69.97). 

24 DOE estimated the hourly wage using data from 

BLS’s ‘‘Occupational Employment and Wages, May 

2022’’ publication. DOE used the ‘‘Electrical 

Engineers’’ mean hourly wage of $48.28 to estimate 

the hourly wage rate (www.bls.gov/oes/current/ 

oes172071.htm). DOE then used BLS’s ‘‘Employer 

Costs for Employee Compensation—June 2022’’ to 

estimate that wages and salary account for 

approximately 69 percent for private industry 

workers. (www.bls.gov/news.release/pdf/ecec.pdf 

last accessed on December 1, 2022). Therefore, DOE 

estimated a fully burdened labor rate of $69.97 

($48.28 ÷ 0.69 = $69.97). 

instructions for maintenance and repair 

of the covered equipment, as necessary, 

to provide adequate information to 

purchasers; and (3) requirements that 

printed matter displayed or distributed 

with the equipment at the point of sale 

also include the information required to 

be placed on the label. (42 U.S.C. 

6315(b) and 42 U.S.C. 6315(c)) 

DOE previously established labeling 

requirements for walk-in components, 

codified at 10 CFR 431.305, in a final 

rule published on December 28, 2016 

(‘‘December 2016 Walk-in Final Rule’’). 

81 FR 95758, 95802. For walk-in panels, 

DOE had initially proposed in the NOPR 

leading to the aforementioned final rule 

to include the date of manufacture on 

the nameplate of a panel. 81 FR 54925, 

54942 (Aug. 17, 2016). At the time, DOE 

estimated the total cost of applying 

labels specifically to non-display doors 

and panels, which may include date of 

manufacture, to be less than 0.1 percent 

of an average manufacturer’s annual 

revenue. Id. In consideration of 

stakeholder comments indicating that 

affixing a panel label with date of 

manufacture was not technologically 

feasible, in the December 2016 walk-in 

Final Rule, DOE did not finalize its 

proposal to require the date of 

manufacture on the nameplate. 81 FR 

95758, 95802. 

In this NOPR, DOE is again proposing 

to require that date of manufacture be 

affixed to each walk-in panel via the 

nameplate or via another method (i.e., 

stamping) at 10 CFR 431.305(a)(1)(ii). 

DOE has found that date of manufacture 

is often included on the nameplate or 

stamped elsewhere on walk-in panels, 

indicating that it is not overly 

burdensome to include and is 

technologically feasible. 

Additionally, In the May 2023 WalkIns TP Final Rule, DOE added test 

provisions for CO2 unit coolers. 88 FR 

28780,28809. To easily determine which 

walk-in units these test provisions apply 

to, DOE defined CO2 unit coolers as 

‘‘unit coolers that includes a nameplate 

listing only CO2 as an approved 

refrigerant’’. 88 FR 28780, 28790. Based 

on walk-in units previously tested by 

DOE, DOE expects that most 

manufacturers are already including a 

refrigerant indication on the labels of 

walk-in unit coolers. Additionally, as 

discussed in the May 2023 Walk-ins TP 

Final Rule, manufacturers supported the 

finalized definition for CO2 unit coolers, 

including the language regarding the 

nameplates. Id. As such, DOE has 

therefore tentatively concluded that it 

would not be burdensome for 

manufacturers to label unit coolers 

designed for use with CO2 as a 

refrigerant. Additionally, DOE has 

consulted with the FTC, and they had 

no comments on the proposal. 

Therefore, in this NOPR, DOE is 

proposing that unit coolers designed to 

be used with CO2 as a refrigerant 

include the statement ‘‘Only CO2 is 

approved as a refrigerant for this 

system’’ on the unit nameplate. 

DOE requests comment on its 

proposal to require that date of 

manufacture be included on a panel 

nameplate, including its tentative 

conclusion that this would be 

technologically feasible and would not 

be burdensome to include. DOE also 

requests comment on its proposal to 

require CO2 unit coolers be labeled with 

the statement ‘‘Only CO2 is approved as 

a refrigerant for this system’’, including 

its tentative conclusion that this would 

not be burdensome to include. 

4. Labeling Costs and Impact 

Labelling requirements for panels are 

codified at 10 CFR 431.305(a). Since 

manufacturers are already required to 

apply a permanent nameplate to walkin panels, DOE is assuming that there 

would be no additional cost to the 

nameplate material or nameplate 

application if DOE were to finalize its 

proposal to include date of 

manufacturer on the panel nameplate. 

However, DOE recognizes that 

manufacturers may need to make 

changes to panel nameplates to include 

date of manufacture. 

DOE is assuming that the date of 

manufacturer would be automatically 

etched or printed on each nameplate 

and that there would be a one-time cost 

for programming date of manufacturer 

into the nameplate printing software. 

DOE estimates that it would take an 

electrical engineer a maximum of 8 

hours to configure the nameplate 

printing software. The current fully 

burdened wage for an electrical engineer 

is $69.97,23 resulting in an estimated 

one-time cost per manufacturer of $560 

to include date of manufacture on panel 

nameplates. 

DOE is assuming that the statement 

‘‘Only CO2 is approved as a refrigerant 

for this system’’ would be automatically 

etched or printed on each nameplate 

and that there would be a one-time cost 

for programming date of manufacturer 

into the nameplate printing software. 

DOE estimates that it would take an 

electrical engineer a maximum of 8 

hours to configure the nameplate 

printing software. The current fully 

burdened wage for an electrical engineer 

is $69.97,24 resulting in an estimated 

one-time cost per manufacturer of $560 

to this statement on CO2 unit cooler 

nameplates for those manufacturers that 

would need to make this update to their 

nameplates. As previously noted, DOE 

expects that many manufacturers have 

already done so. 

N. Commercial and Industrial Pumps 

DOE is proposing to amend the 

reporting requirements for commercial 

and industrial pumps, which DOE 

defines as equipment designed to move 

liquids (which may include dissolved 

gases, free solids, and totally dissolved 

solids) by physical or mechanical 

action. A pump includes a bare pump 

and, if included by the manufacturer at 

the time of sale, mechanical equipment, 

driver, and controls. 10 CFR 431.462. 

DOE is proposing amendments to the 

reporting requirements for commercial 

and industrial pumps in this NOPR. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.59(b)(2) and (b)(4), 

manufacturers must report the following 

as determined according to the DOE test 

procedure at appendix A to subpart Y of 

10 CFR part 431: 

Æ For section III: the constant load 

pump energy index (‘‘PEICL’’), the 

nominal speed of rotation in revolutions 

per minute (‘‘rpm’’), pump total head in 

feet at BEP and nominal speed, volume 

per unit time (‘‘flow rate’’) in gallons per 

minute (‘‘gpm’’) at BEP and nominal 

speed, calculated driver power input at 

each load point corrected to nominal 

speed, in horsepower (‘‘hp’’), full 

impeller diameter in inches (‘‘in’’), and 

for radially split, multi-stage, vertical, 

in-line diffuser casing (‘‘RSV’’) pumps 

and submersible turbine (‘‘ST’’) pumps, 

the number of stages tested. 10 CFR 

429.59(b)(2)(i). 

Æ For section IV: all the above in 

addition to whether the PEICL is 


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calculated or tested. 10 CFR 

429.59(b)(2)(ii). 

Æ For section V: variable load pump 

energy index (‘‘PEIVL’’) instead of 

PEICL, driver power input measured as 

the input power to the driver and 

controls at each load point corrected to 

nominal speed, in hp, and whether 

PEIVL is calculated or tested. 10 CFR 

429.59(b)(2)(iii). 

These requirements provide for 

certifying compliance with the 

standards for commercial and industrial 

pumps manufactured on or after January 

27, 2020. Under the existing 

requirements in 10 CFR 429.59(b)(3), 

manufacturers have the option to report 

pump efficiency at BEP in percent and 

PERCL (for constant load pumps) or 

pump efficiency at BEP in percent and 

PERVL (for variable load pumps), as 

determined according to appendix A to 

subpart Y of 10 CFR part 431. 

In this NOPR, DOE is proposing to 

require certification of pump efficiency 

at BEP in percent, PERCL, and PERVL— 

these metrics would be added to the 

existing reporting requirements in 10 

CFR 429.59(b)(2). DOE is also proposing 

that manufacturers would be required to 

comply with the proposed reporting 

requirement beginning on the next 

certification report annual filing date 

required for commercial and industrial 

pumps following the publication of this 

rule, if finalized. 

Pump efficiency at BEP, PERCL, and 

PERVL are required for calculating PEICL

or PEIVL. Some manufacturers are 

already reporting pump efficiency at 

BEP, PERCL, and/or PERVL, and these 

metrics are already calculated in 

appendix A to subpart Y of 10 CFR part 

431. This reporting requirement would 

standardize the information reported to 

DOE by different pump manufacturers. 

In addition, having these metrics 

available in DOE’s compliance 

certification database would provide 

pump end users with greater insight 

into pump operation at part load 

conditions. 

DOE seeks comment on its proposal to 

require certification of pump efficiency 

at BEP in percent, constant load pump 

energy rating (‘‘PERCL’’), and variable 

load pump energy rating (‘‘PERVL’’). 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to amend 

the reporting requirements for 

commercial and industrial pumps. 

For commercial and industrial pumps 

subject to the test methods prescribed in 

section III of appendix A to subpart Y 

of 10 CFR part 431, manufacturers must 

currently report the following: (1) PEICL; 

(2) the nominal speed of rotation in 

rpm; (3) pump total head in feet at BEP 

and nominal speed; (4) volume per unit 

time (flow rate) in gpm at BEP and 

nominal speed; (5) calculated driver 

power input at each load point i, 

corrected to nominal speed in hp; (6) 

full impeller diameter in inches; and (6) 

for RSV and ST pumps, the number of 

stages tested. Manufacturers would 

additionally report the pump efficiency 

at BEP in percent and PERCL for all 

pumps if the proposed amendments are 

adopted. 

For pumps subject to the test methods 

prescribed in section IV or V of 

appendix A to subpart Y of 10 CFR part 

431, manufacturers currently report the 

following: (1) PEICL; (2) the nominal 

speed of rotation in rpm; (3) pump total 

head in feet at BEP and nominal speed; 

(4) volume per unit time (flow rate) in 

gallons per minute at BEP and nominal 

speed; (5) driver power input at each 

load point i, corrected to nominal speed 

in hp; (6) full impeller diameter in 

inches; (7) whether the PEICL is 

calculated or tested; and (8) for RSV and 

ST pumps, the number of stages tested. 

Manufacturers would additionally 

report pump efficiency at BEP in 

percent and PERCL for all pumps if the 

proposed amendments are adopted. 

For pumps subject to the test methods 

prescribed in section VI or VII of 

appendix A to subpart Y of 10 CFR part 

431, manufacturers currently report the 

following: (1) PEIVL; (2) the nominal 

speed of rotation in rpm; (3) pump total 

head in feet at BEP and nominal speed; 

(4) volume per unit time (flow rate) in 

gpm at BEP and nominal speed; (5) 

driver power input (measured as the 

input power to the driver and controls) 

at each load point i, corrected to 

nominal speed in hp; (6) full impeller 

diameter in inches; (7) whether the 

PEIVL is calculated or tested; and (8) for 

RSH and ST pumps, the number of 

stages tested. Manufacturers would 

additionally report pump efficiency at 

BEP in percent and PERVL for all pumps 

if the proposed amendments are 

adopted. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

commercial and industrial pumps are 

already submitting certification reports 

to DOE and should have readily 

available the information that DOE is 

proposing to collect as part of this 

rulemaking. DOE does not believe the 

revised reporting requirements will 

cause any appreciable change in 

reporting burden or hours as compared 

to what commercial and industrial 

pumps manufacturers are currently 

doing today. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for commercial 

and industrial pumps. 

O. Portable Air Conditioners 

DOE is proposing to amend the 

reporting requirements for portable ACs, 

which DOE defines as a consumer 

product that consists of a portable 

encased assembly, other than a 

‘‘packaged terminal air conditioner,’’ 

‘‘room air conditioner,’’ or 

‘‘dehumidifier,’’ that delivers cooled, 

conditioned air to an enclosed space, 

and is powered by single-phase electric 

current. 10 CFR 430.2. In the portable 

AC test procedure final rule published 

on May 15, 2023 (‘‘May 2023 Portable 

AC Final Rule’’), DOE amended the test 

procedures for portable ACs at appendix 

CC to subpart B of 10 CFR part 430 

(‘‘appendix CC’’) to incorporate a 

measure of variable-speed portable AC 

performance and make minor clarifying 

edits. 88 FR 31102. Consistent with that 

final rule, DOE is proposing 

amendments to the reporting 

requirements. 

1. Reporting 

The current reporting requirements 

for portable ACs at 10 CFR 429.62 

include the following: (1) the combined 

energy efficiency ratio (‘‘CEER’’) in Btu/ 

Wh); (2) the seasonally adjusted cooling 

capacity (‘‘SACC’’) in Btu/h; (3) the duct 

configuration (i.e., single-duct, dualduct, or ability to operate in both 

configurations); (4) presence of heating 

function; and (5) primary condensate 

removal feature (i.e., auto-evaporation, 

gravity drain, removable internal 

collection bucket, or condensate pump). 

10 CFR 429.62. These requirements 

provide for certifying compliance with 

the standards that will go into effect for 

single-duct and dual-duct portable ACs 

that are manufactured on or after 

January 10, 2025. DOE is proposing to 

update these requirements and align the 

reporting requirements with the recent 

test procedure amendments and is also 

proposing general certification 

requirements for portable ACs. DOE 

discusses these proposed updates in the 

sections as follows. 

a. Duct-Configuration 

DOE defines two portable AC 

configurations: single-duct and dualduct. Single-duct portable ACs draw all 

the condenser inlet air from the 

conditioned space without the means of 

a duct and discharge the condenser 

outlet air outside the conditioned space 

through a single duct attached to an 

adjustable window bracket. Dual-duct 

portable ACs draw some or all the 


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condenser inlet air from outside the 

conditioned space through a duct 

attached to an adjustable window 

bracket, may draw additional condenser 

inlet air from the conditioned space, 

and discharge the condenser outlet air 

outside the conditioned space by means 

of a separate duct attached to an 

adjustable window bracket. Id. 

The current test procedure for 

portable ACs, found in appendix CC, 

notes that if a portable AC is able to 

operate as both a single-duct and dualduct portable AC as distributed in 

commerce by the manufacturer, it must 

be tested and rated for both duct 

configurations. Section 3.1.1 in 

appendix CC. 

Similarly, in 10 CFR 429.62(a)(5), 

DOE states that single-duct and dualduct portable ACs distributed in 

commerce by the manufacturer with 

multiple duct configuration options that 

meet DOE’s definitions for single-duct 

portable AC and dual-duct portable AC, 

must be rated and certified under both 

applicable duct configurations. 

Under the existing certification 

reporting requirements in 10 CFR 

429.62(b)(2), manufacturers of portable 

ACs must report the following: (1) the 

CEER in Btu/Wh; (2) the SACC in Btu/ 

h; (3) the duct configuration (i.e., singleduct, dual-duct, or ability to operate in 

both configurations); (4) presence of 

heating function; and (5) primary 

condensate removal feature (i.e., autoevaporation, gravity drain, removable 

internal collection bucket, or 

condensate pump). 

DOE is proposing to include clarifying 

amendments to these reporting 

requirements to specify that each 

certification report must include an 

indication of the duct configuration 

used for testing (i.e., single-duct or dualduct) and whether the certified model is 

distributed in commerce by the 

manufacturer with multiple duct 

configuration options that meet DOE’s 

definitions for single-duct portable AC 

and dual-duct portable AC (i.e., yes or 

no). 

DOE requests comment on the 

clarifying amendments to 10 CFR 

429.62(b)(2) to better represent the 

intent of the instruction in appendix CC 

and 10 CFR 429.62(a)(5). 

b. Full-Load Seasonally Adjusted 

Cooling Capacity 

In the May 2023 Portable AC Final 

Rule, DOE amended the appendix CC 

test procedures to include a new 

capacity metric for variable-speed 

portable ACs, full-load seasonally 

adjusted cooling capacity (‘‘SACCFull’’), 

for purposes of representation and 

certification. 88 FR 31102, 31112– 

31114. Consistent with that final rule, 

DOE is proposing to amend the 

certification report requirements by 

proposing a new section, 10 CFR 

429.62(b)(3), to require reporting 

whether a basic model is variable-speed, 

as defined in appendix CC, and if so, to 

report the SACCFull, in Btu/h. 

DOE seeks comment on requiring 

whether a basic model is variable-speed, 

and if so, to report the SACCFull, in Btu/ 

h. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

portable AC certification reporting 

requirements with the May 2023 

Portable AC TP Final Rule requirements 

applicable to portable ACs 

manufactured on and after the June 14, 

2023. 

For variable-speed portable ACs 

tested in accordance with appendix CC 

as amended in the May 2023 Portable 

AC TP Final Rule, manufacturers 

currently report combined energy 

efficiency ratio, seasonally adjusted 

cooling capacity, the duct configuration, 

presence of heating function, and 

primary condensate removal feature, 

and would additionally report full-load 

seasonally adjusted cooling capacity if 

the proposed amendments are adopted. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers beyond those that were 

estimated in the January 2020 Portable 

ACs ECS Final Rule, which first 

established the reporting requirements. 

85 FR 1378. This is because 

manufacturers of portable ACs should 

already be collecting the information 

required for the current certification 

requirements and should have readily 

available the information that DOE is 

proposing to collect as part of this 

rulemaking. DOE does not believe the 

revised reporting requirements will 

cause any appreciable change in 

reporting burden or hours as compared 

to what was estimated in the January 

2020 Portable ACs ECS Final Rule. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for portable ACs. 

P. Compressors 

DOE is proposing to amend the 

reporting requirements for compressors, 

which DOE defines as machines or 

apparatuses that convert different types 

of energy into the potential energy of gas 

pressure for displacement and 

compression of gaseous media to any 

higher pressure values above 

atmospheric pressure and have a 

pressure ratio at full-load operating 

pressure greater than 1.3. 10 CFR 

431.342. 

1. Reporting 

Under the existing requirements in 10 

CFR 429.63(b), a certification report 

must include the following public 

product-specific information for all 

compressors: (1) full-load package 

isentropic efficiency or part-load 

package isentropic efficiency, as 

applicable (dimensionless); (2) full-load 

actual volume flow rate (in cubic feet 

per minute); (3) compressor motor 

nominal horsepower (in horsepower); 

(4) full-load operating pressure (in 

pounds per square inch, gauge); (5) 

maximum full-flow operating pressure 

(in pounds per square inch, gauge); and 

(6) pressure ratio at full-load operating 

pressure (dimensionless). 10 CFR 

429.63(b)(i)–(vi). 

In addition, for any ancillary 

equipment that is installed for test, but 

is not part of the compressor package as 

distributed in commerce (per the 

requirements of 10 CFR part 431, 

subpart T, appendix A, section I(B)(4)), 

a certification report must include the 

following public product-specific 

information: (1) a general description of 

the ancillary equipment, based on the 

list provided in the first column of 

Table 1 of 10 CFR part 431, subpart T, 

appendix A, section I(B)(4); (2) the 

manufacturer of the ancillary 

equipment; (3) the brand of the ancillary 

equipment (if different from the 

manufacturer); (4) the model number of 

the ancillary equipment; (5) the serial 

number of the ancillary equipment (if 

applicable); (6) input voltage (if 

applicable); (7) number of phases (if 

applicable); (8) input frequency (if 

applicable); (9) size of any connections 

(if applicable); and (10) type of any 

connections (if applicable). 10 CFR 

429.63(b)(vii)(A)–(G). A certification 

report must also include installation 

instructions for the ancillary equipment, 

accompanied by photos that clearly 

illustrate the ancillary equipment, as 

installed on compressor package, in a 

PDF. 10 CFR 429.63(b)(vii)(H). 

DOE notes that 10 CFR 429.12(a) 

states that basic models of covered 

products require annual filings on or 

before the dates provided in 10 CFR 

429.12(d), but paragraph (d) does not 

specifically list an annual filing date for 

compressors. In light of this omission, 

DOE proposes to explicitly specify in 10 

CFR 429.12(d) that compressors should 

be recertified annually on or before 

September 1. Because the energy 

conservation standards for compressors 

do not take effect until January 10, 2025, 

this annual reporting requirement 

would not be in effect until the 


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applicable energy conservation 

standards are in effect. 

DOE seeks comment on the proposed 

annual filing date of September 1 for 

compressors. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes no 

changes to the reported information 

required for compressors when 

certifying compliance with the 

standards applicable to compressors 

manufactured on or after January 10, 

2025. DOE only proposes to specify the 

annual date by which manufacturers 

must submit annual certification filings 

to DOE after the applicable standards 

take effect. DOE has tentatively 

determined that the proposed 

amendment would not impose 

additional costs for manufacturers 

because no amendments to the 

certification report contents are being 

proposed in this NOPR. DOE does not 

believe the revised reporting 

requirements would cause any 

appreciable change in reporting burden 

or hours as compared to what 

compressor manufacturers will begin 

doing prior to the January 10, 2025 

compliance date. 

DOE requests comment on the 

proposed annual filing date for 

compressors and any corresponding 

certification and reporting costs. 

Q. Dedicated-Purpose Pool Pump 

Motors 

DOE is proposing to establish 

reporting requirements for DPPPMs, 

which are electric motors that are 

single-phase or polyphase and are 

designed and/or marketed for use in 

dedicated-purpose pool pump (‘‘DPPP’’) 

applications, as defined in sections 1.2, 

1.3, and 1.4 of UL 1004–10:2020. 10 

CFR 431.483. In the NOPR published on 

June 21, 2022 (‘‘June 2022 DPPPM 

NOPR’’), DOE proposed to establish 

energy conservation standards for 

DPPPMs. 87 FR 37122. Consistent with 

that notice of proposed rulemaking, 

DOE is proposing amendments to the 

reporting requirements. 

1. Reporting 

There are currently no reporting 

requirements for DPPPMs. The June 

2022 DPPPM NOPR proposed to 

establish new energy conservation 

standards for DPPPM. Therefore, DOE is 

proposing to align the reporting 

requirements with the standards and 

proposing general certification 

requirements for DPPPM. DOE discusses 

these proposed updates in the sections 

as follows. 

a. Motor Total Horsepower, Full-Load 

Efficiency, and Design Requirements 

In the June 2022 DPPPM NOPR, DOE 

proposed performance standards (i.e., 

full load efficiency) and design 

requirements (i.e., speed capability) 

based on DPPPM total horsepower 

(‘‘THP’’). 87 FR 37122, 37123–37124. 

DOE proposed that the standards, if 

adopted, would apply to all DPPPMs 

manufactured in, or imported into, the 

United States starting on the date 2 

years (or 24 months) after the 

publication of the final rule for the 

proposed rulemaking. 

Further, for DPPPMs greater than or 

equal to 0.5 THP, DOE proposed that 

DPPPMs with freeze protection controls 

be shipped with the freeze protection 

feature disabled, or with the following 

default, user-adjustable settings: (a) the 

default dry-bulb air temperature setting 

shall be no greater than 40 °F; (b) the 

default run time setting shall be no 

greater than 1 hour (before the 

temperature is rechecked); and (c) the 

default motor speed in freeze protection 

mode shall not be more than half of the 

maximum operating speed. 87 FR 

37122, 37124. Table III.1 provides the 

proposed energy conservation 

standards. 

TABLE III.1—JUNE 2022 DPPPM NOPR PROPOSED ENERGY CONSERVATION STANDARDS FOR DEDICATED PURPOSE

POOL PUMP MOTORS

Motor total horsepower 

(THP) 

Performance 

standard: 

full-load efficiency 

(%) 

Design requirement: 

speed capability 

Design requirement: 

freeze protection 

THP < 0.5 ..................................... 69 None ............................................. None. 

0.5 ≤ THP < 1.15 .......................... .............................. Variable speed control ................. Only for DPPP motors with freeze protection controls. 

1.15 ≤ THP ≤ 5 ............................. .............................. Variable speed control ................. Only for DPPP motors with freeze protection controls. 

As such, in this NOPR, DOE proposes 

to update the reporting requirements to 

include product-specific information 

that would be required to certify 

compliance with any newly established 

energy conservation standards. 

Accordingly, DOE proposes reporting 

the DPPPM THP, as the THP is required 

to determine whether the DPPPM would 

need to meet either a performance 

standard or design requirements. DOE 

proposes that the represented value of 

THP should be determined as required 

at 10 CFR 429.65(c)(1)(v). 

For DPPPMs less than 0.5 THP, DOE 

proposes reporting the performance 

standard in terms of full load efficiency. 

DOE proposes using the test procedure 

in 10 CFR 431.484 to determine fullload efficiency, and to report the 

represented value of THP as required at 

10 CFR 429.65(c)(1)(v). 

For DPPPMs greater than or equal to 

0.5 THP, DOE proposes reporting the 

design requirements as follows: 

(1) A statement confirming that the 

DPPPM is variable speed (as defined at 

10 CFR 431.483); and 

(2) A statement regarding whether 

freeze protection is shipped enabled or 

disabled; for DPPPMs distributed in 

commerce with freeze protection 

controls enabled, DOE proposes 

reporting the default dry-bulb air 

temperature setting (in °F), default run 

time setting (in minutes), maximum 

operating speed (in revolutions per 

minute, or rpm), and default motor 

speed in freeze protection mode (in 

revolutions per minute, or rpm). 

Regarding general certification 

requirements, DOE proposes that annual 

filing for DPPPM shall be submitted on 

or before September 1. Further, DOE 

also proposes that the requirements in 

10 CFR 429.12 regarding certification 

apply to DPPPMs. 

DOE seeks comment on the proposed 

reporting requirements for DPPPMs. 

b. Rounding Requirements 

DOE proposes to specify rounding 

requirements for values required to 

determine compliance with the 

proposed energy conservation 

standards. Specifically, DOE proposes 

that manufacturers round DPPPM THP 

to the nearest hundredth of THP, 

consistent with industry practice. 

Further, DOE proposes that 


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25Section 3.14 of the industry standard AHAM 

AC–1–2020 defines CADR as the measure of the 

delivery of contaminant free air, within a defined 

particle size range, by an air cleaner, expressed in 

cubic feet per minute (‘‘cfm’’). CADR is the rate of 

contaminant reduction in the test chamber when 

the air cleaner is turned on, minus the rate of 

natural decay when the air cleaner is not running, 

multiplied by the volume of the test chamber as 

measured in cubic feet. Note: CADR values are 

always the measurement of an air cleaner 

performance as a complete system and have no 

linear relationship to the air movement per se or to 

the characteristics of any particle removal 

methodology. 

26 10 CFR part 430, appendix FF defines PM2.5 via 

reference to the industry standard AHAM AC–7– 

2022, which defines it as particulate matter that are 

nominally 2.5 micrometers (‘‘mm’’) in width or 

smaller. 

manufacturers round full load 

efficiency, expressed in percentage, to 

the nearest tenth of a percent. This is 

consistent with how the full load 

efficiency of an electric motor is 

expressed at 10 CFR 431.25 and 10 CFR 

431.446, and these electric motors share 

test methods with DPPPMs. Finally, for 

DPPPM basic models with THPs greater 

than or equal to 0.5 THP and distributed 

in commerce with freeze protection 

controls enabled, DOE proposes to 

round the dry-bulb temperature setting 

(expressed in °F) run time setting 

(expressed in minutes), maximum 

operating speed (expressed in rpm), and 

default motor speed in freeze protection 

mode (expressed in rpm) to the nearest 

whole number. This is consistent with 

how dry-bulb temperature is expressed 

in 10 CFR 431.465(h)(1). 

DOE seeks comment on the proposed 

rounding requirements for DPPPMs. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

DPPPM certification reporting 

requirements with the proposed energy 

conservation standard requirements 

applicable to DPPPMs manufactured 

starting on the date 2 years (24 months) 

after the date of final rule publication of 

the energy conservation standard in the 

Federal Register. 

The addition of the proposed 

reporting requirements for DPPPMs 

would newly require manufacturers to 

report performance characteristics of 

these motors. For DPPPMs less than 0.5 

THP, full-load efficiency would need to 

be reported in addition to THP, and for 

DPPPMs greater than or equal to 0.5 

THP, freeze protection status and speed 

control capability would need to be 

reported in addition to THP. DOE has 

tentatively concluded that these 

proposed changes would impose 

additional cost to manufacturers and 

importers. The costs associated with 

these changes are described in further 

detail in section IV.C of this document. 

DOE requests comment on the 

certification reporting costs of the 

proposed new reporting requirements 

for DPPPMs. 

R. Air Cleaners 

DOE is proposing to establish 

reporting requirements for air cleaners, 

which DOE defines as a product for 

improving indoor air quality, other than 

a central air conditioner, room air 

conditioner, portable air conditioner, 

dehumidifier, or furnace, that is an 

electrically-powered, self-contained, 

mechanically encased assembly that 

contains means to remove, destroy, or 

deactivate particulates, VOCs, and/or 

microorganisms from the air. It excludes 

products that operate solely by means of 

ultraviolet light without a fan for air 

circulation. 10 CFR 430.2. In a direct 

final rule published on April 11, 2023 

(‘‘April 2023 Air Cleaners DFR’’), DOE 

established new energy conservation 

standards for air cleaners. 88 FR 21752. 

Consistent with that direct final rule, 

DOE is proposing to establish new 

reporting requirements for air cleaners. 

1. Reporting 

There are currently no reporting 

requirements for air cleaners. The April 

2023 Air Cleaners DFR established new 

energy conservation standards for air 

cleaners. 88 FR 21752. In the April 2023 

Air Cleaners DFR, DOE established 

energy conservation standards based on 

integrated energy factor (‘‘IEF’’), which 

is determined as the clean air delivery 

rate (‘‘CADR’’) 25 of an air cleaner 

expressed in terms of PM2.5 26 CADR 

divided by the annual energy 

consumption divided by the annual 

active mode hours. 88 FR 21752, 27153– 

21754. PM2.5 CADR is calculated as the 

geometric mean of smoke CADR and 

dust CADR. 88 FR 21752, 21762. 

Therefore, DOE is proposing to align 

the reporting requirements with the 

standards and proposing general 

certification requirements for air 

cleaners. DOE discusses these proposed 

updates in the following paragraphs. 

DOE proposes to establish reporting 

requirements for air cleaners at 10 CFR 

429.68(b) to include product-specific 

information that would be required to 

certify compliance with the newly 

established energy conservation 

standards. DOE proposes that parties 

must report the smoke CADR, dust 

CADR, and PM2.5 CADR in cfm; annual 

energy consumption in kWh/yr; and, 

IEF in PM2.5 CADR per watt. DOE is 

proposing reporting requirements for 

smoke CADR and dust CADR because 

these values are used to determine PM2.5

CADR. 

Additionally, in a test procedure final 

rule published on March 6, 2023 (March 

2023 Air Cleaners TP Final Rule), DOE 

established requirements for 

determining pollen CADR and effective 

room size. 88 FR 14014, 14016. In the 

March 2023 Air Cleaners TP Final Rule, 

DOE noted that many air cleaners are 

marketed as providing pollen removal 

and the ENERGY STAR specification for 

air cleaners also requires reporting of 

pollen CADR. DOE stated that it is 

important that any representation 

related to an air cleaner’s pollen CADR 

performance be made based on testing 

conducted in a repeatable and 

representative manner. 88 FR 14014, 

14034. Accordingly, in the March 2023 

Air Cleaners TP Final Rule, DOE 

referenced the AHAM AC–1–2020 

standard to conduct a test to measure 

pollen CADR. 88 FR 14014, 14035. 

While DOE has not established any 

energy conservation standards for 

pollen, DOE is proposing to include a 

reporting requirement for pollen CADR 

in this NOPR to ensure that consumers 

have reliable information when making 

purchasing decisions. 

Additionally, in the March 2023 Air 

Cleaners TP Final Rule, DOE established 

a metric for effective room size because 

room size would strongly impact the 

capacity of the air cleaner that would be 

required to clean the air in the desired 

room. 88 FR 14014, 14036 and 14038. 

While DOE has not established any 

standards pertaining to room size, DOE 

is proposing to include a reporting 

requirement for effective room size, in 

square feet, to ensure consumers have 

reliable information when making 

purchasing decisions. 

Regarding general certification 

requirements, DOE proposes that the 

annual filing for air cleaners shall be 

submitted on or before December 1. 

Further, DOE also proposes that the 

requirements in 10 CFR 429.12 

regarding certification apply to air 

cleaners. Finally, DOE proposes to add 

a new paragraph (i)(6) in 10 CFR 429.12 

to note the compliance date for air 

cleaners is December 31, 2023. 

DOE requests comment on the 

proposed reporting requirements for air 

cleaners. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

air cleaner certification reporting 

requirements with the energy 

conservation standard requirements 

established in the April 2023 Air 

Cleaners DFR, such that the reporting 

requirements are applicable to air 

cleaners manufactured on and after 

December 31, 2023. 

The addition of the proposed 

reporting requirements for air cleaners 

would newly require manufacturers to 


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report this information. DOE has 

tentatively concluded that these 

proposed reporting requirements would 

impose additional cost to manufacturers 

and importers. The costs associated 

with these changes are described in 

further detail in section IV.C of this 

document. 

DOE requests comment on the 

certification reporting costs of the 

proposed new reporting requirements 

for air cleaners. 

S. Single Package Vertical Units 

DOE is proposing to amend the 

reporting requirements for single 

package vertical air conditioners 

(‘‘SPVACs’’) and single package vertical 

heat pumps (‘‘SPVHPs’’), collectively 

referred to as ‘‘single package vertical 

units’’ (‘‘SPVUs’’). 

DOE defines an SPVAC as air-cooled 

commercial package air conditioning 

and heating equipment that: (1) is 

factory-assembled as a single package 

that: (i) has major components that are 

arranged vertically; (ii) is an encased 

combination of cooling and optional 

heating components; and (iii) is 

intended for exterior mounting on, 

adjacent interior to, or through an 

outside wall; (2) is powered by a singlephase or three-phase current; (3) may 

contain one or more separate indoor 

grilles, outdoor louvers, various 

ventilation options, indoor free air 

discharges, ductwork, well plenum, or 

sleeves; and (4) has heating components 

that may include electrical resistance, 

steam, hot water, or gas, but may not 

include reverse cycle refrigeration as a 

heating means. 10 CFR 431.92. 

Additionally, DOE defines an SPVHP as 

a single package vertical air conditioner 

that: (1) uses reverse cycle refrigeration 

as its primary heat source; and (2) may 

include secondary supplemental heating 

by means of electrical resistance, steam, 

hot water, or gas. Id. 

In a test procedure final rule 

published in the Federal Register on 

December 7, 2022 (‘‘December 2022 

SPVU TP final rule’’), DOE added 

definitions for ‘‘single-phase single 

package vertical air conditioner with 

cooling capacity less than 65,000 Btu/h’’ 

and ‘‘single-phase single package 

vertical heat pump with cooling 

capacity less than 65,000 Btu/h.’’ 87 FR 

75144, 75167–75168; 10 CFR 431.92. 

DOE defines this equipment as SPVAC 

and SPVHP that are either: (1) 

weatherized, or (2) non-weatherized and 

have optional ventilation air provisions 

available with the ability to draw in and 

condition a minimum of 400 CFM of 

outdoor air, as determined in 

accordance with 10 CFR 429.134(x)(3), 

while the equipment is operating with 

the same drive kit and motor settings 

used to determine the certified 

efficiency rating of the equipment. Id. 

The Federal test procedures are 

applicable to SPVUs with a cooling 

capacity less than 760,000 Btu/h. (42 

U.S.C. 6311(8)(D)(ii)) In the December 

2022 SPVU TP final rule, DOE 

incorporated by reference AHRI 390– 

2021 which maintains the existing 

efficiency metrics—energy efficiency 

ratio (‘‘EER’’) for cooling mode and 

coefficient of performance (‘‘COP’’) for 

heating mode—but it also added a 

seasonal efficiency metric that includes 

part-load cooling performance— 

integrated energy efficiency ratio 

(‘‘IEER’’). 87 FR 75144, 75167–75170 

(Dec. 7, 2022). In an energy conservation 

standards NOPR published in the 

Federal Register on December 8, 2022 

(‘‘December 2022 SPVU ECS NOPR’’), 

DOE proposed to amend the energy 

conservation standards for SPVUs to be 

based on the IEER metric for cooling 

efficiency (while retaining the COP 

metric for determining the heating 

efficiency of SPVHPs). 87 FR 75388, 

75421. Consistent with the December 

2022 SPVU TP final rule and the 

December 2022 SPVU ECS NOPR, DOE 

is proposing amendments to the 

reporting requirements for SPVUs that 

would be utilized with energy 

conservation standards denominated in 

terms of IEER, should DOE adopt such 

standards. 

1. Reporting 

Under the existing requirements for 

SPVACs and SPVHPs in 10 CFR 

429.43(b)(2)(v) and 10 CFR 

429.43(b)(2)(vi), respectively, 

manufacturers must report the following 

information for SPVACs and SPVHPs: 

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). For SPVHPs, 

manufacturers must additionally report 

the coefficient of performance (COP). 

These requirements provide for 

certifying compliance with the 

applicable standards for SPVUs 

manufactured on and after September 

23, 2019 for units with cooling capacity 

<65,000 Btu/h, on and after October 9, 

2015 for units ≥65,000 Btu/h and 

<135,000 Btu/h, and on and after 

October 9, 2016 for units ≥135,000 Btu/ 

h and <240,000 Btu/h. These energy 

conservation standards for SPVUs are 

codified in DOE’s regulations at 10 CFR 

431.97(d)(3). DOE is proposing to 

update these requirements and align the 

reporting requirements with the 

amended energy conservation standards 

proposed in the December 2022 SPVU 

ECS NOPR. DOE discusses these 

proposed updates in the sections as 

follows. 

a. Revising Certification Reporting 

Requirements at 10 CFR 429.43(b)(2)(v) 

and 10 CFR 429.43(b)(2)(vi) When 

Certifying SPVUs of All Rated 

Capacities With IEER Standards 

SPVU manufacturers are currently 

required to certify compliance with EER 

and, for SPVHPs, also COP standards, in 

addition to the other reported items 

mentioned previously. In this NOPR, 

DOE is proposing certification 

requirements when certifying 

compliance of SPVUs of all rated 

capacities with IEER standards, should 

such standards be adopted. Specifically, 

DOE proposes to include the following 

at 10 CFR 429.43(b)(2)(v)(B) and 

(b)(2)(vi)(B) when certifying compliance 

an IEER standard: the integrated energy 

efficiency ratio (IEER in British thermal 

units per Watt-hour (Btu/Wh)), the rated 

cooling capacity in British thermal units 

per hour (Btu/h), and the rated airflow 

in standard cubic feet per minute 

(SCFM). Additionally, DOE proposes to 

include a requirement to certify the 

coefficient of performance (COP) for 

SPVHPs at 10 CFR 429.43(b)(2)(vi)(B). 

DOE also proposes to move the existing 

text in 10 CFR 429.43(b)(2)(v) and 10 

CFR 429.43(b)(2)(vi) to 10 CFR 

429.43(b)(2)(v)(A) and 10 CFR 

429.43(b)(2)(vi)(A), respectively. 

DOE seeks comment on its proposed 

certification requirements for SPVUs of 

all rated capacities when certifying 

compliance with IEER standards. 

b. Additional Certification Reporting 

Requirements for SPVUs With a Cooling 

Capacity <65,000 Btu/h 

As discussed previously, DOE added 

definitions at 10 CFR 431.92 for singlephase SPVACs and SPVHPs with a 

cooling capacity less than 65,000 Btu/h. 

For non-weatherized equipment, the 

definition requires these SPVUs to have 

the capability to draw in and condition 

up to 400 CFM of outdoor air. The 

method for determining this outdoor 

ventilation airflow rate is provided at 10 

CFR 429.134(x)(3). DOE is proposing to 

require single-phase SPVAC and SPVHP 

with cooling capacity less than 65,000 

Btu/h to report whether the unit is 

weatherized or non-weatherized, and if 

non-weatherized, the amount of outdoor 

air which it is capable of drawing in and 

conditioning while the equipment is 

operating with the same drive kit and 

motor settings used to determine its 

certified efficiency rating. These 

requirements will apply when certifying 

compliance with energy conservation 


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standards denominated in terms of 

IEER, should DOE adopt such standards. 

DOE seeks comment on its proposed 

additional certification requirements for 

SPVUs with a cooling capacity less than 

65,000 Btu/h. 

c. Updating Supplemental Testing 

Instructions for SPVACs and SPVHPs 

Manufacturers are currently required 

to submit Supplemental Testing 

Instructions (‘‘STIs’’) regarding: 

additional test 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. 10 CFR 429.43(b)(4)(vi) 

and (b)(4)(vii). DOE proposes to further 

specify the information manufacturers 

must report in their STIs that would 

enable the independent conduct a test of 

the relevant equipment to the updated 

test procedure in terms of IEER, 

including requirements to report 

compressor break-in period and outdoor 

air-side attachments, and to align with 

corresponding requirements for CUACs, 

where appropriate. 

In all, DOE proposes to maintain the 

current requirements of 10 CFR 

429.43(b)(4)(vi) and (b)(4)(vii), but move 

them to 10 CFR 429.43(b)(4)(vi)(A) and 

(b)(4)(vii)(A) respectively for EER 

certification. DOE proposes to add new 

provisions for SPVACs and SPVHPs in 

10 CFR 429.43(b)(4)(vi)(B) and 

(b)(4)(vii)(B) for IEER certification to 

require: Compressor break-in period 

duration; rated indoor airflow in 

standard cubic feet per minute (SCFM); 

frequency or control set points, 

including the required dip switch/ 

control settings for step or variable 

speed components (e.g., compressors, 

VFDs); rated indoor airflow in SCFM for 

each part-load point used in the IEER 

calculation and any special instructions 

required to obtain operation at each 

part-load point, such as frequency or 

control set points including dip switch/ 

control settings for step or variable 

speed components (e.g., compressors, 

VFDs); a statement whether the model 

will operate at test conditions without 

manufacturer programming; any 

additional testing instructions, if 

applicable; and 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; outdoor air-side 

attachments used for testing, or any 

additional applicable testing 

instructions, are also required. 

Additionally, for SPVHPs, DOE 

proposes to add a requirement in 10 

CFR 429.43(b)(4)(vii)(B) for the rated 

airflow in SCFM in heating mode if the 

unit is designed to operate with 

different airflow rates for cooling and 

heating mode. 

The proposed certification 

requirements provide further direction 

to the existing requirements and would 

not result in significant additional 

burden for manufacturers. Where DOE 

identifies specific test-related 

information, the relevant information is 

already collected by or available to the 

manufacturer, and that as such, 

reporting that information to DOE 

would result in minimal additional 

burden. 

DOE seeks comment on its proposed 

supplemental testing instructions 

requirements for SPVUs when certifying 

compliance with IEER standards, should 

such standards be adopted. 

d. AEDM Tolerance for IEER 

DOE’s existing testing regulations 

allow the use of an AEDM, in lieu of 

testing, to simulate the efficiency of 

SPVUs. 10 CFR 429.43(a). For models 

certified with an AEDM, results from 

DOE verification tests are subject to 

certain tolerances when compared to 

certified ratings. Currently, DOE 

specifies a 5-percent tolerance for 

SPVUs verification tests for both EER 

and COP, identical to the current 

tolerance specified for these single-point 

metrics for other categories of 

commercial air conditioners and heat 

pumps. See table 2 to paragraph 

(c)(5)(vi)(B) at 10 CFR 429.70. For 

integrated seasonal metrics (i.e., IEER) 

for other categories of commercial air 

conditioners and heat pumps, DOE 

specifies a 10-percent tolerance. See Id. 

In alignment with such tolerances, DOE 

is proposing to specify a 10-percent 

tolerance for IEER for SPVUs. 

DOE seeks comment on its proposal to 

specify a tolerance of 10 percent for 

SPVU verification tests for IEER. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

SPVU certification reporting 

requirements with the amended energy 

conservation standards proposed in the 

December 2022 SPVU ECS NOPR. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers, because manufacturers 

of SPVUs are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 

compared to what SPVU manufacturers 

are currently doing. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for SPVUs. 

T. Ceiling Fan Light Kits 

DOE is proposing to amend the 

reporting requirements for CFLKs, 

which DOE defines as equipment 

designed to provide light from a ceiling 

fan that can be (1) integral, such that the 

equipment is attached to the ceiling fan 

prior to the time of retail sale; or (2) 

attachable, such that at the time of retail 

sale the equipment is not physically 

attached to the ceiling fan, but may be 

included inside the ceiling fan at the 

time of sale or sold separately for 

subsequent attachment to the fan. 10 

CFR 430.2. 

1. Reporting 

In 10 CFR 429.33(b)(2)(ii)(A) and 

(b)(3)(ii)(B), DOE specifies information 

that must be included in the 

certification report for each basic model 

of CFLK manufactured on or after 

January 21, 2020. These paragraphs 

specify these requirements for ‘‘for each 

basic model of lamp and/or each basic 

model of non-consumer-replaceable SSL 

packaged with the ceiling fan light kit.’’ 

On April 10, 2023, DOE published a 

final rule amending CFLK test 

procedures. 88 FR 21061 (‘‘April 2023 

CFLK TP Final Rule’’). In this rule, to 

clarify terminology used in the test 

procedure, DOE replaced the terms 

‘‘other SSL products’’ and ‘‘integrated 

SSL circuitry’’ with, respectively, 

‘‘consumer-replaceable SSL’’ and ‘‘nonconsumer-replaceable SSL’’ in the CFLK 

test procedure appendix, 10 CFR 429.33, 

10 CFR 430.23(x), and 10 CFR 

430.32(s)(6). 88 FR 21061, 21067–21068. 

Because 10 CFR 429.33(b)(2)(ii)(A) and 

(b)(3)(ii)(B) only specified ‘‘integrated 

SSL circuitry’’ and omitted ‘‘other SSL 

products,’’ the April 2023 CFLK TP 

Final Rule only replaced ‘‘integrated 

SSL circuitry’’ with ‘‘non-consumerreplaceable SSL’’ and did not include 

‘‘consumer replaceable SSL’’, the 

replacement term for ‘‘other SSL 

products.’’ 88 FR 21061, 21072. Hence, 

CFLKs packaged with consumerVerDate Sep<11>2014 22:19 Sep 28, 2023 Jkt 259001 PO 00000 Frm 00034 Fmt 4701 Sfmt 4702 E:\FR\FM\29SEP2.SGM 29SEP2

lotter on DSK11XQN23PROD with PROPOSALS2
Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 67491 

27The draft reporting template requirements will 

be made available in docket number EERE–2023– 

BT–CE–0001, available at www.regulations.gov, 

upon publication of this NOPR. 

replaceable SSL are inadvertently 

omitted from this language. DOE is 

proposing modify this language to 

include them and read as follows, ‘‘for 

each basic model of lamp, each basic 

model of consumer-replaceable SSL, 

and/or each basic model of nonconsumer-replaceable SSL packaged 

with the ceiling fan light kit’’. This 

proposed modification to 10 CFR 

429.33(b)(2)(ii)(A) and (b)(3)(ii)(B) will 

ensure that all types of CFLKs are 

explicitly included in certification 

requirements. 

DOE requests comment on the 

proposed correction to existing CFLK 

certification requirements. 

2. Reporting Costs and Impacts 

In this NOPR, DOE proposes to 

correct the existing certification 

reporting requirements for CFLKs 

manufactured on or after January 21, 

2020. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

CFLKs are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 

compared to what CFLK manufacturers 

are currently doing today. 

DOE requests comment on the 

certification reporting costs of the 

amendments proposed for CFLKs. 

U. Additional Corrections 

10 CFR 429.12(i) includes the 

compliance dates for certain products. 

Specifically, the instructions state that 

for any product subject to an applicable 

energy conservation standard for which 

the compliance date has not yet 

occurred, the manufacturer must submit 

a certification report no later than the 

compliance date for the applicable 

energy conservation standard. However, 

for the covered products currently listed 

in 10 CFR 429.12(i), the compliance 

dates for initial certification have 

already occurred. Accordingly, DOE 

proposes to remove the covered 

products and associated compliance 

dates in 10 CFR 429.12(i)(1)–(5). DOE 

also proposes to add three new 

paragraphs at 10 CFR 429.12(i)(1)–(3) for 

air cleaners, DPPPMs, and DX–DOASes. 

Initial certification would be required 

by December 31st, 2023 for air cleaners 

and May 1st, 2024 for DX–DOASes. For 

DPPPMs, initial certification would be 

required 24 months after date of 

publication of a final rule amending 

DPPPM standards. 

DOE provides definitions related to 

the energy efficiency program for certain 

commercial and industrial equipment in 

10 CFR 431.2. In this section, DOE has 

identified updates needed in two 

definitions. The definition for ‘‘covered 

equipment’’ lists covered equipment 

and notes where the covered equipment 

term is defined within 10 CFR. 

‘‘Commercial heating, ventilating, and 

air conditioning, and water heating 

product (HVAC & WH product)’’ are 

included in this list and refers to this 

term as defined in § 431.172. However, 

this term is defined in 10 CFR 431.2, 

rather than § 431.172. As such, DOE is 

proposing to update the definition for 

‘‘covered equipment’’ to update the 

reference to the definition for 

‘‘commercial heating, ventilating, and 

air conditioning, and water heating 

product’’ in 10 CFR 431.2. 

Additionally, as mentioned above, the 

definition of ‘‘covered equipment’’ in 10 

CFR 431.2 is intended to reference each 

equipment type covered within 10 CFR 

part 431. The current definition does 

not include all covered equipment 

types. Therefore, DOE is proposing to 

add these equipment types and their 

corresponding definition section 

references within the definition of 

covered equipment in 10 CFR 431.2. 

Specifically, DOE proposes to add 

references to: fan or blower, as defined 

in § 431.172; compressor, as defined in 

§ 431.342; small electric motor, as 

defined in § 431.442; pump, as defined 

in § 431.462; and dedicated purpose 

pool pump motor, as defined in 

§ 431.483. 

DOE requests comment on the 

proposed updates to compliance dates 

listed in 10 CFR 429.12 and to the 

‘‘covered equipment’’ definition in 10 

CFR 431.2. 

V. Draft Certification Templates for 

Review 

To help interested parties better 

understand and review the proposed 

amendments discussed in the earlier 

sections of this NOPR, DOE has 

developed a draft document that 

includes example tables showing the 

certification report template inputs as 

would be required in accordance with 

the proposals in this NOPR, if 

finalized.27 The draft tables also include 

the data entry requirements for each 

field in the certification report input 

table. 

The draft certification table headers 

are not reflective of the final 

certification regulations that may be 

adopted by a subsequent final rule, nor 

do they represent the entirety of the 

information required in a certification 

report. Upon completion of this 

rulemaking, DOE will revise the 

reporting templates to reflect the final 

certification regulations once DOE has 

received approval from OMB to collect 

the revised information. The specific 

templates that should be used for 

certifying compliance of covered 

products and equipment to DOE are 

available for download at 

www.regulations.doe.gov/ccms/ 

templates. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Orders 

12866, 13563, and 14094 

Executive Order (‘‘E.O.’’) 12866, 

‘‘Regulatory Planning and Review,’’ as 

supplemented and reaffirmed by E.O. 

13563, ‘‘Improving Regulation and 

Regulatory Review,’’ 76 FR 3821 (Jan. 

21, 2011), and amended by E.O. 14094, 

‘‘Modernizing Regulatory Review,’’ 88 

FR 21879 (April 11, 2023), requires 

agencies, to the extent permitted by law, 

to (1) propose or adopt a regulation only 

upon a reasoned determination that its 

benefits justify its costs (recognizing 

that some benefits and costs are difficult 

to quantify); (2) tailor regulations to 

impose the least burden on society, 

consistent with obtaining regulatory 

objectives, taking into account, among 

other things, and to the extent 

practicable, the costs of cumulative 

regulations; (3) select, in choosing 

among alternative regulatory 

approaches, those approaches that 

maximize net benefits (including 

potential economic, environmental, 

public health and safety, and other 

advantages; distributive impacts; and 

equity); (4) to the extent feasible, specify 

performance objectives, rather than 

specifying the behavior or manner of 

compliance that regulated entities must 

adopt; and (5) identify and assess 

available alternatives to direct 

regulation, including providing 

economic incentives to encourage the 

desired behavior, such as user fees or 

marketable permits, or providing 

information upon which choices can be 

made by the public. DOE emphasizes as 

well that E.O. 13563 requires agencies to 

use the best available techniques to 

quantify anticipated present and future 

benefits and costs as accurately as 

possible. In its guidance, the Office of 

Information and Regulatory Affairs 

(‘‘OIRA’’) in the Office of Management 


lotter on DSK11XQN23PROD with PROPOSALS2
67492 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

28Supporting Statement for Certification Reports, 

Compliance Statements, Application for a Test 

Procedure Waiver, and Recording keeping for 

Consumer Products and Commercial Equipment 

Subject to Energy or Water Conservation Standards. 

Available at omb.report/icr/202112-1910-001/doc/ 

117137200. 

29The business size standards are listed by 

NAICS code and industry description and are 

available at www.sba.gov/document/support-tablesize-standards (last Accessed July 29th, 2021). 

30Supporting Statement for Certification Reports, 

Compliance Statements, Application for a Test 

Procedure Waiver, and Recording keeping for 

Consumer Products and Commercial Equipment 

Subject to Energy or Water Conservation Standards. 

Available at omb.report/icr/202112-1910-001/doc/ 

117137200. 

and Budget (‘‘OMB’’) has emphasized 

that such techniques may include 

identifying changing future compliance 

costs that might result from 

technological innovation or anticipated 

behavioral changes. For the reasons 

stated in the preamble, this proposed 

regulatory action is consistent with 

these principles. 

Section 6(a) of E.O. 12866 also 

requires agencies to submit ‘‘significant 

regulatory actions’’ to OIRA for review. 

This action does not constitute a 

significant action under section 3(f) of 

E.O. 12866. Accordingly, this action was 

not submitted to OIRA for review under 

E.O. 12866. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

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

of an initial regulatory flexibility 

analysis (‘‘IRFA’’) for any rule that by 

law must be proposed for public 

comment, 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 DOE 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s website: www.energy.gov/gc/ 

office-general-counsel. DOE reviewed 

this proposed rule under the provisions 

of the Regulatory Flexibility Act and the 

procedures and policies published on 

February 19, 2003. 

DOE has tentatively concluded that 

the removal of outdated reporting 

requirements and the addition of new 

reporting requirements adopted in this 

final rule will not impose additional 

costs for manufacturers of CAC/HPs, 

DWs, RCWs, dehumidifiers, EPSs, 

battery chargers, CRACs, three-phase, 

less than 65,000 Btu/h ACUACs and 

ACUHPs, three-phase, less than 65,000 

Btu/h VRF, ACIMs, walk-ins, 

commercial and industrial pumps, 

portable ACs, compressors, SPVUs, and 

CFLKs for the reasons discussed in 

section III of this document. For these 

products and equipment, DOE has 

determined that the amendments will 

not impose additional costs for 

manufacturers because manufacturers 

are already submitting certification 

reports to DOE and should have readily 

available the information that DOE is 

requiring as part of this proposed 

rulemaking. Consequently, for these 

types of covered products and 

equipment, the changes in this proposed 

rule are not expected to have a 

significant economic impact on related 

entities regardless of size. 

For electric pool heaters, no 

certification is currently required. This 

proposal would add reporting 

requirements to align with the amended 

energy conservation standards finalized 

in the May 2023 Pool Heaters Final 

Rule, which established new and 

amended energy conservation standards 

for electric pool heaters. 88 FR 34624. 

Therefore, electric pool heater 

manufacturers would incur additional 

paperwork costs. 

Consumer pool heaters are classified 

under NAICS code 333414, ‘‘heating 

equipment (except warm air furnaces) 

manufacturing.’’ The SBA sets a 

threshold of 500 employees or fewer for 

an entity to be considered as a small 

business for this category. DOE used 

publicly available information to 

identify potential small manufacturers. 

DOE’s research involved industry trade 

association membership directories 

(e.g., AHRI), information from previous 

rulemakings, individual company 

websites, and market research tools 

(e.g., D&B Hoovers reports) to create a 

list of companies that manufacture 

consumer pool heaters. DOE also asked 

stakeholders and industry 

representatives if they were aware of 

any additional small manufacturers 

during manufacturer interviews. DOE 

reviewed publicly available data and 

contacted various companies on its 

complete list of manufacturers to 

determine whether they met the SBA’s 

definition of a small business 

manufacturer. DOE screened out 

companies that do not offer products 

impacted by this rulemaking, do not 

meet the definition of a ‘‘small 

business,’’ or are foreign-owned and 

operated. DOE identified 21 companies 

manufacturing consumer pool heaters 

covered by this proposed rulemaking. 

Of these manufacturers, DOE identified 

six as domestic small businesses. None 

of these six businesses manufacture gas 

fired pool heaters. Five manufacture 

electric heat pump pool heaters and one 

manufactures electric resistance pool 

heaters. DOE estimates that the 

increased certification burden would 

result in 35 hours per manufacturer to 

develop the required certification 

reports. Therefore, based on a fully 

burdened labor rate of $67 per hour, the 

estimated total annual cost to 

manufacturers would be $2,345 per 

manufacturer.28 Using available public 

information, DOE estimated the average 

annual revenue of the six small 

businesses. Among the small 

businesses, the lowest estimated annual 

revenue was approximately $259,000— 

therefore, this additional certification 

cost of $2,345 per manufacturer 

represents less than 1 percent of the 

identified manufacturer’s annual 

revenue. 

Additionally, for DX–DOASes, no 

certification is currently required. This 

proposal would add reporting 

requirements to align with the new 

energy conservation standards. 10 CFR 

431.97(g). Therefore, DX–DOASes 

manufacturers would incur additional 

paperwork costs as well. DX–DOASes 

are classified under NAICS code 

333415,29 ‘‘Air-Conditioning and Warm 

Air Heating Equipment and Commercial 

and Industrial Refrigeration Equipment 

Manufacturing.’’ The SBA sets a 

threshold of 1,250 employees or fewer 

for an entity to be considered as a small 

business for this category. In reviewing 

the DX–DOAS market, DOE used 

company websites, marketing research 

tools, product catalogues, and other 

public information to identify 

companies that manufacture DX– 

DOASes. DOE screened out companies 

that do not meet the definition of ‘‘small 

business’’ or are foreign-owned and 

operated. DOE used subscription-based 

business information tools to determine 

headcount, revenue, and geographic 

presence of the small businesses. DOE 

identified twelve companies 

manufacturing DX–DOASes covered by 

this rulemaking. Of these 

manufacturers, DOE identified one as a 

domestic small business. DOE estimates 

that the increased certification burden 

would result in 35 hours per 

manufacturer to develop the required 

certification reports. Therefore, based on 

a fully burdened labor rate of $67 per 

hour, the estimated total annual cost to 

manufacturers would be $2,345 per 

manufacturer.30 DOE understands the 

annual revenue of the small business 


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Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 67493 

31The business size standards are listed by 

NAICS code and industry description and are 

available at www.sba.gov/document/support-tablesize-standards (last accessed March 7th, 2023). 

32MAEDbS can be accessed at https://

www.energy.ca.gov/programs-and-topics/programs/ 

appliance-efficiency-program-outreach-andeducation/modernized (last accessed July 15th, 

2021). 

33ENERGY STAR-certified products can be found 

in the ENERGY STAR database accessed at 

www.energystar.gov/productfinder/product/ 

certified-commercial-water-heaters/results (last 

accessed July 15th, 2021). 

34Certified equipment in the CCD are listed by 

product class and can be accessed at 

www.regulations.doe.gov/certification-data/ 

#q=Product_Group_s%3A* (last accessed July 15th, 

2021). 

35Supporting Statement for Certification Reports, 

Compliance Statements, Application for a Test 

Procedure Waiver, and Recording keeping for 

Consumer Products and Commercial Equipment 

Subject to Energy or Water Conservation Standards. 

Available at omb.report/icr/202112-1910-001/doc/ 

117137200. 36Supporting Statement for Certification Reports, 

Compliance Statements, Application for a Test 

Procedure Waiver, and Recording keeping for 

Consumer Products and Commercial Equipment 

Subject to Energy or Water Conservation Standards. 

Available at omb.report/icr/202112-1910-001/doc/ 

117137200. 

37The small business’s annual revenue estimate 

is taken from D&B Hoovers (app.avention.com). 

38Association of Home Appliance Manufacturers. 

‘‘Find a Certified Room Air Cleaner.’’ Available at 

ahamverifide.org/directory-of-air-cleaners/ (last 

accessed January 24, 2022). 

39Available at data.energystar.gov/ActiveSpecifications/ENERGY-STAR-Certified-Room-AirCleaners/jmck-i55n/data (last accessed May 31, 

2022). 

40The California Air Resources Board. ‘‘List of 

CARB-Certified Air Cleaning Devices.’’ Available at 

ww2.arb.ca.gov/list-carb-certified-air-cleaningdevices (last accessed May 31, 2022). 

41S&P Global. Panjiva Market Intelligence is 

available at panjiva.com/import-export/UnitedStates (last accessed May 5, 2022). 

42The Dun & Bradstreet Hoovers login is available 

at app.dnbhoovers.com. 

43Supporting Statement for Certification Reports, 

Compliance Statements, Application for a Test 

Continued 

that manufactures DX–DOASes to be 

approximately $66 million. 87 FR 5560, 

5584. Therefore, this additional 

certification cost of $2,345 per 

manufacturer represents significantly 

less than 1 percent of the identified 

manufacturer’s annual revenue. 

This document also proposes 

certification reporting requirements for 

commercial electric instantaneous water 

heaters, which would align with the 

previously inadvertently omitted energy 

conservation standards put in place by 

EPCA and were proposed in the May 

2022 CWH NOPR. 87 FR 30610. As a 

result, commercial electric 

instantaneous water heater 

manufacturers would incur additional 

paperwork costs. CWH equipment is 

classified under NAICS code 333310,31

‘‘Commercial and Service Industry 

Machinery Manufacturing.’’ In 13 CFR 

121.201, the SBA sets a threshold of 

1,000 employees or fewer for an entity 

to be considered as a small business for 

this category. DOE’s analysis relied on 

publicly available databases to identify 

potential small businesses that 

manufacture equipment covered in this 

rulemaking. DOE utilized the California 

Energy Commission’s MAEDbS,’’ 32

DOE’s ENERGY STAR Database,33 and 

DOE’s CCD 34 in identifying 

manufacturers. DOE’s research 

identified nine original equipment 

manufacturers (‘‘OEMs’’) of commercial 

electric instantaneous water heaters 

being sold in the U.S. market. Of these 

nine companies, DOE has identified 

three as domestic small businesses. The 

small businesses do not currently certify 

any other CWH equipment to DOE’s 

Compliance Certification Management 

System (‘‘CCMS’’). DOE estimates that 

the increased certification burden 

would result in 35 hours per 

manufacturer to develop the required 

certification reports. Therefore, based on 

a fully burdened labor rate of $67 per 

hour, the estimated total annual cost to 

manufacturers would be $2,345 per 

manufacturer.35 Using available public 

information, DOE estimated the annual 

revenue for all three small businesses 

that manufacture commercial electric 

instantaneous water heaters. The small 

business with the least annual revenue 

has an annual revenue of approximately 

$10,400,000. Therefore, this additional 

certification cost of $2,345 per 

manufacturer represents significantly 

less than 1 percent of each identified 

manufacturer’s annual revenue. 

For DPPPMs, no certification is 

currently required. This proposal would 

add reporting requirements to align with 

the energy conservation standards 

proposed in the June 2022 DPPPM 

NOPR, which proposed new energy 

conservation standards for DPPPMs. 87 

FR 37122. Therefore, DPPPM 

manufacturers would incur additional 

paperwork costs. DPPPMs are classified 

under NAICS code 335312, ‘‘Motor and 

Generator Manufacturing.’’ The SBA 

sets a threshold of 1,250 employees or 

fewer for an entity to be considered as 

a small business in this category. DOE 

screened out companies that do not 

offer products impacted by this 

rulemaking, do not meet the definition 

of a ‘‘small business,’’ or are foreignowned and operated. DOE identified 

five companies manufacturing DPPPMs 

for the domestic market. Of those, DOE 

determined that one company met the 

SBA definition of a small business. DOE 

estimates that the increased certification 

burden would result in 35 hours per 

manufacturer to develop the required 

certification reports annually. Therefore, 

based on a fully burdened labor rate of 

$67 per hour, the estimated total annual 

cost to manufacturers would be $2,345 

per manufacturer.36 DOE was able to 

identify an annual revenue estimate of 

approximately $28.2 million for the 

small business.37 Therefore, this 

additional certification cost of $2,345 

per manufacturer represents 

significantly less than 1 percent of the 

identified manufacturer’s annual 

revenue. 

This proposal would also add 

reporting requirements to align with the 

energy conservation standards 

established in the April 2023 Air 

Cleaners DFR, which developed new 

energy conservation standards for air 

cleaners. Therefore, air cleaner 

manufacturers would incur additional 

paperwork costs. Air cleaners are 

classified under NAICS code 335210, 

‘‘Small Electrical Appliance 

Manufacturing.’’ The SBA sets a 

threshold of 1,500 employees or fewer 

for an entity to be considered as a small 

business for this category. DOE 

conducted a market survey to identify 

potential small manufacturers of air 

cleaners. DOE began its assessment by 

reviewing Association of Home 

Appliance Manufacturers’ (AHAM’s) 

database 38 of air cleaners, models in 

ENERGY STAR V.2.0,39 California Air 

Resources Board,40 and individual 

company websites. DOE then consulted 

publicly available data, such as 

manufacturer websites, manufacturer 

specifications and product literature, 

and import/export logs (e.g., bills of 

lading from Panjiva 41), to identify 

OEMs of air cleaners. DOE further relied 

on public data and subscription-based 

market research tools (e.g., Dun & 

Bradstreet reports 42) to determine 

company, location, headcount, and 

annual revenue. DOE screened out 

companies that do not offer products 

covered by this proposed rulemaking, 

do not meet the SBA’s definition of a 

‘‘small business,’’ or are foreign-owned 

and operated. DOE initially identified 

43 OEMs that sell air cleaners in the 

United States. Of the 43 OEMs 

identified, DOE tentatively determined 

four companies qualify as small 

businesses and are not foreign-owned 

and operated. DOE estimates that the 

increased certification burden would 

result in 35 hours per manufacturer to 

develop the required certification 

reports. Therefore, based on a fully 

burdened labor rate of $67 per hour, the 

estimated total annual cost to 

manufacturers would be $2,345 per 

manufacturer.43 Using available public 


lotter on DSK11XQN23PROD with PROPOSALS2
67494 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 

Procedure Waiver, and Recording keeping for 

Consumer Products and Commercial Equipment 

Subject to Energy or Water Conservation Standards. 

Available at omb.report/icr/202112-1910-001/doc/ 

117137200. 

44The certification reporting requirements for 

portable ACs were established in the January 2020 

Portable ACs ECS Final Rule. However, the energy 

conversation standard for portable ACs does not go 

into effect until January 2025, until which time 

manufacturers may optionally submit certification 

reports to DOE. 

information, DOE estimated the annual 

revenue for all four small businesses 

that manufacture air cleaners. The small 

business with the least annual revenue 

has an annual revenue of approximately 

$1.3 million. Therefore, this additional 

certification cost of $2,345 per 

manufacturer represents significantly 

less than 1 percent of each identified 

manufacturer’s annual revenue. 

DOE reviewed this proposed rule 

under the provisions of the Regulatory 

Flexibility Act and the policies and 

procedures published on February 19, 

2003. On the basis of the forgoing, DOE 

initially concludes that the impacts of 

the amendments to DOE’s certification 

regulations proposed in this NOPR 

would not have a ‘‘significant economic 

impact on a substantial number of small 

entities.’’ Accordingly, DOE has not 

prepared an IRFA for this NOPR. DOE 

will transmit this certification of no 

significant impact on a substantial 

number of small entities and supporting 

statement of factual basis to the Chief 

Counsel for Advocacy of the SBA for 

review under 5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of CAC/HPs, DWs, 

RCWs, pool heaters, dehumidifiers, 

EPSs, battery chargers, CRACs, DX– 

DOASes, three-phase, less than 65,000 

Btu/h ACUACs and ACUHPs, threephase, less than 65,000 Btu/h VRF, 

CWHs, ACIMs, walk-ins, commercial 

and industrial pumps, portable ACs,44

compressors, DPPPMs, air cleaners, and 

SPVUs must certify to DOE that their 

products comply with any applicable 

energy conservation standards. To 

certify compliance, manufacturers must 

first obtain test data for their products 

according to the DOE test procedures. 

DOE has established regulations for the 

certification and recordkeeping 

requirements for all covered consumer 

products and commercial equipment, 

including CAC/HPs, DWs, RCWs, pool 

heaters, dehumidifiers, EPSs, battery 

chargers, CRACs, DX–DOASes, threephase, less than 65,000 Btu/h ACUACs 

and ACUHPs, three-phase, less than 

65,000 Btu/h VRF, CWHs, ACIMs, walkins, commercial and industrial pumps, 

portable ACs, compressors, DPPPMs, air 

cleaners, SPVUs, and CFLKs. (See 

generally 10 CFR part 429.) The 

collection-of-information requirement 

for the certification and recordkeeping 

is subject to review and approval by 

OMB under the Paperwork Reduction 

Act (‘‘PRA’’). DOE’s current reporting 

requirements are approved by OMB 

under OMB control number 1910–1400. 

Public reporting burden for the 

certification is estimated to average 35 

hours per response, including the time 

for reviewing instructions, searching 

existing data sources, gathering and 

maintaining the data needed, and 

completing and reviewing the collection 

of information. 

1. Description of the Requirements 

DOE is proposing to establish or 

amend the reporting requirements for 

CAC/HPs, DWs, RCWs, pool heaters, 

dehumidifiers, EPSs, battery chargers, 

CRACs, DX–DOASes, three-phase, less 

than 65,000 Btu/h ACUACs and 

ACUHPs, three-phase, less than 65,000 

Btu/h VRF, CWHs, ACIMs, walk-ins, 

commercial and industrial pumps, 

portable ACs, compressors, DPPPMs, air 

cleaners, SPVUs, and CFLKs. DOE will 

send a revised information collection 

approval to OMB under the existing 

Control Number 1910–1400. The 

revisions will just reflect the changes 

proposed in this rulemaking as an 

amendment to the existing information 

collection. 

2. Method of Collection 

DOE is proposing that respondents 

must submit electronic forms using 

DOE’s online CCMS. DOE’s CCMS is 

publicly accessible at 

www.regulations.doe.gov/ccms/, and 

includes instructions for users, 

registration forms, and the productspecific reporting templates required for 

use when submitting information to 

CCMS. 

3. Data 

The following are DOE estimates of 

the total annual reporting and 

recordkeeping burden imposed on 

manufacturers of CAC/HPs, DWs, 

RCWs, pool heaters, dehumidifiers, 

EPSs, battery chargers, CRACs, DX– 

DOASes, three-phase, less than 65,000 

Btu/h ACUACs and ACUHPs, threephase, less than 65,000 Btu/h VRF, 

CWHs, ACIMs, walk-ins, commercial 

and industrial pumps, portable ACs, 

compressors, DPPPMs, air cleaners, 

SPVUs, and CFLKs subject to the new 

or amended certification reporting 

requirements proposed in this proposed 

rule. These estimates take into account 

the time necessary to develop any 

additional testing documentation, 

maintain any additional documentation 

supporting the development of the 

certified rating for each basic model, 

complete any additional certification, 

and submit any additional required 

documents to DOE electronically. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers of CAC/HPs, DWs, 

RCWs, dehumidifiers, EPSs, battery 

chargers, CRACs, three-phase, less than 

65,000 Btu/h ACUACs and ACUHPs, 

three-phase, less than 65,000 Btu/h 

VRF, electric storage CWHs, ACIMs, 

walk-ins, commercial and industrial 

pumps, compressors, SPVUs, and 

CFLKs because manufacturers of these 

products or equipment are already 

submitting certification reports to DOE 

and should have readily available the 

information that DOE is proposing to 

collect as part of this proposed 

rulemaking. Additionally, for portable 

ACs, manufacturers may optionally 

submit certification reports to DOE and 

the costs associated with certification 

requirements for portable ACs were 

already accounted for in the January 

2020 Portable ACs ECS Final Rule. 

DOE’s proposed amendments for the 

reporting requirements for pool heaters 

would require new certification 

reporting for electric pool heater 

manufacturers and importers. DOE 

estimates there are 18 manufacturers of 

electric pool heaters that would have to 

submit annual certification reports to 

DOE for those products based on the 

proposed reporting requirements. Of 

these 18 manufacturers, 4 make both 

gas-fired and electric pool heaters. 

Therefore, 14 do not currently certify 

gas-fired pool heaters and would be 

required to begin submitting 

certification reports for electric pool 

heaters. The following section estimates 

the burden for these 14 electric pool 

heater manufacturers. 

OMB Control Number: 1910–1400. 

Form Number: DOE F 220.13. 

Type of Review: Regular submission. 

Affected Public: Domestic 

manufacturers and importers of electric 

pool heaters covered by this proposed 

rulemaking. 

Estimated Number of Respondents: 

14. 

Estimated Time per Response: 

Certification reports, 35 hours. 

Estimated Total Annual Burden 

Hours: 490. 

Estimated Total Annual Cost to the 

Manufacturers: $32,830 in 

recordkeeping/reporting costs. 

DOE’s proposed addition of reporting 

requirements for direct expansiondedicated outdoor air systems would 

require new certification reporting for 


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direct expansion-dedicated outdoor air 

systems. DOE estimates there are 12 

manufacturers of direct expansiondedicated outdoor air systems that 

would have to submit annual 

certification reports to DOE for those 

products based on the proposed 

reporting requirements. The following 

section estimates the burden for these 

12 direct expansion-dedicated outdoor 

air system manufacturers. 

OMB Control Number: 1910–1400. 

Form Number: DOE F 220.96. 

Type of Review: Regular submission. 

Affected Public: Domestic 

manufacturers and importers of direct 

expansion-dedicated outdoor air 

systems covered by this proposed 

rulemaking. 

Estimated Number of Respondents: 

12. 

Estimated Time per Response: 

Certification reports, 35 hours. 

Estimated Total Annual Burden 

Hours: 420. 

Estimated Total Annual Cost to the 

Manufacturers: $28,140 in 

recordkeeping/reporting costs. 

DOE’s proposed addition of reporting 

requirements for commercial electric 

instantaneous water heaters would 

require new certification reporting for 

commercial electric instantaneous water 

heaters. DOE estimates there are 9 

manufacturers of commercial electric 

instantaneous water heaters that would 

have to submit annual certification 

reports to DOE for those products based 

on the proposed reporting requirements. 

The following section estimates the 

burden for these 9 commercial electric 

instantaneous water heater 

manufacturers. 

OMB Control Number: 1910–1400. 

Form Number: DOE F 220.43. 

Type of Review: Regular submission. 

Affected Public: Domestic 

manufacturers and importers of 

commercial electric instantaneous water 

heater manufacturers covered by this 

proposed rulemaking. 

Estimated Number of Respondents: 9. 

Estimated Time per Response: 

Certification reports, 35 hours. 

Estimated Total Annual Burden 

Hours: 315. 

Estimated Total Annual Cost to the 

Manufacturers: $21,105 in 

recordkeeping/reporting costs. 

DOE’s proposed amendments for the 

reporting requirements for dedicatedpurpose pool pump motors would 

require new certification reporting for 

dedicated-purpose pool pump 

manufacturers and importers. DOE 

estimates there are five manufacturers of 

dedicated-purpose pool pump motors 

that would have to submit annual 

certification reports to DOE for those 

products based on the proposed 

reporting requirements. The following 

section estimates the burden for these 

five dedicated-purpose pool pump 

motor manufacturers. 

OMB Control Number: 1910–1400. 

Form Number: DOE F 220.97. 

Type of Review: Regular submission. 

Affected Public: Domestic 

manufacturers and importers of 

dedicated-purpose pool pump motors 

covered by this proposed rulemaking. 

Estimated Number of Respondents: 5. 

Estimated Time per Response: 

Certification reports, 35 hours. 

Estimated Total Annual Burden 

Hours: 175. 

Estimated Total Annual Cost to the 

Manufacturers: $11,725 in 

recordkeeping/reporting costs. 

DOE’s proposed amendments for the 

reporting requirements for air cleaners 

would require new certification 

reporting for air cleaner manufacturers 

and importers. DOE estimates that there 

are 43 manufacturers of air cleaners that 

would have to submit annual 

certification reports to DOE for those 

products based on the proposed 

reporting requirements. The following 

section estimates the burden for these 

43 air cleaner manufacturers. 

OMB Control Number: 1910–1400. 

Form Number: DOE F 220.100. 

Type of Review: Regular submission. 

Affected Public: Domestic 

manufacturers and importers of air 

cleaners covered by this proposed 

rulemaking. 

Estimated Number of Respondents: 

43. 

Estimated Time per Response: 

Certification reports, 35 hours. 

Estimated Total Annual Burden 

Hours: 1,505. 

Estimated Total Annual Cost to the 

Manufacturers: $100,835 in 

recordkeeping/reporting costs. 

4. Conclusion 

DOE has tentatively concluded that 

the removal of outdated reporting 

requirements and the addition of 

reporting requirements as proposed in 

this NOPR would not impose additional 

costs for CAC/HPs, DWs, RCWs, 

dehumidifiers, EPSs, battery chargers, 

CRACs, three-phase, less than 65,000 

Btu/h ACUACs and ACUHPs, threephase, less than 65,000 Btu/h VRF, 

electric storage CWHs, ACIMs, walk-ins 

coolers and freezers, commercial and 

industrial pumps, portable ACs, 

compressors, SPVUs, and CFLKs (see 

sections III.A.2, III.B.2, III.C.2, III.E.2, 

III.F.2, III.G.2, III.H.2, III.J.2, III.K.2, 

III.L.2, III.M.2, III.N.2, III.O.2, III.P.2, 

III.S.2, III.T.2, and III.U.2 of this 

document for a more complete 

discussion). Furthermore, DOE has 

tentatively concluded that there are 14 

pool heater manufacturers, 12 DX– 

DOAS manufacturers, nine CWH 

manufacturers, five DPPPM 

manufacturers, and 43 air cleaner 

manufacturers that would newly be 

required to submit annual certification 

reports to DOE for those products. For 

all other manufacturers of covered 

products or equipment described in this 

NOPR, the public reporting burden for 

certification remains unchanged. 

Public comment is sought regarding: 

(1) Whether this proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information shall have practical utility; 

(2) the accuracy of the burden estimate; 

(3) ways to enhance the quality, utility, 

and clarity of the information to be 

collected; and (4) ways to minimize the 

burden of the collection of information, 

including through the use of automated 

collection techniques or other forms of 

information technology. Send comments 

on these or any other aspects of the 

collection of information to the email 

address listed in the ADDRESSES section 

and to the OMB Desk Officer by email 

to Sofie.E.Miller@omb.eop.gov. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

In this NOPR, DOE proposes amended 

certification, reporting, and labeling 

requirements for CAC/HPs, DWs, RCWs, 

pool heaters, dehumidifiers, EPSs, 

battery chargers, CRACs, DX–DOASes, 

three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs, three-phase, less 

than 65,000 Btu/h VRF, CWHs, ACIMs, 

walk-ins, commercial and industrial 

pumps, portable ACs, compressors, 

DPPPMs, air cleaners, SPVUs, and 

CFLKs. DOE has determined that this 

rule falls into a class of actions that are 

categorically excluded from review 

under the National Environmental 

Policy Act of 1969 (42 U.S.C. 4321 et 

seq.) and DOE’s implementing 

regulations at 10 CFR part 1021. 

Specifically, DOE has determined that 

adopting test procedures for measuring 

energy efficiency of consumer products 

and industrial equipment is consistent 

with activities identified in 10 CFR part 

1021, appendix A to subpart D, A5 and 

A6. Accordingly, neither an 

environmental assessment nor an 


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environmental impact statement is 

required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (Aug. 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 this 

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. 

F. Review Under Executive Order 12988 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) eliminate drafting 

errors and ambiguity, (2) write 

regulations to minimize litigation, (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard, and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation (1) clearly specifies the 

preemptive effect, if any, (2) clearly 

specifies any effect on existing Federal 

law or regulation, (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction, (4) specifies the 

retroactive effect, if any, (5) adequately 

defines key terms, and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (‘‘UMRA’’) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

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.energy.gov/gc/office-generalcounsel. DOE examined this 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. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

proposed rule would not have any 

impact on the autonomy or integrity of 

the family as an institution. 

Accordingly, DOE has concluded that it 

is not necessary to prepare a Family 

Policymaking Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights,’’ 53 FR 8859 

(March 18, 1988), that this proposed 

regulation would not result in any 

takings that might require compensation 

under the Fifth Amendment to the U.S. 

Constitution. 

J. Review Under 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). Pursuant to OMB 

Memorandum M–19–15, Improving 

Implementation of the Information 

Quality Act (April 24, 2019), DOE 

published updated guidelines which are 

available at www.energy.gov/sites/prod/ 

files/2019/12/f70/DOE%20Final%20

Updated%20IQA%20Guidelines

%20Dec%202019.pdf. DOE has 

reviewed this proposed rule under the 

OMB and DOE guidelines and has 

concluded that it is consistent with 

applicable policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to 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 


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45 DOE has historically provided a 75-day 

comment period for test procedure NOPRs pursuant 

to the North American Free Trade Agreement, U.S.- 

Canada-Mexico (‘‘NAFTA’’), Dec. 17, 1992, 32 

I.L.M. 289 (1993); the North American Free Trade 

Agreement Implementation Act, Public Law 103– 

182, 107 Stat. 2057 (1993) (codified as amended at 

10 U.S.C.A. 2576) (1993) (‘‘NAFTA Implementation 

Act’’); and Executive Order 12889, ‘‘Implementation 

of the North American Free Trade Agreement,’’ 58 

FR 69681 (Dec. 30, 1993). However, on July 1, 2020, 

the Agreement between the United States of 

America, the United Mexican States, and the United 

Continued 

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. 

The proposed regulatory action 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. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91; 42 U.S.C. 7101), DOE must comply 

with section 32 of the Federal Energy 

Administration Act of 1974, as amended 

by the Federal Energy Administration 

Authorization Act of 1977. (15 U.S.C. 

788; ‘‘FEAA’’) Section 32 essentially 

provides in relevant part that, where a 

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. 

The proposed modifications to the 

certification reporting and labeling 

requirements for CAC/HPs, DWs, RCWs, 

pool heaters, dehumidifiers, EPSs, 

battery chargers, CRACs, DX–DOASes, 

three-phase, less than 65,000 Btu/h 

ACUACs and ACUHPs, three-phase, less 

than 65,000 Btu/h VRF, CWHs, ACIMs, 

walk-ins, commercial and industrial 

pumps, portable ACs, compressors, 

DPPPMs, air cleaners, SPVUs, and 

CFLKs do not incorporate testing 

methods contained in any commercial 

standards. 

M. Description of Materials 

Incorporated by Reference 

DOE is proposing to remove the 

existing incorporation by reference of 

industry standard ANSI/AHAM DW–1– 

2010 from 10 CFR 429.4 and 429.19. No 

other changes are being proposed to 

materials incorporated by reference. 

V. Public Participation 

A. Participation in the Webinar 

The time and date of the webinar 

meeting are listed in the DATES section 

at the beginning of this document. 

Webinar registration information, 

participant instructions, and 

information about the capabilities 

available to webinar participants will be 

published on DOE’s website: 

www.energy.gov/eere/buildings/ 

implementation-certification-andenforcement. Participants are 

responsible for ensuring their systems 

are compatible with the webinar 

software. 

B. Procedure for Submitting Prepared 

General Statements for Distribution 

Any person who has an interest in the 

topics addressed in this proposed rule, 

or who is representative of a group or 

class of persons that has an interest in 

these issues, may request an 

opportunity to make an oral 

presentation at the webinar. Such 

persons may submit to 

ApplianceStandardsQuestions@

ee.doe.gov. Persons who wish to speak 

should include with their request a 

computer file in WordPerfect, Microsoft 

Word, PDF, or text (ASCII) file format 

that briefly describes the nature of their 

interest in this rulemaking and the 

topics they wish to discuss. Such 

persons should also provide a daytime 

telephone number where they can be 

reached. 

DOE requests persons selected to 

make an oral presentation to submit an 

advance copy of their statements at least 

two weeks before the webinar. At its 

discretion, DOE may permit persons 

who cannot supply an advance copy of 

their statement to participate, if those 

persons have made advance alternative 

arrangements with the Building 

Technologies Office. As necessary, 

requests to give an oral presentation 

should ask for such alternative 

arrangements. 

C. Conduct of the Webinar 

DOE will designate a DOE official to 

preside at the webinar/public meeting 

and may also use a professional 

facilitator to aid discussion. The 

meeting will not be a judicial or 

evidentiary-type public hearing, but 

DOE will conduct it in accordance with 

section 336 of EPCA (42 U.S.C. 6306). A 

court reporter will be present to record 

the proceedings and prepare a 

transcript. DOE reserves the right to 

schedule the order of presentations and 

to establish the procedures governing 

the conduct of the webinar. There shall 

not be discussion of proprietary 

information, costs or prices, market 

share, or other commercial matters 

regulated by U.S. anti-trust laws. After 

the webinar and until the end of the 

comment period, interested parties may 

submit further comments on the 

proceedings and any aspect of the 

rulemaking. 

The webinar will be conducted in an 

informal, conference style. DOE will a 

general overview of the topics addressed 

in this rulemaking, allow time for 

prepared general statements by 

participants, and encourage all 

interested parties to share their views on 

issues affecting this rulemaking. Each 

participant will be allowed to make a 

general statement (within time limits 

determined by DOE), before the 

discussion of specific topics. DOE will 

permit, as time permits, other 

participants to comment briefly on any 

general statements. 

At the end of all prepared statements 

on a topic, DOE will permit participants 

to clarify their statements briefly. 

Participants should be prepared to 

answer questions by DOE and by other 

participants concerning these issues. 

DOE representatives may also ask 

questions of participants concerning 

other matters relevant to this 

rulemaking. The official conducting the 

webinar/public meeting will accept 

additional comments or questions from 

those attending, as time permits. The 

presiding official will announce any 

further procedural rules or modification 

of the above procedures that may be 

needed for the proper conduct of the 

webinar. 

A transcript of the webinar will be 

included in the docket, which can be 

viewed as described in the Docket 

section at the beginning of this 

document. In addition, any person may 

buy a copy of the transcript from the 

transcribing reporter. 

D. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule before or after the public meeting, 

but no later than the date provided in 

the DATES section at the beginning of 

this proposed rule.45 Interested parties 


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Canadian States (‘‘USMCA’’), Nov. 30, 2018, 134 

Stat. 11 (i.e., the successor to NAFTA), went into 

effect, and Congress’s action in replacing NAFTA 

through the USMCA Implementation Act, 19 U.S.C. 

4501 et seq. (2020), implies the repeal of E.O. 12889 

and its 75-day comment period requirement for 

technical regulations. Thus, the controlling laws are 

EPCA and the USMCA Implementation Act. 

Consistent with EPCA’s public comment period 

requirements for consumer products, the USMCA 

only requires a minimum comment period of 60 

days. Consequently, DOE now provides a 60-day 

public comment period for test procedure NOPRs. 

may submit comments, data, and other 

information using any of the methods 

described in the ADDRESSES section at 

the beginning of this document. 

Submitting comments via 

www.regulations.gov. The 

www.regulations.gov web page will 

require you to provide your name and 

contact information. Your contact 

information will be viewable to DOE 

Building Technologies staff only. Your 

contact information will not be publicly 

viewable except for your first and last 

names, organization name (if any), and 

submitter representative name (if any). 

If your comment is not processed 

properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment itself or in any 

documents attached to your comment. 

Any information that you do not want 

to be publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Otherwise, persons viewing comments 

will see only first and last names, 

organization names, correspondence 

containing comments, and any 

documents submitted with the 

comments. 

Do not submit to www.regulations.gov 

information for which disclosure is 

restricted by statute, such as trade 

secrets and commercial or financial 

information (hereinafter referred to as 

Confidential Business Information 

(‘‘CBI’’)). Comments submitted through 

www.regulations.gov cannot be claimed 

as CBI. Comments received through the 

website will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through www.regulations.gov before 

posting. Normally, comments will be 

posted within a few days of being 

submitted. However, if large volumes of 

comments are being processed 

simultaneously, your comment may not 

be viewable for up to several weeks. 

Please keep the comment tracking 

number that www.regulations.gov 

provides after you have successfully 

uploaded your comment. 

Submitting comments via email, hand 

delivery/courier, or postal mail. 

Comments and documents submitted 

via email, hand delivery/courier, or 

postal mail also will be posted to 

www.regulations.gov. If you do not want 

your personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information in a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. The cover 

letter will not be publicly viewable as 

long as it does not include any 

comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. If you 

submit via postal mail or hand delivery/ 

courier, please provide all items on a 

CD, if feasible, in which case it is not 

necessary to submit printed copies. No 

telefacsimiles (‘‘faxes’’) will be 

accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are not 

secured, written in English, and that are 

free of any defects or viruses. 

Documents should not contain special 

characters or any form of encryption 

and, if possible, they should carry the 

electronic signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 to 

500 form letters per PDF or as one form 

letter with a list of supporters’ names 

compiled into one or more PDFs. This 

reduces comment processing and 

posting time. 

Confidential Business Information. 

Pursuant 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 via email two well-marked 

copies: one copy of the document 

marked ‘‘confidential’’ including all the 

information believed to be confidential, 

and one copy of the document marked 

‘‘non-confidential’’ with the information 

believed to be confidential deleted. DOE 

will make its own determination about 

the confidential status of the 

information and treat it according to its 

determination. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

E. 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 seeks comment on its 

proposal to require reporting of whether 

a variable speed coil-only rating is based 

on non-communicating or 

communicating control. 

(2) DOE seeks comment on its 

proposal to require reporting of whether 

a CAC/HP system varies blower speeds 

with outdoor air conditions. 

(3) DOE seeks comment on its 

proposal to correct the sampling 

provisions for CAC/HPs to reference 

appendix A instead of appendix D. 

(4) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for CAC/HPs. 

(5) DOE requests comment on its 

proposal to remove ANSI/AHAM DW– 

1–2010 from the referenced industry 

standard in 10 CFR 429.19(b)(2). 

(6) DOE requests comment on the 

proposed requirement to confidentially 

report the cycle selected for the energy 

test at the heavy, medium, and light soil 

loads and whether these cycles are soilsensing as well as the options selected 

for the energy test at the heavy, 

medium, and light soil loads when 

testing according to appendix C2. 

(7) DOE requests comment on the 

proposed requirement to confidentially 

report the average cleaning index of the 

sensor heavy response, sensor medium 

response, and sensor light response test 

cycles. 

(8) DOE seeks comment on its 

proposal to require that additional 

machine electrical energy consumption 

required for a drain out event and clean 

out event—expressed in kWh—and the 

additional water consumption required 

for drain out and clean out events 

during a drain out cycle—expressed in 

gal/cycle—be reported confidentially. 

(9) DOE seeks comment on its 

proposal to require reporting of 

reservoir capacity in gallons, prewash 

and main wash fill water volume in 

gallons (if testing is performed using 

appendix C1), and the total water 

consumption in gallons per cycle for 

DWs with built-in reservoirs. 

(10) DOE requests comment on the 

proposed rounding requirements for 

DWs. 


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(11) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for DWs. 

(12) DOE requests comment on its 

proposal to remove reporting 

requirements applicable to appendix J1 

from 10 CFR 429.20(b)(2)(i). 

(13) DOE requests comment on its 

proposal to update reporting 

requirement terminology to specify 

‘‘clothes container capacity for RCWs. 

(14) DOE requests comment on its 

proposal to require the reporting of the 

test cloth lot number for RCWs for the 

purpose of implementing the 

enforcement provisions in 10 CFR 

429.134(c), as well as its proposal that 

the reported test cloth lot number would 

not be public. 

(15) DOE requests comment on the 

proposed RCW reporting requirements 

for EER and WER, including the 

proposed rounding requirements. 

(16) DOE requests comment on its 

proposal to require reporting the type of 

control system (automatic or semiautomatic) for RCWs. 

(17) DOE requests comment on its 

proposal to require reporting of RMC, 

clothes container capacity, and type of 

loading (top-loading or front-loading) 

for RCWs tested in accordance with 

appendix J. 

(18) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for RCWs. 

(19) DOE seeks comment on its 

proposal to require the reporting of 

input capacity, active electrical power, 

and integrated thermal efficiency. DOE 

also seeks comment on the proposed 

rounding requirements. 

(20) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for pool heaters. 

(21) DOE seeks comment on its 

proposal to remove the outdated 

appendix X certification requirements. 

(22) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for 

dehumidifiers. 

(23) DOE seeks comment on its 

proposal to require the reporting of 

output cord specifications for EPSs. 

(24) DOE seeks comment on its 

proposal to require the reporting of 

measured output voltage for EPSs for 

each port. 

(25) DOE seeks comment on its 

proposal to require manufacturers of 

exempt EPSs to report the year for 

which the sales number being reported 

represents. 

(26) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for EPSs. 

(27) DOE seeks comment on the 

proposed updates to reporting 

requirements for wired and fixedlocation wireless battery chargers tested 

under appendix Y1. 

(28) DOE seeks comment on the 

proposal to further specify the reporting 

requirements for open-placement 

wireless battery chargers tested under 

appendix Y1. 

(29) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for battery 

chargers. 

(30) DOE seeks comment on its 

proposal to require the reporting of net 

sensible cooling capacity in Btu/h, the 

net total cooling capacity in Btu/h, 

whether the basic model is split system 

or single-package, the configuration 

(e.g., downflow, upflow ducted, upflow 

non-ducted, horizontal flow, ceilingmounted ducted, ceiling-mounted nonducted), fluid economizer presence (or 

lack thereof), condenser heat rejection 

medium (air, water, or glycol-cooled), 

NSenCOP, rated airflow in SCFM, and 

the refrigerant used to determine the 

represented values. 

(31) DOE seeks comment on its 

proposed supplemental testing 

instructions requirements for CRACs 

when certifying compliance with 

NSenCOP standards. 

(32) DOE seeks comment on its 

proposal to require the reporting of both 

indoor unit and outdoor unit individual 

model numbers for split-system CRACs. 

(33) DOE seeks comment on its 

proposal to specify a tolerance of 5 

percent for CRAC verification tests for 

NSenCOP. 

(34) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for CRACs. 

(35) DOE seeks comment on requiring 

the reporting of ISMRE2 and ISCOP2 to 

certify compliance with the standards 

applicable to DX–DOASes 

manufactured on or after May 1, 2024. 

DOE also seeks comment on reporting 

rated moisture removal capacity and 

rated supply airflow rate. 

(36) DOE seeks comment on its 

proposal to include reporting 

requirements for DX–DOASes with 

ventilation energy recovery systems. 

(37) DOE seeks comment on its 

proposal to require supplemental testing 

instruction file contents for DX– 

DOASes. 

(38) DOE requests comment on its 

proposal to add new reporting 

requirements for DX–DOASes. 

(39) DOE seeks comment on its 

proposal to require the reporting of new 

metrics, such as SEER2 and HSPF2. 

(40) DOE seeks comment on its 

proposal to correct the sampling 

provisions for three-phase, less than 

65,000 Btu/h ACUACs and ACUHPs and 

three-phase, less than 65,000 Btu/h VRF 

to reference appendix A. 

(41) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for three-phase, 

less than 65,000 Btu/h ACUACs and 

ACUHPs and three-phase, less than 

65,000 Btu/h VRF. 

(42) DOE seeks comment on its 

proposal to require the reporting of 

thermal efficiency, storage volume, 

rated input, and whether the storage 

volume is determined using a weightbased test or the calculation-based 

method for commercial electric 

instantaneous water heaters of all 

storage volumes (except for residentialduty commercial electric instantaneous 

water heaters). DOE also seeks comment 

on its proposal to require the reporting 

of standby loss, whether the water 

heater initiates heating element 

operation based on a temperaturecontrolled call for heating that is 

internal to the water heater, whether the 

water heater includes an integral pump 

purge functionality, and the default 

duration of the pump off delay (for 

models equipped with integral pump 

purge) for electric instantaneous water 

heaters with storage volume greater than 

or equal to 10 gallons. Additionally, 

DOE seeks comment on its proposed 

calculation-based method for 

determining storage volume of electric 

instantaneous water heaters. 

(43) DOE seeks comment on its 

proposal to add a requirement for the 

reporting of rated input for commercial 

electric storage water heaters. 

(44) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for commercial 

electric instantaneous water heaters and 

commercial electric storage water 

heaters. 

(45) DOE seeks comment on its 

proposal to align ACIM reporting 

requirement terminology with the 

amended terms. 

(46) DOE seeks comment on its 

proposal to establish rounding 

requirements for ACIMs. 

(47) DOE seeks comment on its 

proposal to correct the sampling 

provisions for ACIMs. 

(48) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for ACIMs. 

(49) DOE seeks comment on its 

proposal to require the reporting of 

whether a basic model meets the 

definition of a CO2 unit cooler. 

(50) DOE seeks comment on its 

proposal to require the reporting of 

whether a basic model meets the 

definition of a detachable singlepackaged dedicated system or an 

attached split system. 


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(51) DOE seeks comment on its 

proposal to require the reporting of 

whether a dedicated condensing system 

basic model includes flooded head 

pressure controls. 

(52) DOE seeks comment on its 

proposal to amend the reporting 

requirements and provide an option for 

manufactures to report compressor 

break-in. 

(53) DOE seeks comment on its 

proposal to require, if necessary to run 

a valid test, supplemental testing 

information as a PDF file at the time of 

certification. 

(54) DOE seeks comment on its 

proposal to require the reporting of the 

conditions at which the controls 

activate the ASH wire for walk-in doors 

with ASH controls. 

(55) DOE requests comment on its 

proposed additional certification 

reporting requirements for walk-in 

doors and refrigeration systems. 

(56) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for walk-ins. 

(57) DOE requests comment on its 

proposal to require that date of 

manufacture be included on a panel 

nameplate, including its tentative 

conclusion that this would be 

technologically feasible and would not 

be burdensome to include. DOE also 

requests comment on its proposal to 

require CO2 unit coolers be labeled with 

the statement ‘‘Only CO2 is approved as 

a refrigerant for this system’’, including 

its tentative conclusion that this would 

not be burdensome to include. 

(58) DOE seeks comment on its 

proposal to require certification of 

pump efficiency at BEP in percent, 

constant load pump energy rating 

(‘‘PERCL’’), and variable load pump 

energy rating (‘‘PERVL’’). 

(59) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for commercial 

and industrial pumps. 

(60) DOE requests comment on the 

clarifying amendments to 10 CFR 

429.62(b)(2) to better represent the 

intent of the instruction in appendix CC 

and 10 CFR 429.62(a)(5). 

(61) DOE seeks comment on requiring 

whether a basic model is variable-speed, 

and if so, to report the SACCFull, in 

Btu/h. 

(62) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for portable ACs. 

(63) DOE seeks comment on the 

proposed annual filing date of 

September 1 for compressors. 

(64) DOE requests comment on the 

proposed annual filing date for 

compressors and any corresponding 

certification and reporting costs. 

(65) DOE seeks comment on the 

proposed reporting requirements for 

DPPPMs. 

(66) DOE seeks comment on the 

proposed rounding requirements for 

DPPPMs. 

(67) DOE requests comment on the 

certification reporting costs of the 

proposed new reporting requirements 

for DPPPMs. 

(68) DOE requests comment on the 

proposed reporting requirements for air 

cleaners. 

(69) DOE requests comment on the 

certification reporting costs of the 

proposed new reporting requirements 

for air cleaners. 

(70) DOE seeks comment on its 

proposed certification requirements for 

SPVUs of all rated capacities when 

certifying compliance with IEER 

standards. 

(71) DOE seeks comment on its 

proposed additional certification 

requirements for SPVUs with a cooling 

capacity less than 65,000 Btu/h. 

(72) DOE seeks comment on its 

proposed supplemental testing 

instructions requirements for SPVUs 

when certifying compliance with IEER 

standards, should such standards be 

adopted. 

(73) DOE seeks comment on its 

proposal to specify a tolerance of 10 

percent for SPVU verification tests for 

IEER. 

(74) DOE has tentatively determined 

that these proposed amendments would 

not impose additional costs for 

manufacturers, because manufacturers 

of SPVUs are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any appreciable 

change in reporting burden or hours as 

compared to what SPVU manufacturers 

are currently doing. DOE requests 

comment on the certification reporting 

costs of the amendments proposed for 

SPVUs. 

(75) DOE requests comment on the 

proposed correction to existing CFLK 

certification requirements. 

(76) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for CFLKs. 

(77) DOE requests comment on the 

proposed updates to compliance dates 

listed in 10 CFR 429.12 and to the 

‘‘covered equipment’’ definition in 10 

CFR 431.2. 

Additionally, DOE welcomes 

comments on other issues relevant to 

the conduct of this rulemaking that may 

not specifically be identified in this 

document. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this notice of proposed 

rulemaking and announcement of 

public meeting. 

List of Subjects 

10 CFR Part 429 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Household appliances, Imports, 

Incorporation by reference, 

Intergovernmental relations, Reporting 

and recordkeeping requirements, Small 

businesses. 

10 CFR Part 431 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation test 

procedures, Reporting and 

recordkeeping requirements. 

Signing Authority 

This document of the Department of 

Energy was signed on August 28, 2023, 

by Francisco Alejandro Moreno, Acting 

Assistant Secretary for Energy Efficiency 

and Renewable Energy, pursuant to 

delegated authority from the Secretary 

of Energy. That document with the 

original signature and date is 

maintained by DOE. For administrative 

purposes only, and in compliance with 

requirements of the Office of the Federal 

Register, the undersigned DOE Federal 

Register Liaison Officer has been 

authorized to sign and submit the 

document in electronic format for 

publication, as an official document of 

the Department of Energy. This 

administrative process in no way alters 

the legal effect of this document upon 

publication in the Federal Register. 

Signed in Washington, DC, on August 31, 

2023. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

For the reasons stated in the 

preamble, DOE is proposing to amend 

parts 429 and 431 of Chapter II of Title 

10, Code of Federal Regulations as set 

forth below: 

PART 429—CERTIFICATION, 

COMPLIANCE, AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 

2461 note. 


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§ 429.4 [Amended] 

■ 2. Section 429.4 is amended by 

removing paragraph (b)(1) and 

redesignating paragraphs (b)(2) and (3) 

as paragraphs (b)(1) and (2), 

respectively. 

■ 3. Section 429.12is amended by: 

■ a. Revising paragraphs (b)(12) and (13) 

and paragraph (d); and 

■ b. Removing paragraphs (i)(1) through 

(i)(5) and adding new paragraphs (i)(1) 

through (i)(3). 

The revisions read as follows: 

§ 429.12 General requirements applicable 

to certification reports. 

* * * * * 

(b) * * * 

(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,’’ or 

linear interpolation). Manufacturers of 

commercial packaged boilers, 

commercial water heating equipment, 

commercial refrigeration equipment, 

commercial HVAC equipment, central 

air conditioners and central air 

conditioning heat pumps, and walk-in 

coolers and walk-in freezers must 

provide the manufacturer’s designation 

(name or other identifier) of the AEDM 

used; and 

(13) Product specific information 

listed in §§ 429.14 through 429.68 of 

this chapter. 

* * * * * 

(d) Annual filing. All data required by 

paragraphs (a) through (c) of this section 

shall be submitted to DOE annually, on 

or before the following dates: 

TABLE 1 TO PARAGRAPH (d) 

Product category Deadline for data submission 

Portable air conditioners ........................................................................................................................................................................... February 1. 

Fluorescent lamp ballasts; Compact fluorescent lamps; General service fluorescent lamps, general service incandescent lamps, 

and incandescent reflector lamps; Candelabra base incandescent lamps and intermediate base incandescent lamps; Ceiling 

fans; Ceiling fan light kits; Showerheads; Faucets; Water closets; and Urinals.

March 1. 

Water heaters; Consumer furnaces; Pool heaters; Commercial water heating equipment; Commercial packaged boilers; Commercial warm air furnaces; Commercial unit heaters; and Furnace fans.May 1. 

Dishwashers; Commercial pre-rinse spray valves; Illuminated exit signs; Traffic signal modules and pedestrian modules; and Distribution transformers.June 1. 

Room air conditioners; Central air conditioners and central air conditioning heat pumps; Commercial heating, ventilating, air conditioning (HVAC) equipment (excluding air-cooled, three-phase, small commercial package air conditioning and heating equipment 

with a cooling capacity of less than 65,000 British thermal units per hour and air-cooled, three-phase, variable refrigerant flow 

multi-split air conditioners and heat pumps with less than 65,000 British thermal units per hour cooling capacity); and Air-cooled, 

three-phase, small commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 British thermal units per hour and air-cooled, three-phase, variable refrigerant flow multi-split air conditioners and heat pumps with a 

cooling capacity of less than 65,000 British thermal units per hour.

July 1. 

Consumer refrigerators, refrigerator-freezers, and freezers; Commercial refrigerators, freezers, and refrigerator-freezers; Automatic 

commercial ice makers; Refrigerated bottled or canned beverage vending machines; Walk-in coolers and walk-in freezers; and 

Consumer miscellaneous refrigeration products.

August 1. 

Torchieres; Dehumidifiers; Metal halide lamp ballasts and fixtures; External power supplies; Pumps; Dedicated-purpose pool pump

motors; Compressors; and Battery chargers.

September 1. 

Residential clothes washers; Residential clothes dryers; Direct heating equipment; Cooking products; and Commercial clothes 

washers.

October 1. 

Air Cleaners .............................................................................................................................................................................................. December 1. 

* * * * * 

(i) * * * 

(1) Air cleaners, December 31, 2023. 

(2) Dedicated-purpose pool pump 

motors, (date 24 months after date of 

publication of a final rule amending 

pool pump motor standards). 

(3) Direct expansion-dedicated 

outdoor air systems, May 1, 2024. 

* * * * * 

■ 4. Section 429.16 is amended by: 

■ a. Revising paragraphs (b)(3)(i)(B), 

(b)(3)(ii)(B), and (b)(3)(iii)(A)(2); 

■ b. Adding paragraph (e)(2)(vi); and 

■ c. Revising paragraph (e)(4)(iv). 

The revisions and addition read as 

follows: 

§ 429.16 Central air conditioners and 

central air conditioning heat pumps. 

* * * * * 

(b) * * * 

(3) * * * 

(i) * * * 

(B) The upper 90 percent confidence 

limit (UCL) of the true mean divided by 

1.05, where: 

And x is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.90 is the 

Student’s t-Distribution Values for a 90 

percent one-tailed confidence interval 

with n¥1 degrees of freedom (from 

appendix A). Round represented values 

of off-mode power consumption to the 

nearest watt. 

(ii) * * * 

(B) The lower 90 percent confidence 

limit (LCL) of the true mean divided by 

0.95, where: 

And x is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.90 is the 

Student’s t-Distribution Values for a 90 

percent one-tailed confidence interval 

with n¥1 degrees of freedom (from 

appendix A). Round represented values 

of EER, SEER, HSPF, EER2, SEER2, and 

HSPF2 to the nearest 0.05. 

(iii) * * * 


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(A) * * * 

(2) The lower 90 percent confidence 

limit (LCL) of the true mean divided by 

0.95, where: 

And x is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.90 is the 

Student’s t-Distribution Values for a 90 

percent one-tailed confidence interval 

with n¥1 degrees of freedom (from 

appendix A). 

* * * * * 

(e) * * * 

(2) * * * 

(vi) For variable-speed coil only 

systems; whether the represented value 

is based on non-communicating or 

communicating control. 

* * * * * 

(4) * * * 

(iv) For blower coil systems, the 

airflow-control settings associated with 

full load cooling operation; the airflowcontrol settings or alternative 

instructions for setting fan speed to the 

speed upon which the rating is based; 

and whether the system varies blower 

speeds with outdoor air conditions; 

* * * * * 

■ 5. Section 429.19 is amended by: 

■ a. Revising paragraphs (b)(2) and (3); 

and 

■ b. Adding paragraph (c). 

The revisions and addition read as 

follows: 

§ 429.19 Dishwashers. 

* * * * * 

(b) * * * 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following public product-specific 

information: The estimated annual 

energy use in kilowatt hours per year 

(kWh/yr), the water consumption in 

gallons per cycle, and the capacity in 

number of place settings. 

(3) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following additional product-specific 

information— 

(i) The presence of a soil sensor, and 

if yes, the number of cycles required to 

reach calibration; 

(ii) The water inlet temperature used 

for testing in degrees Fahrenheit (°F); 

(iii) The cycle selected for the energy 

test and whether that cycle is soilsensing if testing is performed using 

appendix C1 to subpart B of part 430 of 

this chapter and the cycles selected for 

the sensor heavy response, sensor 

medium response, and sensor light 

response and whether these cycles are 

soil-sensing if testing is performed using 

appendix C2 to subpart B of part 430 of 

this chapter; 

(iv) The options selected for the 

energy test if testing is performed using 

appendix C1 to subpart B of part 430 of 

this chapter and the options selected for 

the sensor heavy response, sensor 

medium response, and sensor light 

response if testing is performed using 

appendix C2 to subpart B of part 430 of 

this chapter; 

(v) The average cleaning index for the 

sensor heavy response, sensor medium 

response, and sensor light response 

cycles if testing is performed using 

appendix C2 to subpart B of part 430 of 

this chapter (see section 5.1 of appendix 

C2 for the calculation of per-cycle 

cleaning index for each test cycle); 

(vi) Indication of whether Cascade 

Complete Powder or Cascade with the 

Grease Fighting Power of Dawn was 

used as the detergent formulation. When 

certifying dishwashers, other than water 

re-use dishwashers, according to 

appendix C1 to subpart B of part 430 of 

this chapter: 

(A) Before July 17, 2023, Cascade 

Complete Powder detergent may be 

used as the basis for certification in 

conjunction with the detergent dosing 

methods specified in either section 

2.5.2.1.1 or section 2.5.2.1.2 of appendix 

C1. Cascade with the Grease Fighting 

Power of Dawn detergent may be used 

as the basis for certification only in 

conjunction with the detergent dosing 

specified in section 2.5.2.1.1 of 

appendix C1. 

(B) Beginning July 17, 2023, Cascade 

Complete Powder detergent may be 

used as the basis for certification of 

newly certified basic models only in 

conjunction with the detergent dosing 

method specified in section 2.5.2.1.2 of 

appendix C1. Cascade with the Grease 

Fighting Power of Dawn detergent may 

be used as the basis for certification 

only in conjunction with the detergent 

dosing specified in section 2.5.2.1.1 of 

appendix C1. Manufacturers may 

maintain existing basic model 

certifications made prior to July 17, 

2023, consistent with the provisions of 

paragraph (b)(3)(vi)(A) of this section. 

(vii) The presence of a built-in water 

softening system, and if yes, the energy 

use in kilowatt-hours and the water use 

in gallons required for each regeneration 

of the water softening system, the 

number of regeneration cycles per year, 

and data and calculations used to derive 

these values; 

(viii) Whether the product is a water 

re-use system dishwasher, and if yes, 

the energy use in kilowatt-hours and 

water use in gallons required for a drain 

out event, the energy use in kilowatthours and water use in gallons required 

for a clean out event, the number of 

drain out events per year, the number of 

clean out events per year, the water fill 

volume to calculate detergent dosage in 

gallons, and data and calculations used 

to derive these values, as applicable; 

and 

(ix) The presence of a built-in 

reservoir, and if yes, the manufacturerstated reservoir capacity in gallons, the 

prewash fill water volume in gallons 

and the main wash fill water volume in 

gallons if testing is performed using 

appendix C1 to subpart B of part 430 of 

this chapter, and the reservoir water 

consumption in gallons per cycle. 

(c) Rounding requirements for 

representative values, including 

certified and rated values. 

(1) The represented value of estimated 

annual energy use must be rounded to 

the nearest kilowatt hour per year. 

(2) The represented value of water 

consumption must be rounded to the 

nearest 0.1 gallon per cycle. 

■ 6. Section 429.20 is amended by 

revising paragraphs (b) and (c) to read 

as follows: 

§ 429.20 Residential clothes washers. 

* * * * * 

(b) Certification reports. 

(1) The requirements of § 429.12 are 

applicable to residential clothes 

washers; and 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall contain the 

following public product-specific 

information: 

(i) For residential clothes washers 

tested in accordance with appendix J: 

the energy efficiency ratio (EER) in 

pounds per kilowatt hour per cycle (lb/ 

kWh/cycle), the water efficiency ratio 

(WER) in pounds per gallon per cycle 

(lb/gal/cycle), the clothes container 

capacity in cubic feet (cu ft), the 

corrected remaining moisture content 

(RMC) expressed as a percentage, the 

type of control system (automatic or 

semi-automatic), and the type of loading 

(top-loading or front-loading). 

(ii) For residential clothes washers 

tested in accordance with appendix J2: 

the integrated modified energy factor 

(IMEF) in cu ft/kWh/cycle, the 

integrated water factor (IWF) in gal/ 

cycle/cu ft, the clothes container 

capacity in cu ft, the corrected RMC 

expressed as a percentage, and the type 

of loading (top-loading or front-loading). 

(3) Pursuant to 10 CFR 429.12(b)(13), 

a certification report must include the 

following additional product-specific 

information: a list of all cycle selections 

comprising the complete energy test 

cycle for each basic model and the test 


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cloth lot number used for certification 

testing. 

(c) Reported values. Values reported 

pursuant to this subsection must be 

rounded as follows: MEF and IMEF to 

the nearest 0.01 cu ft/kWh/cycle, WF 

and IWF to the nearest 0.1 gal/cycle/cu 

ft, EER to the nearest 0.01 lb/kWh/cycle, 

WER to the nearest 0.01 lb/gal/cycle, 

RMC to the nearest 0.1 percentage point, 

and clothes container capacity to the 

nearest 0.1 cu ft. 

■ 7. Section 429.24 is amended by: 

■ a. Revising paragraph (a)(2) 

introductory text; 

■ b. Adding paragraphs (a)(3) and (4); 

■ c. Revising paragraph (b)(2); and 

■ d. Adding paragraph (c). 

The revisions and additions read as 

follows: 

§ 429.24 Pool heaters. 

(a) * * * 

(2) For each basic model of pool 

heater, randomly select and test a 

sample of sufficient size to ensure that 

any represented value of the thermal 

efficiency or integrated thermal 

efficiency, as applicable, 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: * * * 

* * * * * 

(3) When certifying integrated thermal 

efficiency, the represented value for 

input capacity of a gas-fired pool heater 

basic model reported in accordance 

with paragraph (b)(2) of this section 

must be the mean of the input capacities 

measured for each tested unit of the 

basic model, as determined in 

accordance with the test procedure in 

appendix P of subpart B of part 430 of 

this chapter. 

(4) When certifying integrated thermal 

efficiency, the represented value of 

active electrical power of an electric 

pool heater basic model reported in 

accordance with paragraph (b)(2) of this 

section must be the mean of the 

electrical power measured for each 

tested unit of the basic model, as 

determined in accordance with the test 

procedure in appendix P of subpart B of 

part 430 of this chapter. 

(b) * * * 

(2) Pursuant to § 429.12(b)(13), 

include in each certification report the 

following public product-specific 

information: 

(i) For gas-fired pool heaters: the 

input capacity in British thermal units 

per hour (Btu/h) and either the thermal 

efficiency as a percentage (%) (when 

certifying compliance with the energy 

conservation standards specified at 

§ 430.32(k)(1)) or the integrated thermal 

efficiency as a percentage (%) (when 

certifying compliance with the energy 

conservation standards specified at 

§ 430.32(k)(2)), as applicable. 

(ii) For electric pool heaters (when 

certifying compliance with the energy 

conservation standards specified at 

§ 430.32(k)(2)): the integrated thermal 

efficiency in percent (%) and the active 

electrical power in British thermal units 

per hour (Btu/h). 

(c) Reported values. Round reported 

values pursuant to this subsection as 

follows: integrated thermal efficiency 

for gas-fired pool heaters to the nearest 

tenth of one percent, integrated thermal 

efficiency for electric pool heaters to the 

nearest one percent, input capacity of a 

gas-fired pool heater to the nearest 1,000 

Btu/h, and active electrical power of an 

electric pool heater to the nearest 1,000 

Btu/h. 

§ 429.33 [Amended] 

■ 8. Section 429.33 is amended by 

removing the text ‘‘For each basic model 

of lamp and/or each basic model of nonconsumer-replaceable SSL packaged 

with the ceiling fan light kit’’ and 

adding in its place the text ‘‘For each 

basic model of lamp, each basic model 

of consumer-replaceable SSL, and/or 

each basic model of non-consumerreplaceable SSL packaged with the 

ceiling fan light kit’’ in paragraphs 

(b)(2)(ii)(A) and (b)(3)(ii)(B). 

§ 429.36 [Amended] 

■ 9. Section 429.36 is amended by: 

■ a. Removing paragraph (b)(2)(i); 

■ b. Redesignating paragraph (b)(2)(ii) as 

(b)(2)(i); and 

■ c. Reserving paragraph (b)(2)(ii). 

■ 10. Section 429.37 is amended by: 

■ a. Revising paragraphs (b)(2) and (3); 

and 

■ b. Adding paragraph (c)(1)(iv). 

The revisions and addition read as 

follows: 

§ 429.37 External power supplies. 

(b) * * * 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following public product-specific 

information: 

(i) External power supplies: The 

average active mode efficiency as a 

percentage (%), no-load mode power 

consumption in watts (W), nameplate 

output power in watts (W), nameplate 

output voltage in volts (V), the 

specifications of the recommended or 

included output cord, and, if missing 

from the nameplate, the output current 

in amperes (A) of the basic model or the 

output current in amperes (A) of the 

highest- and lowest-voltage models 

within the external power supply design 

family. 

(ii) Switch-selectable single-voltage 

external power supplies: The average 

active mode efficiency as a percentage 

(%) value, no-load mode power 

consumption in watts (W) using the 

lowest and highest selectable output 

voltages, the lowest and highest 

selectable output voltages in volts (V), 

nameplate output power in watts (W), 

the specifications of the recommended 

or included output cord, and, if missing 

from the nameplate, the output current 

in amperes (A). 

(iii) Adaptive single-voltage external 

power supplies: The average activemode efficiency as a percentage (%) at 

the highest and lowest nameplate 

output voltages, no-load mode power 

consumption in watts (W), nameplate 

output power in watts (W) at the lowest 

and highest nameplate output voltages, 

the lowest and highest nameplate 

output voltages in volts (V), the 

specifications of the recommended or 

included output cord, and, if missing 

from the nameplate, the output current 

in amperes (A) at the highest and lowest 

nameplate output voltages. 

(iv) External power supplies that are 

exempt from no-load mode 

requirements under § 430.32(w)(5) of 

this chapter: A statement that the 

product is designed to be connected to 

a security or life safety alarm or 

surveillance system component, the 

average active-mode efficiency as a 

percentage (%), the nameplate output 

power in watts (W), the nameplate 

output voltage in volts (V), the 

specifications of the recommended or 

included output cord, and, if missing 

from the nameplate, the certification 

report must also include the output 

current in amperes (A) of the basic 

model or the output current in amperes 

(A) of the highest- and lowest-voltage 

models within the external power 

supply design family. 

(3) Pursuant to § 429.12(b)(13), a 

certification report for external power 

supplies that are exempt from the 

energy conservation standards at 

§ 430.32(w)(1)(ii) pursuant to 

§ 430.32(w)(2) of this chapter must 

include the following additional 

information if, in aggregate, the total 

number of exempt EPSs sold as spare 

and service parts by the certifier exceeds 

1,000 units across all models: The total 

number of units of exempt external 

power supplies sold during the most 

recent 12-calendar-month period ending 

on July 31, starting with the annual 

report due on September 1, 2017. The 

certification report must also include 

the exact timeframe (e.g., from August 

2016 to July 2017) of this most recent 

12-calendar-month period. 

(c) * * * 


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(1) * * * 

(iv) The exact timeframe (e.g., from 

August 2016 to July 2017) of this most 

recent 12-calendar-month period. 

* * * * * 

■ 11. Section 429.39 is amended by: 

■ a. Revising paragraphs (a)(1), (a)(2)(ii), 

and (a)(2)(iii) introductory text; 

■ b. Adding paragraphs (a)(2)(v) and 

(vi); 

■ c. Revising paragraphs (b)(2) and (3); 

and 

■ d. Adding paragraphs (b)(5) and (6); 

The revisions and additions read as 

follows: 

§ 429.39 Battery chargers. 

(a) * * * 

(1) Represented values include: 

(i) For all battery chargers other than 

uninterruptible power supplies (UPSs) 

tested under appendix Y: The unit 

energy consumption (UEC) in kilowatthours per year (kWh/yr), battery 

discharge energy (Ebatt) in watt hours 

(Wh), 24-hour energy consumption (E24) 

in watt hours (Wh), maintenance mode 

power (Pm) in watts (W), standby mode 

power (Psb) in watts (W), off mode 

power (Poff) in watts (W), and duration 

of the charge and maintenance mode 

test (tcd) in hours (hrs); 

(ii) For all wired and fixed-location 

wireless battery chargers other than 

uninterruptible power supplies (UPSs) 

tested under appendix Y1: Battery 

discharge energy (Ebatt) in watt hours 

(Wh), active charge energy (Ea) in watt 

hours (Wh), maintenance mode power 

(Pm) in watts (W), no-battery mode 

power (Pnb) in watts (W), standby mode 

power (Psb) in watts (W), off mode 

power (Poff) in watts (W), and duration 

of the charge and maintenance mode 

test (tcd) in hours (hrs); 

(iii) For all open-placement wireless 

battery chargers other than 

uninterruptible power supplies (UPSs) 

tested under appendix Y1: no-battery 

mode power (Pnb) in watts (W); 

(iv) For UPSs: average load adjusted 

efficiency (Effavg). 

(2) * * * 

(ii) For each basic model of battery 

chargers other than UPSs tested under 

appendix Y, a sample of sufficient size 

must be randomly selected and tested to 

ensure that the represented value of 

UEC is greater than or equal to the 

higher of: 

* * * * * 

(iii) For each basic model of battery 

chargers other than UPSs tested under 

appendix Y, using the sample from 

paragraph (a)(2)(ii) of this section, 

calculate the represented values of each 

metric (i.e., maintenance mode power 

(Pm), standby power (Psb), off mode 

power (Poff), battery discharge energy 

(Ebatt), 24-hour energy consumption 

(E24), and duration of the charge and 

maintenance mode test (tcd)), where the 

represented value of the metric is: 

* * * * * 

(v) For each basic model of battery 

chargers other than UPSs tested under 

appendix Y1, a sample of sufficient size 

must be randomly selected and tested to 

ensure that the represented value of Ea

for all wired and fixed-location wireless 

chargers (or the represented value of Pnb

for all open-placement wireless 

chargers) is greater than or equal to the 

higher of: 

(A) The mean of the sample, where: 

and, x is the sample mean; n is the 

number of samples; and xi is the Ea (or 

Pnb, when applicable) of the ith sample; 

or, 

(B) The upper 97.5-percent 

confidence limit (UCL) of the true mean 

divided by 1.05, where: 

and, x is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.975 is the 

Student’s t-Distribution Values for a 

97.5-percent one-tailed confidence 

interval with n¥1 degrees of freedom 

(from appendix A of this subpart). 

(vi) For each basic model of battery 

chargers other than UPSs tested under 

appendix Y1, using the sample from 

paragraph (a)(2)(v) of this section, 

calculate the applicable represented 

values of each metric (i.e., maintenance 

mode power (Pm), no-battery mode 

power (Pnb), standby power (Psb), off 

mode power (Poff), battery discharge 

energy (Ebatt), and duration of the charge 

and maintenance mode test (tcd)), where 

the represented value of the metric is: 

and, x is the sample mean; n is the 

number of samples; and xi is the 

measured value of the ith sample for the 

metric. 

(b) * * * 

(2) Pursuant to § 429.12(b)(13), when 

tested under appendix Y, a certification 

report must include the following 

product-specific information for all 

battery chargers other than UPSs: The 

nameplate battery voltage of the test 

battery in volts (V), the nameplate 

battery charge capacity of the test 

battery in ampere-hours (Ah), and the 

nameplate battery energy capacity of the 

test battery in watt-hours (Wh). A 

certification report must also include 

the represented values, as determined in 

paragraph (a) of this section for the 

maintenance mode power (Pm), standby 

mode power (Psb), off mode power (Poff), 

battery discharge energy (Ebatt), 24-hour 

energy consumption (E24), active charge 

energy (Ea) (optional, as measured in 

accordance with appendix Y1) duration 

of the charge and maintenance mode 

test (tcd), and unit energy consumption 

(UEC). 

(3) Pursuant to § 429.12(b)(13), when 

tested under appendix Y, a certification 

report must include the following 

product-specific information for all 

battery chargers other than UPSs: The 

manufacturer and model of the test 

battery, and the manufacturer and 

model, when applicable, of the external 

power supply. 

* * * * * 

(5) Pursuant to § 429.12(b)(13), when 

tested under appendix Y1, a 

certification report must include the 

following product-specific information 

for all wired and fixed-location wireless 

battery chargers other than UPSs: The 

manufacturer and model of the test 

battery, the manufacturer and model, 

when applicable, of the external power 

supply, the nameplate battery voltage of 

the test battery in volts (V), the 

nameplate battery charge capacity of the 

test battery in ampere-hours (Ah), and 

the nameplate battery energy capacity of 

the test battery in watt-hours (Wh). A 

certification report must also include 

the represented values, as determined in 

paragraph (a) of this section for the 

maintenance mode power (Pm), nobattery mode power (Pnb), standby mode 

power (Psb), off mode power (Poff), 

battery discharge energy (Ebatt), 24-hour 

energy consumption (E24), active charge 

energy (Ea), and duration of the charge 

and maintenance mode test (tcd). 

(6) Pursuant to § 429.12(b)(13), when 

tested under appendix Y1, a 

certification report must include the 

following product-specific information 

for all open-placement wireless battery 

chargers other than UPSs: The 

manufacturer and model, when 

applicable, of the external power 

supply. A certification report must also 

include the represented values, as 

determined in paragraph (a) of this 

section for the no-battery mode power 

(Pnb). 

■ 12. Section 429.43 is amended by: 

■ a. Revising the section heading; 

■ b. Revising paragraphs (b)(2)(v), (vi), 

and (ix); 

■ c. Adding paragraphs (b)(2)(xi) and 

(b)(3)(iii); 


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■ d. Revising paragraphs (b)(4)(vi), (vii), 

and (viii); and 

■ e. Adding paragraphs (b)(4)(x) and 

(b)(6). 

The revisions and additions read as 

follows: 

§ 429.43 Commercial heating, ventilating, 

air conditioning (HVAC) equipment. 

* * * * * 

(b) * * * 

(2) * * * 

(v) Single package vertical air 

conditioners: 

(A) When certifying compliance with 

an EER standard: 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). 

(B) When certifying compliance with 

an IEER standard: the integrated energy 

efficiency ratio (IEER in British thermal 

units per Watt-hour (Btu/Wh)), the rated 

cooling capacity in British thermal units 

per hour (Btu/h), and the rated airflow 

in standard cubic feet per minute 

(SCFM). For units with rated cooling 

capacity <65,000 Btu/h: whether the 

unit is weatherized or non-weatherized; 

and if non-weatherized, the airflow rate 

of outdoor ventilation air which is 

drawn in and conditioned as 

determined in accordance with 

§ 429.134(x)(3) of this chapter, while the 

equipment is operating with the same 

drive kit and motor settings used to 

determine the certified efficiency rating 

of the equipment. 

(vi) Single package vertical heat 

pumps: 

(A) When certifying compliance with 

an EER standard: the energy efficiency 

ratio (EER in British thermal units per 

Watt-hour (Btu/Wh)), and the coefficient 

of performance (COP), and the rated 

cooling capacity in British thermal units 

per hour (Btu/h). 

(B) When certifying compliance with 

an IEER standard: the integrated energy 

efficiency ratio (IEER in British thermal 

units per Watt-hour (Btu/Wh)), and the 

coefficient of performance (COP), the 

rated cooling capacity in British thermal 

units per hour (Btu/h) and the rated 

airflow in standard cubic feet per 

minute (SCFM). For units with cooling 

capacity <65,000 Btu/h: whether the 

unit is weatherized or non-weatherized; 

and if non-weatherized, the airflow rate 

of outdoor ventilation air which is 

drawn in and conditioned as 

determined in accordance with 

§ 429.134(x)(3) of this chapter, while the 

equipment is operating with the same 

drive kit and motor settings used to 

determine the certified efficiency rating 

of the equipment. 

* * * * * 

(ix) Computer room air-conditioners: 

(A) When certifying compliance with 

a SCOP standard: 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). 

(B) When certifying compliance with 

an NSenCOP standard: The net sensible 

cooling capacity in British thermal units 

per hour (Btu/h), the net total cooling 

capacity in British thermal units per 

hour (Btu/h), whether the basic model is 

split system or single-package, the 

configuration (downflow, upflow 

ducted, upflow non-ducted, horizontal 

flow, ceiling-mounted ducted, ceilingmounted non-ducted), fluid economizer 

presence (yes or no), condenser heat 

rejection medium (air, water, or glycolcooled), net sensible coefficient of 

performance (NSenCOP), rated airflow 

in standard cubic feet per minute 

(SCFM), and the refrigerant used to 

determine the represented values. 

* * * * * 

(xi) Direct-expansion dedicated 

outdoor air systems: 

(A) When certifying compliance with 

an ISMRE2 standard: the integrated 

seasonal moisture removal efficiency 2 

(ISMRE2 in lbs. of moisture per 

kilowatt-hour (lb/kWh)), the rated 

moisture removal capacity at Standard 

Rating Condition A according to 

appendix B to subpart F of part 431 of 

this chapter (MRC in lbs of moisture per 

hour (lb/h)), and the rated supply 

airflow rate for 100% outdoor air 

applications (QSA in standard cubic feet 

per minute). 

(B) When certifying compliance with 

an ISCOP2 standard: the integrated 

seasonal coefficient of performance 2 

(ISCOP2 in Watts of heating per Watts 

of power input (W/W)). 

(C) The configuration of the basic 

model number (i.e., ‘‘single-package’’ or 

‘‘split system’’) shall also be provided. 

(3) * * * 

(iii) For direct-expansion dedicated 

outdoor air systems with ventilation 

energy recovery systems, method of 

determination of the EATR, sensible 

effectiveness, and latent effectiveness of 

the ventilation energy recovery system 

(name and version of certified 

performance modeling software or if the 

device was directly tested). The test 

method (i.e., Option 1, or Option 2) for 

units rated based on testing and motor 

control settings (including rotational 

speed) for energy recovery wheels shall 

also be provided. 

(4) * * * 

(vi) Single package vertical airconditioners: 

(A) When certifying compliance with 

an EER standard: 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. 

(B) When certifying compliance with 

an IEER standard: Compressor break-in 

period duration; rated indoor airflow in 

standard cubic feet per minute (SCFM); 

frequency or control set points 

including the required dip switch/ 

control settings for step or variable 

speed components (e.g., compressors, 

VFDs); rated indoor airflow in SCFM for 

each part-load point used in the IEER 

calculation and any special instructions 

required to obtain operation at each 

part-load point, such as frequency or 

control set points including dip switch/ 

control settings for step or variable 

speed components (e.g., compressors, 

VFDs); a statement whether the model 

will operate at test conditions without 

manufacturer programming; outdoor airside attachments used for testing; any 

additional testing instructions, if 

applicable; and 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; any additional 

applicable testing instructions, are also 

required. 

(vii) Single package vertical heat 

pumps: 

(A) When certifying compliance with 

an EER standard: 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, 


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special features were included in rating 

the basic model. 

(B) When certifying compliance with 

an IEER standard: The rated heating 

capacity in British thermal units per 

hour (Btu/h); compressor break-in 

period duration; rated indoor airflow in 

standard cubic feet per minute (SCFM) 

(in cooling mode); rated airflow in 

SCFM in heating mode if the unit is 

designed to operate with different 

airflow rates for cooling and heating 

mode; frequency or control set points 

including the required dip switch/ 

control settings for step or variable 

speed components (e.g., compressors, 

VFDs); rated indoor airflow in SCFM for 

each part-load point used in the IEER 

calculation and any special instructions 

required to obtain operation at each 

part-load point, such as frequency or 

control set points including dip switch/ 

control settings for step or variable 

speed components (e.g., compressors, 

VFDs); a statement whether the model 

will operate at test conditions without 

manufacturer programming; outdoor airside attachments used for testing; any 

additional testing instructions, if 

applicable; and 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; or any additional 

applicable testing instructions, are also 

required. 

(viii) Computer room air-conditioners: 

(A) When certifying compliance with 

a SCOP standard: Any additional testing 

instructions, if applicable; and which, if 

any, special features were included in 

rating the basic model. 

(B) When certifying compliance with 

a NSenCOP standard: Compressor 

break-in period duration; frequency or 

control set points including the required 

dip switch/control settings for step or 

variable components (e.g., compressors, 

VFDs); a statement whether the model 

will operate at test conditions without 

manufacturer programming; any 

additional testing instructions, if 

applicable; if a variety of motors/drive 

kits are offered for sale as options in the 

basic model to account for varying 

installation requirements, the model 

number and specifications of the motor 

(to include efficiency, horsepower, 

open/closed, and number of poles) and 

the drive kit, including settings, 

associated with that specific motor that 

were used to determine the certified 

rating. 

* * * * * 

(x) Direct-expansion dedicated 

outdoor air systems: 

(A) For units without ventilation 

energy recovery systems: water flow rate 

in gallons per minute (gpm) for watercooled and water-source units; rated 

ESP in inches of water column for the 

supply air stream; frequency or control 

set points for variable speed 

components (e.g., compressors, VFDs); 

required dip switch/control settings for 

step or variable components (e.g., reheat 

or head pressure control valves); a 

statement whether the model will 

operate at test conditions without 

manufacturer programming; 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 any additional 

testing instructions specified in 

appendix B to subpart F of part 431 of 

this chapter, if applicable (e.g., supply 

air dry bulb temperatures for ISMRE2 

tests, equipment settings for airflow, 

installation priority for split-system 

units, defrost control settings for airsource heat pump units, break-in 

period, or condenser head pressure 

controls. 

(B) For units with ventilation energy 

recovery systems, the requirements in 

paragraph (b)(4)(x)(A) of this section 

apply, in addition to: rated ESP in 

inches of water column for the return air 

stream; exhaust air transfer ratio at the 

rated supply airflow rate and a neutral 

pressure difference between return and 

supply airflow (EATR as a percent 

value); sensible and latent effectiveness 

of the ventilation energy recovery 

system at 75% of the nominal supply 

airflow and zero pressure differential in 

accordance with the DOE test procedure 

in appendix B to subpart F of part 431 

of this chapter; sensible and latent 

effectiveness of the ventilation energy 

recovery system at 100% of the nominal 

supply airflow and zero pressure 

differential in accordance with the DOE 

test procedure in appendix B to subpart 

F of part 431 of this chapter; and any 

additional testing instructions, if 

applicable (e.g., deactivation of VERS or 

VERS bypass in accordance with 

appendix B to subpart F of part 431 of 

this chapter). 

* * * * * 

(6) Basic and individual model 

numbers. The basic model number and 

individual model number(s) required to 

be reported under § 429.12(b)(6) must 

consist of the following: 

(i) For computer room airconditioners: 

Single-package or split system? Basic model number 

Individual model number(s) 

1 2 

Single-Package ................................................ Number unique to the basic model ................ Package ..................... N/A. 

Split System ..................................................... Number unique to the basic model ................ Indoor Unit .................. Outdoor Unit. 

(ii) For direct-expansion dedicated 

outdoor air systems: 

Equipment configuration Basic model number 

Individual model number(s) 

1 2 

Single-Package ................................................ Number unique to the basic model ................ Package ..................... N/A. 

Split System ..................................................... Number unique to the basic model ................ Outdoor Unit ............... Indoor Unit. 

* * * * * 

■ 13. Section 429.44 is amended by: 

■ a. Revising paragraph (c)(2)(i); ■ b. Redesignating paragraph (c)(2)(vi) 

as (c)(2)(viii); and 


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■ c. Adding new paragraphs (c)(2)(vi) 

and (vii). 

The revisions and additions read as 

follows: 

§ 429.44 Commercial water heating 

equipment. 

* * * * * 

(c) * * * 

(2) * * * 

(i) Commercial electric storage water 

heaters with storage capacity less than 

or equal to 140 gallons: The standby loss 

in percent per hour (%/h); the rated 

input in kilowatts (kW), and the 

measured storage volume in gallons 

(gal). 

* * * * * 

(vi) Commercial electric 

instantaneous water heaters with storage 

capacity greater than or equal to 10 

gallons (excluding storage-type 

instantaneous water heaters with storage 

capacity greater than 140 gallons): The 

thermal efficiency in percent (%); the 

standby loss in percent per hour (%/h); 

the rated input in kilowatts (kW); and 

the measured storage volume in gallons 

(gal). For equipment that does not meet 

the definition of ‘‘storage-type 

instantaneous water heater’’ (as set forth 

in 10 CFR 431.102), the following must 

also be included in the certification 

report: whether the measured storage 

volume is determined using a weightbased test in accordance with § 431.106 

of this chapter or the calculation-based 

method in accordance with § 429.72; 

whether the water heater will initiate 

heating element operation based on a 

temperature-controlled call for heating 

that is internal to the water heater (Yes/ 

No); whether the water heater is 

equipped with an integral pump purge 

functionality (Yes/No); and if the water 

heater is equipped with integral pump 

purge, the default duration of the pump 

off delay (minutes). 

(vii) Commercial electric 

instantaneous water heaters with storage 

capacity less than 10 gallons: The 

thermal efficiency in percent (%); the 

measured storage volume in gallons 

(gal); the rated input in kilowatts (kW); 

and whether the measured storage 

volume is determined using a weightbased test in accordance with § 431.106 

of this chapter or the calculation-based 

method in accordance with § 429.72. 

* * * * * 

■ 14. Section 429.45 is amended by: 

■ a. Revising paragraphs (a)(2)(ii) and 

(b)(2); and 

■ b. Adding paragraph (b)(3). 

The revisions and addition read as 

follows: 

§ 429.45 Automatic commercial ice 

makers. 

(a) * * * 

(2) * * * 

(ii) The upper 95 percent confidence 

limit (UCL) of the true mean divided by 

1.10, where: 

And x ̄ is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.95 is the 

Student’s t-Distribution Values for a 95 

percent one-tailed confidence interval 

with n¥1 degrees of freedom (from 

appendix A to this subpart). 

* * * * * 

(b) * * * 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following public product-specific 

information: The energy use in kilowatt 

hours per 100 pounds of ice (kWh/100 

lb), the condenser water use in gallons 

per 100 pounds of ice (gal/100 lb), the 

harvest rate in lb/24 h, the type of 

cooling, and the equipment type. 

(3) For reporting, round harvest rate to 

the nearest 1 lb/24 h for harvest rates 

above 50 lb/24 h; round harvest rate to 

the nearest 0.1 lb/24 h for harvest rates 

less than or equal to 50 lb/24 h; round 

condenser water use to the nearest 1 gal/ 

100 lb; and round energy use to the 

nearest 0.01 kWh/100 lb. 

■ 15. Section 429.53 is amended by 

revising paragraph (b) to read as follows: 

§ 429.53 Walk-in coolers and walk-in 

freezers. 

* * * * * 

(b) Certification reports. 

(1) The requirements of § 429.12 

apply to manufacturers of walk-in 

cooler and walk-in freezer panels, doors, 

and refrigeration systems, and; 

(2) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following public product-specific 

information: 

(i) For display and non-display doors: 

(A) The door type; 

(B) R-value of the door insulation (as 

applicable); 

(C) A declaration that the 

manufacturer has incorporated the 

applicable design requirements; 

(D) For transparent reach-in display 

doors and windows, the glass type of 

the doors and windows (e.g., doublepane with heat reflective treatment, 

triple-pane glass with gas fill); 

(E) Power draw of the antisweat 

heater in watts per square foot of door 

opening; 

(F) Door energy consumption in 

kilowatt-hours per day; 

(G) Rated surface area in square feet; 

and 

(H) For doors with anti-sweat heater 

controls, the temperature and/or 

humidity conditions at which the antisweat heater turns on in degrees 

Fahrenheit. 

(ii) For panels: The R-value of the 

insulation. 

(iii) For refrigeration systems: 

(A) The installed motor’s functional 

purpose (i.e., evaporator fan motor or 

condenser fan motor), its rated 

horsepower, and a declaration that the 

manufacturer has incorporated the 

applicable walk-in-specific design 

requirements into the motor; 

(B) The refrigeration system AWEF 

and net capacity in BTU/h; 

(C) The configuration tested for 

certification (e.g., condensing unit only, 

unit cooler only, single-packaged 

dedicated system matched-pair; 

attached split-system; or detachable 

single-packaged system); 

(D) Whether an indoor dedicated 

condensing unit is also certified as an 

outdoor dedicated condensing unit and, 

if so, the basic model number for the 

outdoor dedicated condensing unit; and 

(E) Whether the certified basic model 

is designed for use with CO2 as a 

refrigerant. 

(3) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following non-public product-specific 

information in addition to the 

information listed in paragraph (b)(2) of 

this section: 

(i) For display and non-display doors: 

(A) The rated power of each light, 

heater wire, and/or other electricity 

consuming device associated with each 

basic model of display and non-display 

door; and whether such device(s) has a 

timer, control system, or other demandbased control reducing the device’s 

power consumption; and 


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(B) The conduction load through the 

door in Btu/h. 

(ii) For refrigeration systems: 

(A) Whether the dedicated 

condensing system using flooded head 

pressure controls; and 

(B) The compressor break-in period, if 

used. 

(4) Pursuant to § 429.12(b)(13), a 

certification report must include 

supplemental information submitted in 

PDF format. The equipment-specific 

supplemental information must be 

consistent with the equipment’s 

installation or operating instructions; 

include any additional testing and 

testing set up instructions (e.g., charging 

instructions) for the basic model; 

identify all special features that were 

included in rating the basic model; 

include all other information (e.g., any 

specific settings or controls) necessary 

to operate the basic model under the 

required conditions specified by the 

relevant test procedure. A manufacturer 

may also include with a certification 

report other supplementary items in 

PDF format (e.g., operating manuals 

and/or installation instructions) for DOE 

to consider when performing testing 

under appendix C and appendix C1 to 

subpart R of part 431. 

■ 16. Section 429.59 is amended by: 

■ a. Revising paragraphs (b)(2)(i), (ii), 

and (iii); 

■ b. Removing paragraphs (b)(3)(i), (ii), 

and (iii); and 

■ c. Redesignating paragraph (b)(3)(iv) 

as (b)(3)(i), and reserving paragraph 

(b)(3)(ii). 

The revisions read as follows: 

§ 429.59 Pumps. 

* * * * * 

(b) * * * 

(2) * * * 

(i) For a pump subject to the test 

methods prescribed in section III of 

appendix A to subpart Y of part 431 of 

this chapter: PEICL; pump total head in 

feet (ft.) at BEP and nominal speed; 

volume per unit time (flow rate) in 

gallons per minute (gpm) at BEP and 

nominal speed; the nominal speed of 

rotation in revolutions per minute 

(rpm); calculated driver power input at 

each load point i (Pini), corrected to 

nominal speed, in horsepower (hp); full 

impeller diameter in inches (in.); pump 

efficiency at BEP in percent (%); PERCL; 

and for RSV and ST pumps, the number 

of stages tested. 

(ii) For a pump subject to the test 

methods prescribed in section IV or V 

of appendix A to subpart Y of part 431 

of this chapter: PEICL; pump total head 

in feet (ft.) at BEP and nominal speed; 

volume per unit time (flow rate) in 

gallons per minute (gpm) at BEP and 

nominal speed; the nominal speed of 

rotation in revolutions per minute 

(rpm); driver power input at each load 

point i (Pini), corrected to nominal 

speed, in horsepower (hp); full impeller 

diameter in inches (in.); whether the 

PEICL is calculated or tested; pump 

efficiency at BEP in percent (%); PERCL; 

and for RSV and ST pumps, number of 

stages tested. 

(iii) For a pump subject to the test 

methods prescribed in section VI or VII 

of appendix A to subpart Y of part 431 

of this chapter: PEIVL; pump total head 

in feet (ft.) at BEP and nominal speed; 

volume per unit time (flow rate) in 

gallons per minute (gpm) at BEP and 

nominal speed; the nominal speed of 

rotation in revolutions per minute 

(rpm); driver power input (measured as 

the input power to the driver and 

controls) at each load point i (Pini), 

corrected to nominal speed, in 

horsepower (hp); full impeller diameter 

in inches (in.); whether the PEIVL is 

calculated or tested; pump efficiency at 

BEP in percent (%); PERVL; and for RSV 

and ST pumps, the number of stages 

tested. 

* * * * * 

■ 17. Section 429.62 is amended by: 

■ a. Revising paragraph (b)(2); and 

■ b. Adding paragraph (b)(3). 

The revision and addition reads as 

follows: 

§ 429.62 Portable air conditioners. 

* * * * * 

(b) * * * 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following public product-specific 

information: The CEER in Btu/Wh, the 

seasonally adjusted cooling capacity in 

British thermal units per hour (Btu/h), 

the duct configuration used for testing 

(single-duct or dual-duct), the ability to 

operate in both configurations (yes or 

no), presence of heating function, and 

primary condensate removal feature 

(auto-evaporation, gravity drain, 

removable internal collection bucket, or 

condensate pump). 

(3) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following additional public productspecific information: whether the basic 

model is variable-speed (yes or no), and 

if yes; the full-load seasonally adjusted 

cooling capacity (SACC_Full), in British 

thermal units per hour (Btu/h). 

■ 18. Section 429.65 is amended by 

adding paragraphs (e) and (f) to read as 

follows: 

§ 429.65 Dedicated-purpose pool pump 

motors. 

* * * * * 

(e) Certification reports for dedicated 

purpose pool pump motors. 

(1) The requirements of § 429.12 

apply to dedicated-purpose pool pump 

motors. 

(2) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following public, product-specific 

information for each basic model: 

(i) The dedicated-purpose pool pump 

motor total horsepower as described at 

10 CFR 429.65(c)(1)(v); 

(ii) For all basic models with total 

horsepower less than 0.5 THP, the fullload efficiency in percent (%) as 

described at 10 CFR 429.65; and 

(iii) For all basic models with total 

horsepower greater than or equal to 0.5 

THP: a statement confirming that the 

motor is a variable speed control 

dedicated purpose pool pump motor, as 

defined at 10 CFR 431.483; and a 

statement regarding whether freeze 

protection is shipped enabled or 

disabled; for dedicated-purpose pool 

pump motors distributed in commerce 

with freeze protection controls enabled: 

The default dry-bulb air temperature 

setting (in °F), default run time setting 

(in minutes), maximum operating speed 

(in revolutions per minute, or rpm), and 

default motor speed in freeze protection 

mode (in revolutions per minute, or 

rpm). 

(f) Rounding Requirements. 

(1) Round dedicated-purpose-pool 

pump motor total horsepower to the 

nearest hundredth of a THP; 

(2) Round full-load efficiency to the 

nearest tenth of a percent; and 

(3) For dedicated-purpose pool pump 

motor basic models with total 

horsepower greater than or equal to 0.5 

THP and distributed in commerce with 

freeze protection controls enabled, 

round the dry-bulb temperature setting, 

run time setting, maximum operating 

speed, and default motor speed in freeze 

protection mode to the nearest whole 

number. 

■ 19. Section 429.67 is amended by: 

■ a. Revising paragraphs (c)(2)(ii)(A)(2), 

(f)(2), and (f)(3)(i) and (ii); and 

■ b. Adding paragraph (f)(4). 

The revisions and addition read as 

follows: 

§ 429.67 Air-cooled, three-phase, small 

commercial package air conditioning and 

heating equipment with a cooling capacity 

of less than 65,000 British thermal units per 

hour and air-cooled, three-phase, variable 

refrigerant flow multi-split air conditioners 

and heat pumps with a cooling capacity of 

less than 65,000 British thermal units per 

hour. 

* * * * * 

(c) * * * 

(2) * * * 

(ii) * * * 


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(A) * * * 

(2) The lower 90 percent confidence 

limit (LCL) of the true mean divided by 

0.95, where: 

And x ̄ is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.90 is the 

Student’s t-Distribution Values for a 90 

percent one-tailed confidence interval 

with n¥1 degrees of freedom (from 

appendix A of this part). 

* * * * * 

(f) * * * 

(2) Pursuant to § 429.12(b)(13), for 

each individual model (for singlepackage systems) or individual 

combination (for split-systems, 

including outdoor units with no match 

and ‘‘tested combinations’’ for multisplit, multi-circuit, and multi-head 

mini-split systems), a certification 

report must include the following 

public equipment-specific information: 

(i) Commercial package air 

conditioning equipment that is aircooled with a cooling capacity of less 

than 65,000 Btu/h (3-Phase): 

(A) When certifying compliance with 

a SEER standard: The seasonal energy 

efficiency ratio (SEER in British thermal 

units per Watt-hour (Btu/Wh)), and the 

rated cooling capacity in British thermal 

units per hour (Btu/h). 

(B) When certifying compliance with 

a SEER2 standard: the seasonal energy 

efficiency ratio 2 (SEER2 in British 

thermal units per Watt-hour (Btu/Wh)) 

and the rated cooling capacity in British 

thermal units per hour (Btu/h). 

(ii) Commercial package heating 

equipment that is air-cooled with a 

cooling capacity of less than 65,000 Btu/ 

h (3-Phase): 

(A) When certifying compliance with 

an HSPF standard: The seasonal energy 

efficiency ratio (SEER in British thermal 

units per Watt-hour (Btu/Wh)), the 

heating seasonal performance factor 

(HSPF in British thermal units per Watthour (Btu/Wh)), and the rated cooling 

capacity in British thermal units per 

hour (Btu/h). 

(B) When certifying compliance with 

an HSPF2 standard: the seasonal energy 

efficiency ratio 2 (SEER2 in British 

thermal units per Watt-hour (Btu/Wh)), 

the heating seasonal performance factor 

2 (HSPF2 in British thermal units per 

Watt-hour (Btu/Wh)) and the rated 

cooling capacity in British thermal units 

per hour (Btu/h). 

(iii) Variable refrigerant flow multisplit air conditioners that are air-cooled 

with rated cooling capacity of less than 

65,000 Btu/h (3-Phase): 

(A) When certifying compliance with 

a SEER standard: The seasonal energy 

efficiency ratio (SEER in British thermal 

units per Watt-hour (Btu/Wh)), and the 

rated cooling capacity in British thermal 

units per hour (Btu/h). 

(B) When certifying compliance with 

a SEER2 standard: the seasonal energy 

efficiency ratio 2 (SEER2 in British 

thermal units per Watt-hour (Btu/Wh)) 

and the rated cooling capacity in British 

thermal units per hour (Btu/h). 

(iv) Variable refrigerant flow multisplit heat pumps that are air-cooled 

with rated cooling capacity of less than 

65,000 Btu/h (3-Phase): 

(A) When certifying compliance with 

an HSPF standard: The seasonal energy 

efficiency ratio (SEER in British thermal 

units per Watt-hour (Btu/Wh)), the 

heating seasonal performance factor 

(HSPF in British thermal units per Watthour (Btu/Wh)), and the rated cooling 

capacity in British thermal units per 

hour (Btu/h). 

(B) When certifying compliance with 

an HSPF2 standard: the seasonal energy 

efficiency ratio 2 (SEER2 in British 

thermal units per Watt-hour (Btu/Wh)), 

the heating seasonal performance factor 

2 (HSPF2 in British thermal units per 

Watt-hour (Btu/Wh)) and the rated 

cooling capacity in British thermal units 

per hour (Btu/h). 

(3) * * * 

(i) Air cooled commercial package air 

conditioning equipment with a cooling 

capacity of less than 65,000 Btu/h (3- 

phase): The nominal cooling capacity in 

British thermal units per hour (Btu/h); 

rated airflow in standard cubic feet per 

minute (SCFM) for each fan coil; rated 

static pressure in inches of water; 

refrigeration charging instructions (e.g., 

refrigerant charge, superheat and/or 

subcooling temperatures); frequency or 

control set points for variable speed 

components (e.g., compressors, VFDs); 

required dip switch/control settings for 

step or variable components; a 

statement whether the model will 

operate at test conditions without 

manufacturer programming; any 

additional testing instructions, if 

applicable; if a variety of motors/drive 

kits are offered for sale as options in the 

basic model to account for varying 

installation requirements, the model 

number and specifications of the motor 

(to include efficiency, horsepower, 

open/closed, and number of poles) and 

the drive kit, including settings, 

associated with that specific motor that 

were used to determine the certified 

rating; and which, if any, special 

features were included in rating the 

basic model. Additionally, when 

certifying compliance with a SEER2 

standard, the supplemental information 

must also include: for models of outdoor 

units with no match, the following 

characteristics of the indoor coil: the 

face area, the coil depth in the direction 

of airflow, the fin density (fins per 

inch), the fin material, the fin style, the 

tube diameter, the tube material, and the 

numbers of tubes high and deep. 

(ii) Commercial package heating 

equipment that is air-cooled with a 

cooling capacity of less than 65,000 Btu/ 

h (3-phase): The nominal cooling 

capacity in British thermal units per 

hour (Btu/h); rated heating capacity in 

British thermal units per hour (Btu/h); 

rated airflow in standard cubic feet per 

minute (SCFM) for each fan coil; rated 

static pressure in inches of water; 

refrigeration charging instructions (e.g., 

refrigerant charge, superheat and/or 

subcooling temperatures); frequency or 

control set points for variable speed 

components (e.g., compressors, VFDs); 

required dip switch/control settings for 

step or variable components; a 

statement whether the model will 

operate at test conditions without 

manufacturer programming; any 

additional testing instructions, if 

applicable; if a variety of motors/drive 

kits are offered for sale as options in the 

basic model to account for varying 

installation requirements, the model 

number and specifications of the motor 

(to include efficiency, horsepower, 

open/closed, and number of poles) and 

the drive kit, including settings, 

associated with that specific motor that 

were used to determine the certified 

rating; and which, if any, special 

features were included in rating the 

basic model. Additionally, when 

certifying compliance with an HSPF2 

standard, the supplemental information 

must also include: for models of outdoor 

units with no match, the following 

characteristics of the indoor coil: the 

face area, the coil depth in the direction 

of airflow, the fin density (fins per 

inch), the fin material, the fin style, the 

tube diameter, the tube material, and the 

numbers of tubes high and deep. 

* * * * * 

(4) The basic model number and 

individual model number(s) required to 

be reported under § 429.12(b)(6) must 

consist of the following: 


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Equipment type Basic model number 

Individual model number(s) 

1 2 3 

Single-Package (including Space-Constrained).Number unique to 

the basic model.

Package ................ N/A ....................................................... N/A. 

Single-Split System (including SpaceConstrained and SDHV).Number unique to 

the basic model.

Outdoor Unit ......... Indoor Unit ........................................... If applicable—Air Mover (could be 

same as indoor unit if fan is part of 

indoor unit model number). 

Multi-Split, Multi-Circuit, and Multi-Head 

Mini-Split System (including SpaceConstrained and SDHV).

Number unique to 

the basic model.

Outdoor Unit ......... When certifying a basic model based 

on tested combination(s): * * * 

When certifying an individual combination: Each indoor units paired 

with the outdoor unit.

If applicable—When certifying a basic 

model based on tested combination(s): * * *. When certifying an individual combination: Each air movers paired with the outdoor unit. 

Outdoor Unit with No Match ................. Number unique to 

the basic model.

Outdoor Unit ......... N/A ....................................................... N/A. 

■ 20. Section 429.68 is amended by 

adding paragraph (b) to read as follows: 

§ 429.68 Air cleaners. 

* * * * * 

(b) Certification reports. 

(1) The requirements of § 429.12 are 

applicable to air cleaners; and 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following public product-specific 

information: 

(i) Smoke clean air delivery rate 

(CADR) in cubic feet per minute (cfm); 

(ii) Dust CADR in cfm; 

(iii) Pollen CADR in cfm; 

(iv) PM2.5 CADR in cfm; 

(v) Annual energy consumption in 

kilowatt hours per year (kWh/yr); 

(vi) Integrated energy factor in PM2.5

CADR per watt; and 

(vii) Room size in square feet. 

■ 21. Section 429.70 is amended by 

revising Table 2 to paragraph 

(c)(5)(vi)(B) to read as follows: 

§ 429.70 Alternative methods for 

determining energy efficiency and energy 

use. 

* * * * * 

(c) * * * 

(5) * * * 

(vi) * * * 

(B) * * * 

TABLE 2 TO PARAGRAPH (c)(5)(vi)(B) 

Equipment Metric Applicable 

tolerance 

Commercial Packaged Boilers .................................................... Combustion Efficiency ...............................................................

Thermal Efficiency .....................................................................

5% (0.05) 

5% (0.05) 

Commercial Water Heaters or Hot Water Supply Boilers .......... Thermal Efficiency .....................................................................

Standby Loss .............................................................................

5% (0.05) 

10% (0.1) 

Unfired Storage Tanks ................................................................ R-Value ...................................................................................... 10% (0.1) 

Air-Cooled, Split and Packaged ACs and HPs Greater than or 

Equal to 65,000 Btu/h Cooling Capacity and Less than 

760,000 Btu/h Cooling Capacity.

Energy Efficiency Ratio ..............................................................

Coefficient of Performance ........................................................

Integrated Energy Efficiency Ratio ............................................

5% (0.05) 

5% (0.05) 

10% (0.1) 

Water-Cooled, Split and Packaged ACs and HPs, All Cooling 

Capacities.

Energy Efficiency Ratio ..............................................................

Coefficient of Performance ........................................................

Integrated Energy Efficiency Ratio ............................................

5% (0.05) 

5% (0.05) 

10% (0.1) 

Evaporatively-Cooled, Split and Packaged ACs and HPs, All 

Capacities.

Energy Efficiency Ratio ..............................................................

Coefficient of Performance ........................................................

Integrated Energy Efficiency Ratio ............................................

5% (0.05) 

5% (0.05) 

10% (0.1) 

Water-Source HPs, All Capacities .............................................. Energy Efficiency Ratio ..............................................................

Coefficient of Performance ........................................................

Integrated Energy Efficiency Ratio ............................................

5% (0.05) 

5% (0.05) 

10% (0.1) 

Single Package Vertical ACs and HPs ....................................... Energy Efficiency Ratio ..............................................................

Coefficient of Performance ........................................................

Integrated Energy Efficiency Ratio ............................................

5% (0.05) 

5% (0.05) 

10% (0.1) 

Packaged Terminal ACs and HPs .............................................. Energy Efficiency Ratio ..............................................................

Coefficient of Performance ........................................................

5% (0.05) 

5% (0.05) 

Variable Refrigerant Flow ACs and HPs (Excluding Air-Cooled, 

Three-phase with Less than 65,000 Btu/h Cooling Capacity).

Energy Efficiency Ratio ..............................................................

Coefficient of Performance ........................................................

Integrated Energy Efficiency Ratio ............................................

5% (0.05) 

5% (0.05) 

10% (0.1) 

Computer Room Air Conditioners ............................................... Sensible Coefficient of Performance .........................................

Net Sensible Coefficient of Performance ..................................

5% (0.05) 

5% (0.05) 

Direct Expansion-Dedicated Outdoor Air Systems ..................... Integrated Seasonal Coefficient of Performance 2 ...................

Integrated Seasonal Moisture Removal Efficiency 2 .................

10% (0.1) 

10% (0.1) 

Commercial Warm-Air Furnaces ................................................ Thermal Efficiency ..................................................................... 5% (0.05) 

Commercial Refrigeration Equipment ......................................... Daily Energy Consumption ........................................................ 5% (0.05) 

* * * * * 

■ 22. Section 429.72 is amended by 

revising paragraph (e) to read as follows: 

§ 429.72 Alternative methods for 

determining non-energy ratings. 

* * * * * 

(e) Commercial instantaneous water 

heaters (other than storage-type 

instantaneous water heaters) and hot 

water supply boilers. The storage 

volume of a commercial instantaneous 

water heater (other than storage-type 

instantaneous water heaters) or a hot 


lotter on DSK11XQN23PROD with PROPOSALS2
Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Proposed Rules 67511 

water supply boiler basic model may be 

determined by performing a calculation 

of the stored water volume based upon 

design drawings (including computeraided design (CAD) models) or physical 

dimensions of the basic model. Any 

value of storage volume of a basic model 

reported to DOE in a certification of 

compliance in accordance with 

§ 429.44(c)(2)(iv)–(vii) or 

§ 429.44(c)(3)(iv)–(vii) (as applicable) 

must be calculated using the design 

drawings or physical dimensions, or 

measured as per the applicable 

provisions in the test procedures in 

§ 431.106 of this chapter. Calculations to 

determine storage volume must include 

all water contained within the water 

heater from the inlet connection(s) to 

the outlet connection(s). The storage 

volume of water contained in the water 

heater must then be computed in 

gallons. 

■ 23. Section 429.134 is amended by 

adding paragraph (q)(5) to read as 

follows: 

§ 429.134 Product-specific enforcement 

provisions. 

* * * * * 

(q) * * * 

(5) Break-in period for refrigeration 

systems. DOE will perform a compressor 

break-in period during assessment or 

enforcement testing using a duration 

specified by the manufacturer, not to 

exceed 20 hours, only if a break-in 

period duration is provided in the 

certification report. 

* * * * * 

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 24. The authority citation for part 431 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 

2461 note. 

■ 25. Amend § 431.2 by revising the 

definition of ‘‘Covered equipment’’ to 

read as follows: 

§ 431.2 Definitions. 

* * * * * 

Covered equipment means any 

electric motor, as defined in § 431.12; 

commercial heating, ventilating, and air 

conditioning, and water heating product 

(HVAC & WH product), as defined in 

§ 431.2; commercial refrigerator, freezer, 

or refrigerator-freezer, as defined in 

§ 431.62; automatic commercial ice 

maker, as defined in § 431.132; 

commercial clothes washer, as defined 

in § 431.152; fan or blower, as defined 

in § 431.172; distribution transformer, as 

defined in § 431.192; illuminated exit 

sign, as defined in § 431.202; traffic 

signal module or pedestrian module, as 

defined in § 431.222; unit heater, as 

defined in § 431.242; commercial 

prerinse spray valve, as defined in 

§ 431.262; mercury vapor lamp ballast, 

as defined in § 431.282; refrigerated 

bottled or canned beverage vending 

machine, as defined in § 431.292; walkin cooler and walk-in freezer, as defined 

in § 431.302; metal halide ballast and 

metal halide lamp fixture, as defined in 

§ 431.322; compressor, as defined in 

§ 431.342; small electric motor, as 

defined in § 431.442; pump, as defined 

in § 431.462; and dedicated purpose 

pool pump motor, as defined in 

§ 431.483. 

* * * * * 

■ 26. Amend § 431.305 by: 

■ a. Revising paragraph (a)(1); 

■ b. Revising paragraphs (b)(1)(i) and 

(ii), and adding new paragraph 

(b)(1)(iii); 

■ c. Revising paragraphs (c)(1)(iv) and 

(v); and 

■ d. Adding paragraph (c)(1)(vi). 

The revisions and additions read as 

follows. 

§ 431.305 Walk-in cooler and walk-in 

freezer labeling requirements. 

(a) * * * 

(1) Required information. The 

permanent nameplate of a walk-in 

cooler or walk-in freezer panel for 

which standards are prescribed in 

§ 431.306 must be marked clearly with 

the following information: 

(i) The panel brand or manufacturer; 

(ii) The date of manufacture; and 

(iii) One of the following statements, 

as appropriate: 

(A) ‘‘This panel is designed and 

certified for use in walk-in cooler 

applications.’’ 

(B) ‘‘This panel is designed and 

certified for use in walk-in freezer 

applications.’’ 

(C) ‘‘This panel is designed and 

certified for use in walk-in cooler and 

walk-in freezer applications.’’ 

* * * * * 

(b) * * * 

(1) * * * 

(i) The door brand or manufacturer; 

(ii) For non-display doors 

manufactured with foam insulation, the 

date of manufacture; and 

(iii) One of the following statements, 

as appropriate: 

(A) ‘‘This door is designed and 

certified for use in walk-in cooler 

applications.’’ 

(B) ‘‘This door is designed and 

certified for use in walk-in freezer 

applications.’’ 

(C) ‘‘This door is designed and 

certified for use in walk-in cooler and 

walk-in freezer applications.’’ 

* * * * * 

(c) * * * 

(1) * * * 

(iv) If the refrigeration system is a 

dedicated condensing refrigeration 

system, and is not designated for 

outdoor use, the statement, ‘‘Indoor use 

only’’ (for a matched pair this must 

appear on the condensing unit); 

(v) The following statement, as 

appropriate: ‘‘Only CO2 is approved as 

a refrigerant for this system;’’ and 

(vi) One of the following statements, 

as appropriate: 

(A) ‘‘This refrigeration system is 

designed and certified for use in walkin cooler applications.’’ 

(B) ‘‘This refrigeration system is 

designed and certified for use in walkin freezer applications.’’ 

(C) ‘‘This refrigeration system is 

designed and certified for use in walkin cooler and walk-in freezer 

applications.’’ 

* * * * * 

[FR Doc. 2023–19146 Filed 9–28–23; 8:45 am] 

BILLING CODE 6450–01–P 


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