This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

8886 

Vol. 79, No. 31 

Friday, February 14, 2014 

1For editorial reasons, Parts B (consumer 

products) and C (commercial equipment) of Title III 

of EPCA were re-designated as parts A and A–1, 

respectively, in the United States Code. 

DEPARTMENT OF ENERGY 

10 CFR Part 429 

[Docket No. EERE–2013–BT–NOC–0023] 

RIN 1904–AD12 

Energy Conservation Program: 

Certification of Commercial Heating, 

Ventilation, and Air-Conditioning 

(HVAC), Water Heating (WH), and 

Refrigeration (CRE) Equipment 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The U.S. Department of 

Energy is proposing to revise and 

expand its existing regulations 

governing certifying compliance with 

the applicable energy conservation 

standards and the reporting of related 

ratings for commercial heating, 

ventilating, air-conditioning, water 

heating, and refrigeration equipment 

covered by EPCA. 

DATES: DOE will accept comments, data, 

and information regarding this notice of 

proposed rulemaking (NOPR) no later 

than March 17, 2014. See section V, 

‘‘Public Participation,’’ of this NOPR for 

details. 

In compliance with the Paperwork 

Reduction Act, DOE is also seeking 

comment on a revised information 

collection. See the Paperwork Reduction 

Act section under Procedural Issues and 

Regulatory Review below. Please submit 

all comments relating to information 

collection requirements to DOE at the 

address listed in the ADDRESSES section 

on or before April 15, 2014. Comments 

to OMB are most useful if submitted 

within 30 days of publication. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

http://www.regulations.gov. Follow the 

instructions for submitting comments. 

Alternatively, interested persons may 

submit comments, identified by docket 

number EERE–2013–BT–NOC–0023, by 

any of the following methods: 

• Email: to 

ASRACworkgroup2013NOC0023@

ee.doe.gov. Include EERE–2013–BT– 

NOC–0023 in the subject line of the 

message. 

• Mail: Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

Revisions to Energy Efficiency 

Enforcement Regulations, EERE–2013– 

BT–NOC–0023, 1000 Independence 

Avenue SW., Washington, DC 20585– 

0121. Phone: (202) 586–2945. Please 

submit one signed paper original. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 6th 

Floor, 950 L’Enfant Plaza SW., 

Washington, DC 20024. Phone: (202) 

586–2945. Please submit one signed 

paper original. 

Instructions: All submissions received 

must include the agency name and 

docket number or RIN for this 

rulemaking. 

Docket: For access to the docket to 

read background documents, or 

comments received, go to the Federal 

eRulemaking Portal at http://

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Ashley Armstrong, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue SW., 

Washington, DC 20585–0121. Email: 

Ashley.Armstrong@ee.doe.gov. Phone: 

202–586–6590; and Ms. Laura Barhydt, 

U.S. Department of Energy, Office of the 

General Counsel, Forrestal Building, 

GC–32, 1000 Independence Avenue 

SW., Washington, DC 20585. Email: 

Laura.Barhydt@hq.doe.gov Phone: 202– 

287–5772. 

SUPPLEMENTARY INFORMATION: 

I. Authority and Background 

II. Discussion of Specific Revisions to DOE’s 

Certification Regulations 

Engineered-to-Order Equipment 

General Certification Information 

Applicable to All Basic Models of 

Commercial HVAC, WH, and 

Refrigeration Equipment 

Equipment Specific Certification 

Information 

III. Procedural Issues and Regulatory Review 

IV. Public Participation 

V. Approval of the Office of the Secretary 

I. Authority and Background 

Authority 

Title III of the Energy Policy and 

Conservation Act of 1975, as amended 

(‘‘EPCA’’ or, in context, ‘‘the Act’’) sets 

forth a variety of provisions designed to 

improve energy efficiency. Part A of 

Title III (42 U.S.C. 6291–6309) provides 

for the Energy Conservation Program for 

Consumer Products Other Than 

Automobiles. The National Energy 

Conservation Policy Act (NECPA), 

Public Law 95–619, amended EPCA to 

establish an energy conservation 

program for certain industrial 

equipment. (42 U.S.C. 6311–6317) 1 The 

Department of Energy (‘‘DOE’’) is 

charged with implementing these 

provisions. 

Under EPCA, this program consists 

essentially of four parts: (1) Testing; (2) 

labeling; (3) Federal energy conservation 

standards; and (4) certification and 

enforcement procedures. The Federal 

Trade Commission (FTC) is primarily 

responsible for labeling of consumer 

products, while DOE implements the 

remainder of the program. The testing 

requirements consist of test procedures 

that manufacturers of covered products 

and equipment must use (1) as the basis 

for certifying to DOE that their products 

comply with the applicable energy 

conservation standards adopted under 

EPCA, and (2) for making 

representations about the efficiency of 

those products and equipment. 

Similarly, DOE must use these test 

requirements to determine whether the 

products comply with any relevant 

standards promulgated under EPCA. For 

certain consumer products and 

commercial equipment, DOE’s existing 

testing regulations allow the use of an 

alternative efficiency determination 

method (AEDM) or an alternative rating 

method (ARM), in lieu of actual testing, 

to simulate the energy consumption or 

efficiency of certain basic models of 

covered products and equipment under 

DOE’s test procedure conditions. 

In addition, sections 6299–6305, and 

6316 of EPCA authorize DOE to enforce 

compliance with the energy and water 

conservation standards (all non-product 

specific references herein referring to 

energy use and consumption include 


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water use and consumption; all 

references to energy efficiency include 

water efficiency) established for certain 

consumer products and industrial 

equipment. (42 U.S.C. 6299–6305 

(consumer products), 6316 (industrial 

equipment)) DOE has promulgated 

enforcement regulations that include 

specific certification and compliance 

requirements. See 10 CFR part 429; 10 

CFR part 431, subparts B, U, and V. 

Background 

On March 7, 2011, DOE published a 

final rule in the Federal Register that, 

among other things, modified the 

requirements regarding manufacturer 

submission of compliance statements 

and certification reports to DOE 

(hereafter referred to as the March 2011 

Final Rule). 76 FR 12422. This rule, 

among other things, imposed new or 

revised reporting requirements for some 

types of covered products and 

equipment, including a requirement that 

manufacturers submit annual reports to 

the Department certifying compliance of 

their basic models with applicable 

standards. See 76 FR 12428–12429 for 

more information. 

In response to the initial deadline for 

certifying compliance imposed by the 

March 2011 Final Rule, certain 

manufacturers of particular types of 

commercial and industrial equipment 

(including manufacturers of commercial 

heating, ventilation, and air 

conditioning (HVAC) equipment, 

commercial water heating (WH) 

equipment, and commercial 

refrigeration equipment (CRE)) stated 

that, for a variety of reasons, they would 

be unable to meet that deadline. In 

response, DOE initially extended the 

deadline for certifications for 

commercial HVAC, WH, and 

refrigeration equipment in a final rule 

published June 30, 2011 (hereafter 

referred to as the June 2011 Final Rule). 

76 FR 38287 (June 30, 2011). DOE 

subsequently extended the compliance 

date for certification by an additional 12 

months to December 31, 2013, for these 

types of equipment (December 2012 

Final Rule) to allow, among other 

things, the Department to explore the 

negotiated rulemaking process for this 

equipment. 77 FR 72763. 

In the summer of 2012, DOE had an 

independent convener evaluate the 

feasibility of developing certification 

requirements for commercial HVAC, 

WH, and refrigeration equipment (not 

including walk-in coolers and freezers) 

through consensus-based negotiations 

among affected parties. In October 2012, 

the convener issued his report after 

completing confidential interviews of 

forty (40) parties from a wide range of 

commercial HVAC, WH, and 

refrigeration equipment interests. The 

convener found the interviewed parties 

believed negotiated rulemaking was 

superior to notice and comment 

rulemaking for certification-related 

issues. Because of this, the convener 

found that a negotiated rulemaking 

would have a reasonable likelihood of 

achieving consensus based on the 

factors set forth in the Negotiated 

Rulemaking Act. The entire report is 

available at https://

www1.eere.energy.gov/buildings/

appliance_standards/pdfs/convening_

report_hvac_cre_1.pdf. 

On February 26, 2013, members of the 

Appliance Standards and Rulemaking 

Federal Advisory Committee (ASRAC) 

unanimously decided to form a working 

group to engage in a negotiated 

rulemaking effort on the certification of 

commercial HVAC equipment (10 CFR 

part 431, subparts D, E and F), WH 

equipment (10 CFR part 431, subpart G), 

and refrigeration equipment (10 CFR 

part 431, subpart C). A notice of intent 

to form the Commercial Certification 

Working Group was published in the 

Federal Register on March 12, 2013, to 

which DOE received 35 nominations. 78 

FR 15653. On April 16, 2013, the 

Department published a notice of open 

meeting that announced the first 

meeting and listed the 22 nominations 

that were selected to serve as members 

of the Working Group, in addition to 

two members from ASRAC, and one 

DOE representative. 78 FR 22431. The 

members of the Working Group were 

selected to ensure a broad and balanced 

array of stakeholder interests and 

expertise, and included efficiency 

advocates, manufacturers, a utility 

representative, and third party 

laboratory representatives. 

As required, the Working Group 

submitted an interim report to ASRAC 

on June 26, 2013, summarizing the 

group’s recommendations regarding 

AEDMs for commercial HVAC, WH, and 

refrigeration equipment. The interim 

report to ASRAC can be found at http:// 

www.regulations.gov/

#!documentDetail;D=EERE-2013-BTNOC-0023-0046. ASRAC subsequently 

voted unanimously to approve the 

recommendations in the interim report 

for AEDMs. Subsequently, the Working 

Group submitted a final report on 

August 30, 2013, summarizing the 

Working Group’s recommendations for 

model grouping, certification 

requirements and deadlines, and 

features to be excluded from 

certification, verification, and 

enforcement testing as long as specific 

conditions were met. ASRAC voted 

unanimously to approve the 

recommendations in the final report. 

DOE proposed to adopt the Working 

Group’s recommendations, without 

modification, for AEDMs, basic model 

definitions, and the initial compliance 

date for certification in a notice 

published on October 22, 2013. 78 FR 

62472. In this notice of proposed 

rulemaking, DOE is proposing to adopt 

without modification the remaining 

recommendations for certification 

requirements from the Working Group. 

DOE still intends to issue separate 

rulemaking or guidance documents 

regarding the treatment of specific 

features when testing. 

II. Discussion of Specific Revisions to 

DOE’s Certification Regulations 

The Commercial Certification 

Working Group held nine full meetings 

in Washington, DC, between April 30, 

2013 and August 28, 2013. These 

meetings were attended by 57 interested 

parties, including members of the 

Working Group. Table II.1 lists the 

entities that attended the Commercial 

Certification Working Group meetings 

and their affiliation. The Working 

Group’s recommendations regarding 

certification are presented in this notice 

of proposed rulemaking. A more 

detailed discussion of the 

recommendations can be found in the 

Commercial Certification Working 

Group meeting transcripts, which are 

located here: http://

www.regulations.gov/

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

TABLE II.1—INTERESTED PARTIES

Name Acronym Organization type 

AAON, Inc ....................................................................................................... AAON ................................. Manufacturer. 

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

Allied Air Enterprises ...................................................................................... Allied Air ............................. Manufacturer. 

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

American Society of Heating, Refrigerating and Air-conditioning Engineers ASHRAE ............................. Trade Association.


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2The Working Group recommended the new 

concept to distinguish between models that are 

built to customer specifications from a list of 

options offered by the manufacturer (e.g., 

‘‘configure-to-order’’) and models that are built to 

customer specifications that are completely unique, 

require original engineering design work, and are 

not built from options the manufacturer offers for 

sale (i.e., ‘‘engineered-to-order’’). 

3 In all other circumstances, the manufacturer 

must affirmatively certify that a basic model has 

been discontinued as required by 10 CFR 429.12(f). 

Because engineered-to-order basic models are, by 

design, unlikely to be distributed more than once, 

the manufacturer would not be required to submit 

TABLE II.1—INTERESTED PARTIES—Continued 

Name Acronym Organization type 

Bard Manufacturing Company Inc .................................................................. Bard .................................... Manufacturer. 

Bosch Thermotechnology Corp ...................................................................... Bosch ................................. Manufacturer. 

Bradford White Corporation ............................................................................ Bradford White ................... Manufacturer. 

California Energy Commission ....................................................................... CEC .................................... California State Government Agency. 

Cleaver-Brooks ............................................................................................... ............................................. Manufacturer. 

ClimateMaster Inc ........................................................................................... ClimateMaster .................... Manufacturer. 

Continental Refrigerator ................................................................................. ............................................. Manufacturer. 

CSA Group ..................................................................................................... CSA .................................... Third-party laboratory. 

Daikin McQuay ............................................................................................... ............................................. Manufacturer. 

EarthJustice .................................................................................................... ............................................. Energy Efficiency Advocacy Group. 

Edison Electric Institute .................................................................................. EEI ...................................... Energy Efficiency Advocacy Group. 

Emerson Climate Technologies ..................................................................... Emerson ............................. Component Manufacturer. 

Estes Heating & Air Conditioning, Inc ............................................................ Estes .................................. Distributor. 

General Electric Company ............................................................................. GE ...................................... Manufacturer. 

Goodman Global, Inc ..................................................................................... Goodman ............................ Manufacturer. 

Heat Transfer Products .................................................................................. HTP .................................... Manufacturer. 

Hillphoenix ...................................................................................................... Hillphoenix .......................... Manufacturer. 

Hoshizaki America, Inc ................................................................................... Hoshizaki ............................ Manufacturer. 

Hussmann Corporation ................................................................................... Hussmann .......................... Manufacturer. 

Intertek ............................................................................................................ Intertek ............................... Third-party laboratory. 

Johnson Controls Inc ...................................................................................... JCI ...................................... Manufacturer. 

Lennox International, Inc ................................................................................ Lennox ................................ Manufacturer. 

Lochinvar, LLC ............................................................................................... Lochinvar ............................ Manufacturer. 

Mississippi College School of Law ................................................................. ............................................. Law School. 

McDermott Will & Emery ................................................................................ ............................................. Law Firm. 

Mitsubishi Electric US, Inc .............................................................................. MEUS ................................. Manufacturer. 

National Comfort Products ............................................................................. NCP .................................... Manufacturer. 

National Electric Manufacturers Association .................................................. NEMA ................................. Trade Association. 

National Refrigeration and Air-Conditioning ................................................... National .............................. Manufacturer. 

Norlake Inc ..................................................................................................... Norlake ............................... Manufacturer. 

Northwest Energy Efficiency Alliance ............................................................. NEEA .................................. Energy Efficiency Advocacy Group. 

Natural Resources Canada ............................................................................ NRCan ................................ Canadian Government Agency. 

Manitowoc Foodservice .................................................................................. Manitowoc .......................... Manufacturer. 

P2S Engineering, Inc ...................................................................................... P2S ..................................... Consulting Firm. 

Pacific Gas and Electric Company ................................................................. PG&E ................................. Utility. 

PVI Industries Inc ........................................................................................... PVI ...................................... Manufacturer. 

Regal-Beloit Corporation ................................................................................ Regal-Beloit ........................ Manufacturer. 

Rheem Manufacturing Company .................................................................... Rheem ................................ Manufacturer. 

Saudi Diyar Consultants ................................................................................. Diyar ................................... Engineering Design Firm. 

Schneider Electric SA ..................................................................................... Schneider Electric .............. Consulting Firm. 

San Francisco Department of the Environment ............................................. SF Environment ................. California State Government Agency. 

SJI Consultants Inc ........................................................................................ SJI ...................................... Consulting firm. 

Southern California Gas Company ................................................................ SoCal Gas .......................... Utility. 

Source Energy ................................................................................................ ............................................. Consulting Firm. 

Southern Store Fixtures ................................................................................. ............................................. Manufacturer. 

Trane .............................................................................................................. ............................................. Manufacturer. 

Traulsen .......................................................................................................... Traulsen ............................. Manufacturer. 

True Manufacturing Co. Inc ............................................................................ True Manufacturing ............ Manufacturer. 

Underwriters Laboratories LLC ...................................................................... UL ....................................... Third-party laboratory. 

United CoolAir Corporation ............................................................................ United CoolAir .................... Manufacturer. 

United Technologies Climate, Controls & Security and ITS Carrier .............. UTC/Carrier ........................ Manufacturer. 

Zero Zone Inc ................................................................................................. Zero Zone ........................... Manufacturer. 

Engineered-to-Order Equipment 

The Working Group recommended 

that a new concept, ‘‘engineered-toorder equipment,’’ be added to DOE’s 

certification regulations. The Working 

Group recommended that this concept 

be applied to a basic model that is not 

listed in any catalogs or marketing 

literature and is designed and built to 

customer requirements. An engineeredto-order basic model does not include 

any models offered as a ‘‘configure-toorder’’ or ‘‘menu-system’’ set of 

options.2 Additionally, the Working 

Group determined that a basic model 

may not be classified as engineered-toorder for more than one annual 

certification cycle, effectively meaning 

that the basic model cannot be classified 

as engineer-to-order for more than 24 

months. If the manufacturer does not 

recertify the engineered-to-order 

product as a typical basic model by the 

second annual certification deadline 

then the manufacturer is effectively 

certifying that the model has been 

discontinued. In that case, DOE would 

automatically treat the basic model as 

discontinued.3 DOE proposes to adopt 


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a certification report discontinuing an engineeredto-order basic model. 

the engineered-to-order concept by 

adding a definition of this term and the 

associated certification requirements 

and requests comment on this approach. 

General Certification Information 

Applicable to All Basic Models of 

Commercial HVAC, WH, and 

Refrigeration Equipment 

The Working Group recommended 

that manufacturers submit the following 

general information to DOE in all 

certification reports. 

• Product or equipment type; 

• Product or equipment class; 

• Manufacturer name and address; 

• Private labeler name and address, if 

applicable; 

• Brand name; 

• Basic model number; 

• Individual model numbers covered 

by the basic model; 

• Customer-specified model numbers, 

if applicable; 

• Status (new certification, 

discontinued, existing, etc.); 

• Test sample size (‘‘0’’ if an AEDM 

was used); 

• U.S. Customs and Border Protection 

(CBP) importer ID number, if applicable; 

• Whether the certification was based 

on test procedure waiver and the date of 

such waiver; 

• Whether the certification was based 

on exception relief from the Office of 

Hearings and Appeals and the date of 

such relief; and 

• AEDM name or identifier, if the test 

sample size is ‘‘0.’’ 

The only items listed above that 

manufacturers are not currently 

required to provide DOE in accordance 

with 10 CFR 429.12 are customerspecified model numbers and the name 

of the AEDM used. 

Additionally, the Working Group 

recommended that only the information 

specified below be publicly posted on 

DOE’s Web site. Accordingly, DOE is 

proposing to revise 10 CFR 429.7(a) to 

include these items as ‘‘not exempt from 

public disclosure.’’ 

• Product or equipment type; 

• Product or equipment class 

• Private labeler name 

• Brand name 

• Individual model numbers covered 

by the basic model 

• Whether the certification was based 

on test procedure waiver and the date of 

such waiver; and 

• Whether the certification was based 

on exception relief from the Office of 

Hearings and Appeals and the date of 

such relief 

During the Working Group 

discussions, manufacturers of 

commercial refrigeration equipment 

inquired about what ‘‘equipment 

classes’’ there are for commercial 

refrigeration equipment. DOE provides 

templates for certification reports that 

provide the current list of equipment 

classes, which correspond to the classes 

described in the relevant regulatory text 

promulgating standards for each piece 

of equipment. See, e.g., the Product 

Description tab of the Commercial 

Refrigeration Equipment templates 

available at https://

www.regulations.doe.gov/ccms/

templates and 10 CFR 431.66. DOE 

reviews the current equipment classes 

each time it analyses amended 

standards for equipment, so the list of 

equipment classes may change if 

amended standards are adopted by the 

Department. 

As stated above, DOE is proposing 

that commercial HVAC, WH and 

refrigeration equipment manufacturers 

provide customer-specified model 

numbers and the name of the AEDM 

used in addition to the other current 

reporting requirements found within 10 

CFR 429.12(b). The Working Group used 

the term ‘‘customer-specified model 

number’’ to describe an individual 

model number that is specified by a 

customer in lieu of the manufacturer’s 

normal model numbering system. This 

‘‘customer-specified model number’’ 

often includes the customer’s name or 

brand name, and thus may reveal 

confidential business information about 

company relationships. Therefore, in 

the proposed regulatory text, DOE is 

proposing to call this ‘‘customerspecified model number’’ a ‘‘private 

model number’’ to differentiate it from 

a manufacturer’s individual model 

number, which is considered public 

information. 

The Working Group also 

recommended significant changes to the 

AEDM provisions applicable to 

commercial HVAC, WH and 

refrigeration equipment. DOE addressed 

those recommendations in a separate 

rulemaking. See 78 FR 79579 (Dec. 31, 

2013). As part of those 

recommendations, the Working Group 

developed the concept of having 

multiple, unique AEDMs. Because 

certain verification provisions are tied 

to which basic models are part of an 

AEDM, the Working Group 

recommended that manufacturers use a 

name or other identifier to designate 

which basic models were rated using 

which AEDM. The Working Group 

recommended that a manufacturer 

include that AEDM name/identifier as 

part of the certification of a basic model 

that was rated using the AEDM. DOE is 

proposing to require the AEDM name or 

identifier as part of the certification of 

a basic model where the basic model 

was rated using an AEDM. 

The Working Group also 

recommended that certification reports 

for these types of equipment identify 

whether the basic model was 

engineered-to-order. The Working 

Group further recommended that DOE 

modify the language regarding sample 

size in 429.12(b)(8) to indicate that 

models certified with performance data 

based upon an AEDM should indicate 

the sample size is ‘‘0’’. DOE proposes to 

adopt these modifications and requests 

comment on the proposed changes to 

the certification requirements applicable 

to all of these equipment types. 

DOE requires manufacturers to certify 

to DOE, prior to distribution in 

commerce, the compliance of each basic 

model subject to an applicable energy 

conservation standard set forth in 10 

CFR 430 or 10 CFR 431 before 

distribution in commerce. The Working 

Group made several recommendations 

regarding when manufacturers should 

be required to submit a certification 

report to DOE based on the specific 

circumstances regarding manufacturing 

of commercial HVAC, WH, and 

refrigeration equipment. For 

domestically manufactured, engineeredto-order products, the Working Group 

recommended that DOE consider 

distribution in commerce to begin on 

the date on which the basic model is 

shipped. For all other domestic 

products, it recommended that DOE 

consider distribution in commerce to 

begin on the date on which a 

manufacturer is first willing to accept an 

order. For engineered-to-order products 

built outside of the U.S., the Working 

Group recommended that DOE consider 

distribution in commerce to begin on 

the date on which the basic model is 

imported. For all other foreign 

manufactured products, it 

recommended that DOE consider 

distribution in commerce to begin on 

either the date on which a basic model 

is imported for sale or the date on which 

a manufacturer is willing to accept an 

order, whichever is first. DOE is 

proposing to adopt these interpretations 

for the limited purposes of determining 

by what date certification reports must 

be submitted to the Department for 

commercial HVAC, WH and 

refrigeration equipment. 

Equipment Specific Certification 

Information 

DOE proposed in its October 2013 

notice regarding the Working Group’s 

recommendations for AEDMs that 

commercial HVAC, WH, and 

refrigeration equipment manufacturers 


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may elect to have a manufacturer’s 

representative on-site to witness test setup before verification testing of up to 10 

percent of the manufacturer’s certified 

basic models rated with an AEDM. A 

manufacturer would indicate its 

selection of basic models in its 

certification report(s). DOE has included 

this certification requirement in this 

proposal in the product-specific 

certification sections. 

The Working Group outlined 

information specific to the commercial 

HVAC, WH, and refrigeration 

equipment that should be certified to 

DOE, listed in Table II.2, Table II.3, 

Table II.4, and Table II.5. In addition to 

the product-specific information, the 

Working Group recommended that 

manufacturers be permitted to submit a 

document in PDF format with 

additional testing instructions that are 

required to test the equipment according 

to the applicable DOE test procedure. 

For instance, the PDF with additional 

instructions may include the refrigerant 

charging instructions for a given basic 

model. As indicated in Table II.4 and 

II.5, the Working Group determined that 

the PDF with testing instructions should 

be optional for some types of equipment 

but mandatory for others due to the 

complexities with testing certain basic 

models and the unique nature 

associated with certain basic models of 

custom equipment. For those pieces of 

HVAC equipment that require 

submission of additional testing 

instructions, the Working Group further 

provided a list of specific information 

that must be included in those 

instructions as detailed in Table II.4. 

DOE proposes to adopt these 

certification requirements and requests 

comment on the specific proposals for 

each equipment type. 

For commercial HVAC and 

refrigeration equipment, the Working 

Group recommended that certain 

features should not be subject to testing 

and, thus, should not be considered in 

determining the efficiency of a basic 

model. Models with these special 

features would only be excluded from 

testing and certification if the 

manufacturer offers an otherwise 

identical model without the feature(s) in 

the basic model. The Working Group 

recommended that a manufacturer 

identify in the PDF portion of a 

certification report whether a basic 

model includes any of these special 

features. That is, if the manufacturer 

does not offer an ‘‘otherwise identical’’ 

model without the feature—and thus the 

certification is based on testing with the 

feature—the manufacturer must specify 

in the PDF portion of the certification 

report which ‘‘special’’ features are 

included in the basic model’s rating. 

TABLE II.2—CRE CERTIFICATION REPORT REQUIREMENTS

Equipment type Certification report 

must include 

Supplemental PDF 

information 

—Self-contained commercial refrigerators and 

freezer with solid doors.

—Self-contained commercial refrigerators and 

freezers with transparent doors 

—Self-contained commercial refrigerator-freezers with solid doors 

—Daily energy consumption (kWh/day) ..........

—Chilled or frozen compartment volume (ft3), 

adjusted volume (ft3), or Total display area 

(ft2), as applicable 

—Operating temperature (i.e., the lowest 

product application temperature). 

—Additional testing instructions required 

—If applicable, must specify which, if any, excluded features are included in basic model. 

—Remote condensing commercial refrigerators, 

freezers, and refrigerator-freezers.

—Self-contained commercial refrigerators, 

freezers, and refrigerator-freezers without 

doors.

—Commercial ice-cream freezers.

—Commercial refrigeration equipment with two 

or more compartments.

—Service over the counter refrigerators and 

freezers.

TABLE II.3—HVAC CERTIFICATION REPORT REQUIREMENTS

Equipment type Certification reports must include 

Commercial Warm Air Furnaces .............................................................. —Thermal efficiency (%). 

—Maximum rated input capacity (Btu/h). 

Commercial Packaged Boilers ................................................................. —Combustion efficiency (%) or thermal efficiency (%) as required in 

431.87. 

—Maximum rated input capacity (Btu/h). 

Commercial package air-cooled, Split and Packaged ACs and HPs less 

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

—Seasonal energy efficiency ratio (Btu/Wh). 

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

—Rated cooling capacity (Btu/h). 

Commercial package air-cooled, ACs and HPs greater than or equal to 

65,000 Btu/h cooling capacity and evaporatively-cooled, and water 

cooled ACs and HPs.

—Energy efficiency ratio (Btu/Wh). 

—Coefficient of performance, if applicable. 

—Rated cooling capacity (Btu/h). 

—Heating type (electric, gas, hydronic, none). 

Packaged Terminal ACs ........................................................................... —Energy efficiency ratio (Btu/Wh). 

—Rated cooling capacity (Btu/h). 

—Wall sleeve dimensions (in). 

Packaged Terminal HPs ........................................................................... —Energy efficiency ratio (Btu/Wh). 

—Coefficient of performance. 

—Rated cooling capacity (Btu/h). 

—Wall sleeve dimensions (in). 

Single Package Vertical ACs ................................................................... —Energy efficiency ratio (Btu/Wh). 

—Rated cooling capacity (Btu/h). 

Single Package Vertical HPs ................................................................... —Energy efficiency ratio (Btu/Wh). 


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TABLE II.3—HVAC CERTIFICATION REPORT REQUIREMENTS—Continued 

Equipment type Certification reports must include 

—Coefficient of performance. 

—Rated cooling capacity (Btu/h). 

Variable Refrigerant Flow Multi-Split ACs and HPs with less than 

65,000 Btu/h rated cooling capacity.

—Seasonal energy efficiency ratio (Btu/Wh). 

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

—Rated cooling capacity (Btu/h). 

Variable Refrigerant Flow Multi-Split AC and HPs with 65,000 Btu/h 

rated cooling capacity or more.

—Energy efficiency ratio (Btu/Wh). 

—Coefficient of performance, if applicable. 

—Rated cooling capacity (Btu/h). 

—Heating type (electric, gas, hydronic, none). 

Water Source Variable Refrigerant Flow HPs (all rated cooling capacities).—Energy efficiency ratio (Btu/Wh). 

—Coefficient of performance. 

—Rated cooling capacity (Btu/h). 

—Heating type (electric, gas, hydronic, none). 

Computer Room ACs ............................................................................... —Net sensible cooling capacity (Btu/h). 

—Net cooling capacity (Btu/h). 

—Configuration (upflow/downflow). 

—Economizer presence (Yes or No). 

—Condenser medium (air, water, or glycol—cooled). 

—Sensible coefficient of performance. 

—Rated airflow (SCFM). 

Water Source HPs (other than variable refrigerant flow) ......................... —Energy efficiency ratio (Btu/Wh). 

—Coefficient of performance. 

—Rated cooling capacity (Btu/h). 

—Heating type (electric, gas, hydronic, none). 

TABLE II.4—HVAC REQUIREMENTS FOR PDF SUPPLEMENT TO CERTIFICATION REPORT

Equipment type PDF Supplement to certification report 

Commercial Warm Air Furnaces .............................................................. Additional testing instructions optional. 

Commercial Packaged Boilers ................................................................. Additional testing instructions optional. 

Air-Cooled, Split and Packaged ACs and HPs less than 65,000 Btu/h 

Cooling Capacity (3-Phase).

Additional testing instructions are required and must include: 

—Nominal cooling capacity (Btu/h). 

—Rated heating capacity (Btu/h), if applicable. 

—Rated airflow (SCFM) for each fan coil. 

—Rated static pressure (inches of water). 

—Refrigeration charging instructions (e.g., refrigerant charge, superheat, and/or subcooling temperatures). 

—Frequency or control set points for variable speed components 

(e.g., compressors, VFDs). 

—Required dip switch/control setting for step or variable components. 

—Statement whether model will operate at test conditions without 

manufacturer programming. 

Supplemental information must also include: 

—If a variety of motors/drive kits are offered for sale as options in 

the basic model to account for varying installation requirements, 

the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and 

the drive kit, including settings, associated with that specific 

motor used to determine the certified rating. 

—Which, if any, special features were included in rating the basic 

model. 

Commercial package air-cooled ACs and HPs with 65,000 Btu/h Cooling Capacity or More, Evaporatively-Cooled ACs and HPs, and 

Water-Cooled ACs and HPs.

Additional testing instructions are required and must include: 

—Nominal cooling capacity. 

—Rated heating capacity, if applicable. 

—Rated airflow (SCFM) for each fan coil. 

—Water flow rate (gpm) for water-cooled units only. 

—Rated static pressure. 

—Refrigeration charging instructions (e.g., refrigerant charge, superheat, and/or subcooling temperatures). 

—Frequency or control set points for variable speed components 

(e.g., compressors, VFDs, etc.). 

—Required dip switch/control setting for step or variable components. 

—Statement whether model will operate at test conditions without 

manufacturer programming. 

Supplemental information must also include: 


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8892 Federal Register / Vol. 79, No. 31 / Friday, February 14, 2014 / Proposed Rules 

TABLE II.4—HVAC REQUIREMENTS FOR PDF SUPPLEMENT TO CERTIFICATION REPORT—Continued 

Equipment type PDF Supplement to certification report 

—If a variety of motors/drive kits are offered for sale as options in 

the basic model to account for varying installation requirements, 

the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and 

the drive kit, including settings, associated with that specific 

motor used to determine the certified rating. 

—Which, if any, special features were included in rating the basic 

model. 

PTACs and PTHPs ................................................................................... Additional testing instructions optional. 

SPVUs ...................................................................................................... Additional testing instructions optional. 

Supplemental information must include: 

—If a variety of motors/drive kits are offered for sale as options in 

the basic model to account for varying installation requirements, 

the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and 

the drive kit, including settings, associated with that specific 

motor used to determine the certified rating. 

—Which, if any, special features were included in rating the basic 

model. 

Variable Refrigerant Flow Multi-Split ACs and HPs less than 65,000 

Btu/h Cooling Capacity.

Additional testing instructions are required and must include: 

—Nominal cooling capacity (Btu/h). 

—Rated heating capacity (Btu/h), if applicable. 

—Outdoor unit(s) and indoor units identified in the tested combination. 

—Components needed for heat recovery, if applicable. 

—Rated airflow (SCFM) for each indoor unit. 

—Water flow rate (gpm) for water-cooled units only. 

—Rated static pressure (inches of water). 

—Compressor frequency set points. 

—Required dip switch/control setting for step or variable components. 

—Statement whether model will operate at test conditions without 

manufacturer programming. 

Supplemental information must include: 

—If a variety of motors/drive kits are offered for sale as options in 

the basic model to account for varying installation requirements, 

the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and 

the drive kit, including settings, associated with that specific 

motor used to determine the certified rating. 

—Which, if any, special features were included in rating the basic 

model. 

In addition to information provided with a certification report, upon request by DOE, manufacturer must provide a layout of the system 

set-up for testing including charging instructions consistent with installation manual. 

Variable Refrigerant Flow Multi-Split ACs and HPs with 65,000 Btu/h 

Cooling Capacity or More.

Additional testing instructions are required and must include: 

—Nominal cooling capacity (Btu/h). 

—Rated heating capacity (Btu/h), if applicable. 

—Outdoor unit(s) and indoor units identified in the tested combination. 

—Components needed for heat recovery, if applicable. 

—Rated airflow (SCFM) for each indoor unit. 

—Water flow rate (gpm) for water-cooled units only. 

—Rated static pressure (inches of water). 

—Frequency or control set points for variable speed components 

(e.g., compressors, VFDs, etc.). 

—Required dip switch/control setting for step or variable components. 

—Statement whether model will operate at test conditions without 

manufacturer programming. 

Supplemental information must include: 

—If a variety of motors/drive kits are offered for sale as options in 

the basic model to account for varying installation requirements, 

the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and 

the drive kit, including settings, associated with that specific 

motor used to determine the certified rating; 

—Which, if any, special features were included in rating the basic 

model. 


tkelley on DSK3SPTVN1PROD with PROPOSALS
Federal Register / Vol. 79, No. 31 / Friday, February 14, 2014 / Proposed Rules 8893 

TABLE II.4—HVAC REQUIREMENTS FOR PDF SUPPLEMENT TO CERTIFICATION REPORT—Continued 

Equipment type PDF Supplement to certification report 

In addition to information provided with a certification report, upon request by DOE, manufacturer must provide a layout of the system 

set-up for testing including charging instructions consistent with installation manual. 

Water Source Variable Refrigerant Flow HPs ......................................... Additional testing instructions are required and must include: 

—Nominal cooling capacity (Btu/h). 

—Rated heating capacity (Btu/h). 

—Rated airflow (SCFM) for each indoor unit. 

—Water flow rate (gpm). 

—Rated static pressure (inches of water). 

—Refrigeration charging instructions (e.g., refrigerant charge, superheat, and/or subcooling temperatures). 

—Frequency set points for variable speed components (e.g., compressors, VFDs), including the required dip switch/control setting 

for step or variable components. 

—Statement whether model will operate at test conditions without 

manufacturer programming. 

Supplemental information must include: 

—If a variety of motors/drive kits are offered for sale as options in 

the basic model to account for varying installation requirements, 

the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and 

the drive kit, including settings, associated with that specific 

motor used to determine the certified rating. 

—Which, if any, special features were included in rating the basic 

model. 

In addition to information provided with a certification report, upon request by DOE, manufacturer must provide a layout of the system 

set-up for testing including charging instructions consistent with installation manual. 

Computer Room ACs ............................................................................... Additional testing instructions optional 

Supplemental information must include: 

—Which, if any, special features were included in rating the basic 

model. 

Water Source HPs .................................................................................... Additional testing instructions are required and must include: 

—Nominal cooling capacity (Btu/h). 

—Rated heating capacity (Btu/h), if applicable. 

—Rated airflow (SCFM). 

—Water flow rate (gpm). 

—Rated static pressure (inches of water). 

—Refrigeration charging instructions (e.g., refrigerant charge, superheat, and/or subcooling temperatures). 

—Frequency set points for variable speed components (e.g., compressors, VFDs, etc.), including the required dip switch/control 

setting for step or variable components. 

—Statement whether model will operate at test conditions without 

manufacturer programming. 

Supplemental information must include: 

—If a variety of motors/drive kits are offered for sale as options in 

the basic model to account for varying installation requirements, 

the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and 

the drive kit, including settings, associated with that specific 

motor used to determine the certified rating; and 

—Which, if any, special features were included in rating the basic 

model. 

TABLE II.5—WH CERTIFICATION REPORT REQUIREMENTS

Equipment type Certification report must include 

Additional 

testing 

instructions 

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

—Measured storage volume (gal). 

Optional. 

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

—Maximum standby loss (Btu/h). 

—Rated storage volume (gal). 

—Nameplate input rate (Btu/h). 

Optional. 


tkelley on DSK3SPTVN1PROD with PROPOSALS
8894 Federal Register / Vol. 79, No. 31 / Friday, February 14, 2014 / Proposed Rules 

TABLE II.5—WH CERTIFICATION REPORT REQUIREMENTS—Continued 

Equipment type Certification report must include 

Additional 

testing 

instructions 

Commercial water heaters and hot water supply boilers (storage capacity > 140 gal).—Thermal efficiency (%) ..........................................................

—Statement whether storage volume is greater than 140 gal 

(Yes/No). 

—Statement whether tank surface area is insulated with at 

least R–12.5 (Yes/No). 

—Statement whether uses standing pilot light (Yes/No). 

—For gas or oil-fired water heater, statement whether has a 

fire damper or fan assisted combustion (Yes/No).

—If ‘‘no’’ to any of the above, must also report standby loss 

(Btu/h) and measured storage volume (gal).

Optional. 

Commercial gas-fired and oil-fired instantaneous water heaters less than 10 gallons and gas-fired and oil-fired hot 

water supply boilers less than 10 gallons.

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

—Rated storage volume (gal). 

Optional. 

Commercial gas-fired and oil-fired instantaneous water heaters greater than or equal to 10 gallons and gas-fired and 

oil-fired hot water supply boilers greater than or equal to10 

gallons.

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

—Maximum standby loss (Btu/h). 

—Rated storage volume (gal). 

—Nameplate input rate (Btu/h). 

Optional. 

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

—Stored water volume (gal). 

Optional. 

Current certification provisions for 

commercial packaged boilers and 

commercial warm air furnaces are 

located in section 429.43. DOE is 

proposing to move these provisions to 

sections 429.41 and 429.60, 

respectively. (Section 429.41, which is 

currently reserved for electric motors, 

would be moved to another available 

section.) This change would reflect that 

commercial packaged boilers and 

commercial warm air furnaces are types 

of equipment for which the regulations 

are typically amended through separate 

rulemakings and are located in different 

subparts of 10 CFR part 431 (subpart D 

for commercial warm air furnaces and 

subpart E for commercial packaged 

boilers) than commercial air 

conditioning and heat pump equipment 

(subpart F). DOE is not proposing any 

changes to the sampling provisions for 

these products; the modification would 

only make the structure of part 429 

better reflect the structure of the part 

431. DOE notes that section 429.43 

would continue to provide the 

certification requirements for the 

equipment in 10 CFR part 431, subpart 

F (commercial air conditioners and heat 

pumps). 

In a notice of proposed rulemaking 

published November 4, 2013, DOE 

proposed changes to the residential and 

commercial water heater test 

procedures. 78 FR 66201. DOE notes 

that changes to the certification 

requirements proposed in this rule may 

be needed, depending on the outcome of 

that rulemaking. Any changes would be 

considered in a separate rulemaking. 

III. Procedural Issues and Regulatory 

Review 

Review Under Executive Order 12866 

Today’s regulatory action is not a 

‘‘significant regulatory action’’ under 

section 3(f) of Executive Order 12866, 

Regulatory Planning and Review, 58 FR 

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

action was not subject to review under 

the Executive Order by the Office of 

Information and Regulatory Affairs 

(OIRA) in the Office of Management and 

Budget (OMB). 

Review Under the Regulatory Flexibility 

Act 

The Regulatory Flexibility Act (5 

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

of an initial regulatory flexibility 

analysis (IRFA) for any rule that by law 

must be proposed for public comment, 

unless the agency certifies that the rule, 

if promulgated, will not have a 

significant economic impact on a 

substantial number of small entities. As 

required by Executive Order 13272, 

‘‘Proper Consideration of Small Entities 

in Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s Web site (http://energy.gov/

gc/office-general-counsel). DOE has 

prepared the following IRFA for the 

products that are the subject of this 

rulemaking. 

For manufacturers of HVAC, WH, and 

refrigeration equipment, the Small 

Business Administration (SBA) has set a 

size threshold, which defines those 

entities classified as ‘‘small businesses’’ 

for the purposes of the statute. DOE 

used the SBA’s small business size 

standards to determine whether any 

small entities would be subject to the 

requirements of the rule. 65 FR 30848 

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

53533, 53544 (Sept. 5, 2000) and 

codified at 13 CFR part 121. The size 

standards are listed by North American 

Industry Classification System (NAICS) 

code and industry description and are 

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

category/navigation-structure/

contracting/contracting-officials/smallbusiness-size-standards. Manufacturing 

of HVAC and commercial refrigeration 

equipment is classified under NAICS 

333415, ‘‘Air-Conditioning and Warm 

Air Heating Equipment and Commercial 

and Industrial Refrigeration Equipment 

Manufacturing.’’The SBA sets a 

threshold of 750 employees or less for 

an entity to be considered as a small 

business for this category. 

Manufacturing of WH equipment is 

classified under NAICS 333319, ‘‘Other 

Commercial and Service Industry 

Machinery Manufacturing,’’ for which 

SBA also sets a size threshold of 500 

employees or fewer for being considered 

a small business. 

1. Description and Estimated Number of 

Small Entities Regulated 

To estimate the number of companies 

that could be small business 

manufacturers of equipment covered by 

this rulemaking, DOE conducted a 

market survey using publicly available 

information. DOE’s research involved 


tkelley on DSK3SPTVN1PROD with PROPOSALS
Federal Register / Vol. 79, No. 31 / Friday, February 14, 2014 / Proposed Rules 8895 

4See www.ahridirectory.org/ahriDirectory/pages/

home.aspx. 5See http://www.energy.ca.gov/appliances/. 6 ‘‘D&B | Business Information | Get Credit Reports 

| 888 480–6007.’’. Dun & Bradstreet (Available at: 

www.dnb.com) (Last accessed October 10, 2011). 

See www.dnb.com/. 7 ‘‘Hoovers | Company Information | Industry 

Information | Lists.’’ D&B (2013) (Available at: See 

http://www.hoovers.com/) (Last accessed December 

12, 2012). 

industry trade association membership 

directories (including AHRI), 

information from previous rulemakings, 

product directories (AHRI Directory,4

the California Energy Commission 

Appliance Efficiency Database 5), 

individual company Web sites, and 

market research tools (e.g., Dunn and 

Bradstreet reports 6 and Hoovers 

reports 7). DOE used information from 

these sources to create a list of 

companies that potentially manufacture 

commercial HVAC, WH, and 

refrigeration equipment covered by this 

rulemaking. DOE screened out 

companies that do not offer equipment 

covered by this rulemaking, do not meet 

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

are foreign owned and operated. Based 

on these efforts, DOE estimates that 

there are 5 small business 

manufacturers of all commercial HVAC 

equipment, 32 small business 

manufacturers of commercial 

refrigeration equipment, and 9 small 

business manufacturers of commercial 

WH equipment. 

2. Description and Estimate of 

Compliance Requirements 

DOE entered into negotiations with 

commercial HVAC, water heating, and 

refrigeration equipment manufacturers 

regarding the types of information to 

submit when certifying their equipment 

and when that certification must be 

made to the Department. The outcomes 

of the negotiation resulted in slight 

changes to the information that DOE is 

proposing to collect for commercial 

HVAC, WH, and refrigeration 

equipment. The most notable of these 

proposals is that DOE has proposed that 

manufacturers of commercial 

refrigeration equipment and some types 

of commercial HVAC equipment must 

submit a PDF with specific testing 

instructions to be used by the 

Department during verification and 

enforcement testing. Manufacturers of 

water heating equipment and some 

types of commercial HVAC equipment 

would have the option of submitting a 

PDF with additional testing instructions 

at the manufacturer’s discretion. The 

proposals reflect the direct results of the 

negotiations, without modification. By 

permitting manufacturers to submit 

PDFs with additional testing 

instructions, individual manufacturers 

will have a mechanism to provide the 

Department with additional information 

necessary for testing each basic model. 

In general, DOE is proposing to 

require manufacturers to submit a 

certification report indicating that all 

basic models distributed in commerce 

in the U.S. comply with the applicable 

standards using DOE’s testing 

procedures, as well as the necessary 

product specific certification data 

describing the efficiency and 

characteristics of the basic model. The 

certification reports would be submitted 

for each basic model, either when the 

requirements go into effect (for models 

already in distribution), or when the 

manufacturer begins distribution of a 

particular basic model, and annually 

thereafter. Reports must be updated 

when a new model is introduced or a 

change affecting energy efficiency or use 

is made to an existing model resulting 

in a change in the certified rating. 

DOE currently requires manufacturers 

or their party representatives to prepare 

and submit certification reports using 

DOE’s electronic Web-based tool, the 

Compliance and Certification 

Management System (CCMS), which is 

the only mechanism for submitting 

certification reports to DOE. CCMS 

currently has product specific templates 

that manufacturers must use when 

submitting certification data to DOE. 

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

ccms. This proposed rule would not 

change the electronic submission 

requirement for commercial HVAC, WH, 

and refrigeration equipment. DOE 

believes the availability of electronic 

filing through the CCMS system reduces 

reporting burdens, streamlines the 

process, and provides the Department 

with needed information in a 

standardized, more accessible form. 

This electronic filing system also 

ensures that records are recorded in a 

permanent, systematic way. 

3. Duplication, Overlap, and Conflict 

With Other Rules and Regulations 

DOE is not aware of any rules or 

regulations that duplicate, overlap, or 

conflict with the rule being considered 

today. 

4. Significant Alternatives to the Rule 

This section considers alternatives to 

the proposals in today’s certification, 

compliance, and enforcement 

rulemaking. DOE has tried to minimize 

the reporting burden as much as 

possible by: (1) Accepting electronic 

submissions; (2) providing preformatted 

templates that lay out the certification 

and compliance requirements for each 

product; and (3) allowing manufacturers 

to group individual models into basic 

models for the purposes of certification 

to reduce the number of discrete models 

reported to the Department. DOE also 

notes that the Working Group included 

representatives of small businesses and 

that this proposal reflects the 

recommendations of that Working 

Group. DOE has also made efforts to 

address the concerns of small 

businesses by expanding the ability of 

manufacturers to use alternative 

efficiency determination methods 

(AEDMs) in lieu of testing equipment. 

Further, DOE is proposing the 

certification provisions set forth in this 

rulemaking as negotiated by the 

Working Group for all manufacturers of 

covered products and covered 

equipment that would be affected by 

this proposal. DOE seeks input from 

businesses that would be affected by 

this rulemaking and will consider 

comments received in the development 

of any final rule. 

Review Under the Paperwork Reduction 

Act 

Under the Paperwork Reduction Act 

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

Federal agencies must obtain approval 

from the Office of Management and 

Budget (OMB) for each collection of 

information they conduct, sponsor, or 

require through regulations. This 

proposal would mandate that 

manufacturers and importers of covered 

commercial HVAC, WH, and 

refrigeration equipment would need to 

certify to the Department that the 

products they are distributing in 

commerce in the U.S. comply with the 

applicable energy conservation 

standards. 

In compliance with the PRA, DOE is 

seeking comment on this proposed 

expansion of the existing information 

collection. As noted earlier in the 

preamble, DOE negotiated these 

certification requirements with 

interested parties in an effort to 

minimize the burden of the reporting 

requirements, while providing DOE 

with important information about 

equipment being sold. 

Agency: U.S. Department of Energy 

(DOE). 

OMB Control Number: OMB No. 

1910–1400. 

Information Collection Request Title: 

Certification Reports, Compliance 

Statements, Application for a Test 

Procedure Waiver, and Recordkeeping 

for Consumer Products and 

Commercial/Industrial Equipment 

subject to Energy or Water Conservation 

Standards. 

Type of Request: Revision and 

Expansion of an Existing Collection. 


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8896 Federal Register / Vol. 79, No. 31 / Friday, February 14, 2014 / Proposed Rules 

Requested Expiration Date of 

Approval: Three years from the date of 

approval. 

Purpose: Manufacturers of the 

covered products addressed in today’s 

NOPR will be required to certify to DOE 

that their equipment comply with any 

applicable energy conservation 

standards. In certifying compliance, 

manufacturers must test their 

equipment according to the applicable 

DOE test procedures for the given 

equipment type, including any 

amendments adopted for those test 

procedures, or use AEDMs to develop 

the certified ratings of the basic models. 

The collection-of-information 

requirement for the certification 

proposals is subject to review and 

approval by OMB under the Paperwork 

Reduction Act (PRA). 

Once compliance with the 

certification requirements is required, 

DOE is proposing to require that 

manufacturers certify: (1) New basic 

models before distribution in commerce; 

(2) existing basic models, whose 

certified rating remains valid, annually; 

(3) existing basic models, whose designs 

have been altered resulting in a change 

in rating that is more consumptive or 

less efficient, at the time the design 

change is made; and (4) previously 

certified basic models that have been 

discontinued annually. Respondents 

may submit reports to the Department at 

any time during the year using DOE’s 

online system. 

The outcomes of the negotiation 

resulted in slight changes to the 

information that DOE is proposing to 

collect for commercial HVAC, WH, and 

refrigeration equipment. The most 

notable of these changes is that DOE is 

proposing that manufacturers of 

commercial refrigeration equipment and 

some types of commercial heating, 

ventilation, and air conditioning 

(HVAC) equipment must submit a PDF 

with specific testing instructions to be 

used by the Department during 

verification and enforcement testing. 

Manufacturers of commercial water 

heating equipment and some types of 

commercial HVAC equipment have the 

option of submitting a PDF with 

additional testing instructions at the 

manufacturer’s discretion. The 

proposals reflect the direct results of the 

negotiations, without modification. 

DOE estimated that it will take each 

respondent approximately 30 hours 

total per company per year to comply 

with the certification requirements 

based on 20 hours of technician/

technical work and 10 hours clerical 

work to submit the CCMS templates. For 

the purposes of estimating burden, DOE 

assumed that each respondent will 

submit approximately 10 CCMS 

templates during the course of the year, 

which is encompassed by the 30 hours 

total per company per year estimate. 

DOE recognizes that a respondent may 

submit a minimum of 1 report per year, 

whereas other respondents may submit 

one weekly. DOE estimates the burden 

for this rule as follows: 

(1) Annual Estimated Number of 

Respondents: 100; 

(2) Annual Estimated Number of 

Total Responses: 1,000; 

(3) Annual Estimated Number of 

Burden Hours: 30,000 (14 hours for 

certification reports, compliance 

statements, and recordkeeping; 16 hours 

for testing pdfs); 

(4) Annual Estimated Reporting and 

Recordkeeping Cost Burden: $300,000. 

Comments are invited on: (a) Whether 

the proposed collection of information 

is necessary for the proper performance 

of the functions of the agency, including 

whether the information shall have 

practical utility; (b) the accuracy of the 

agency’s estimate of the burden of the 

proposed collection of information, 

including the validity of the 

methodology and assumptions used; (c) 

ways to enhance the quality, utility, and 

clarity of the information to be 

collected; and (d) ways to minimize the 

burden of the collection of information 

on respondents, including through the 

use of automated collection techniques 

or other forms of information 

technology. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

Review Under the National 

Environmental Policy Act 

DOE has determined that this 

proposed rule falls into a class of 

actions that are categorically excluded 

from review under the National 

Environmental Policy Act of 1969 (42 

U.S.C. 4321 et seq.) and DOE’s 

implementing regulations at 10 CFR part 

1021. Specifically, this proposed rule 

would adopt changes to the manner in 

which certain covered equipment would 

be certified, which would not affect the 

amount, quality or distribution of 

energy usage, and, therefore, would not 

result in any environmental impacts. 

Thus, this rulemaking is covered by 

Categorical Exclusion A6 under 10 CFR 

part 1021, subpart D. Accordingly, 

neither an environmental assessment 

nor an environmental impact statement 

is required. 

Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 4, 1999) imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in the development of 

such regulations. 65 FR 13735. DOE has 

examined this proposed rule and has 

determined that it would not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subject of 

today’s proposed rule. States can 

petition DOE for exemption from such 

preemption to the extent, and based on 

criteria, set forth in EPCA. (42 U.S.C. 

6297(d)) No further action is required by 

Executive Order 13132. 

Review Under Executive Order 12988 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 


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defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

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

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

Review Under the Unfunded Mandates 

Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Pub. L. No. 104–4, sec. 

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

proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820; also available at 

www.gc.doe.gov. DOE examined today’s 

proposed rule according to UMRA and 

its statement of policy and determined 

that the rule contains neither an 

intergovernmental mandate, nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year, so these requirements do not 

apply. 

Review Under the Treasury and General 

Government Appropriations Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

proposal would not have any impact on 

the autonomy or integrity of the family 

as an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights,’’ 53 FR 8859 

(March 18, 1988), that this proposed 

regulation would not result in any 

takings that might require compensation 

under the Fifth Amendment to the U.S. 

Constitution. 

Review Under the Treasury and General 

Government Appropriations Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. OMB’s 

guidelines were published at 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). DOE has reviewed 

today’s proposed rule under the OMB 

and DOE guidelines and has concluded 

that it is consistent with applicable 

policies in those guidelines. 

Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

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

22, 2001), requires Federal agencies to 

prepare and submit to OMB, a 

Statement of Energy Effects for any 

proposed significant energy action. A 

‘‘significant energy action’’ is defined as 

any action by an agency that 

promulgated or is expected to lead to 

promulgation of a final rule, and that: 

(1) Is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy; or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

Today’s proposal to amend the 

certification requirements for 

commercial HVAC, WH, and 

refrigeration equipment is not a 

significant regulatory action under 

Executive Order 12866. Moreover, it 

would not have a significant adverse 

effect on the supply, distribution, or use 

of energy, nor has it been designated as 

a significant energy action by the 

Administrator of OIRA. Therefore, it is 

not a significant energy action, and, 

accordingly, DOE has not prepared a 

Statement of Energy Effects. 

Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

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

with section 32 of the Federal Energy 

Administration Act of 1974, as amended 

by the Federal Energy Administration 

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

788; FEAA) Section 32 essentially 

provides in relevant part that, where a 

proposed rule authorizes or requires use 

of commercial standards, the notice of 

proposed rulemaking must inform the 

public of the use and background of 

such standards. In addition, section 

32(c) requires DOE to consult with the 

Attorney General and the Chairman of 

the Federal Trade Commission (FTC) 

concerning the impact of the 

commercial or industry standards on 

competition. Today’s proposal to amend 

the certification requirements for all 

covered consumer products and 

commercial equipment does not 

propose the use of any commercial 

standards. 

IV. Public Participation 

Submission of Comments 

DOE will accept comments, data, and 

information regarding the proposed rule 

no later than the date provided at the 

beginning of this notice of proposed 

rulemaking. Comments, data, and 

information submitted to DOE’s email 

address for this rulemaking should be 

provided in WordPerfect, Microsoft 

Word, PDF, or text (ASCII) file format. 

Interested parties should avoid the use 

of special characters or any form of 

encryption, and wherever possible, 

comments should include the electronic 

signature of the author. Absent an 

electronic signature, comments 

submitted electronically must be 

followed and authenticated by 

submitting a signed original paper 

document to the address provided at the 

beginning of this notice of proposed 

rulemaking. Comments, data, and 

information submitted to DOE via mail 

or hand delivery/courier should include 

one signed original paper copy. No 

telefacsimiles (faxes) will be accepted. 


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According to 10 CFR 1004.11, any 

person submitting information that he 

or she believes to be confidential and 

exempt by law from public disclosure 

should submit two copies: One copy of 

the document including all the 

information believed to be confidential 

and one copy of the document with the 

information believed to be confidential 

deleted. DOE will make its own 

determination as to the confidential 

status of the information and treat it 

according to its determination. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include (1) a 

description of the items, (2) whether 

and why such items are customarily 

treated as confidential within the 

industry, (3) whether the information is 

generally known by or available from 

other sources, (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality, (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure, (6) a date 

upon which such information might 

lose its confidential nature due to the 

passage of time, and (7) why disclosure 

of the information would be contrary to 

the public interest. 

Issues on Which DOE Seeks Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties concerning the following issues: 

(1) DOE requests comment on the 

proposal to include ‘‘engineered-toorder’’ as a basic model classification 

and to limit the use of this classification 

to ensure that it cannot be used for more 

than one annual certification cycle. 

Additionally, DOE requests comment on 

its proposed definition of ‘‘engineeredto-order.’’ 

(2) DOE requests comment on its 

proposal to modify the general 

certification requirements by adding 

customer-specified model numbers, an 

engineered-to-order classification 

option, and the name of the AEDM 

used, if applicable, and changing the 

sample size specified when using an 

AEDM. 

(3) DOE requests comment on the 

specific certification requirements 

proposed in Table II.2, Table II.3, Table 

II.4, and Table II.5. 

V. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of today’s NOPR. 

List of Subjects in 10 CFR Part 429 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Reporting and recordkeeping 

requirements. 

Issued in Washington, DC, on February 7, 

2014. 

Kathleen B. Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency, Energy Efficiency and Renewable 

Energy. 

For the reasons set forth in the 

preamble, DOE proposes to amend part 

429 of chapter II, subchapter D, of title 

10 of the Code of Federal Regulations, 

as set forth below: 

PART 429—CERTIFICATION, 

COMPLIANCE AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317. 

■ 2. Section 429.2 is amended by 

adding, in alphabetical order, the 

definition for ‘‘engineered-to-order’’ to 

read as follows: 

§ 429.2 Definitions. 

* * * * * 

Engineered-to-order means a basic 

model of commercial water heating 

equipment, commercial packaged boiler, 

commercial HVAC equipment, or 

commercial refrigeration equipment that 

is not listed in any catalogs or marketing 

literature and is designed and built to 

specific customer requirements. A unit 

of an engineered-to-order basic model is 

not offered as a set of options (e.g., 

configure-to-order, menu-system). 

* * * * * 

■ 3. Section 429.7 is amended by 

revising paragraph (a), redesignating 

paragraphs (b) and (c) as paragraphs (c) 

and (d), respectively, and adding new 

paragraph (b) to read as follows: 

§ 429.7 Confidentiality. 

(a) The following records are not 

exempt from public disclosure: The 

product or equipment type, the product 

or equipment class, the private labeler 

name, the brand name, the applicable 

model number(s) unless it means the 

criteria specified in paragraph (b) of this 

section, the energy or water rating 

submitted by manufacturers to DOE 

pursuant to § 429.12(b)(13), whether the 

certification was based on a test 

procedure waiver and the date of such 

waiver, and whether the certification 

was based on exception relief from the 

Office of Hearing and Appeals and the 

date of such relief. 

(b) An individual manufacturer model 

number is public information unless it 

is: 

(1) A unique model number of a 

commercial packaged boiler, 

commercial water heating equipment, 

commercial HVAC equipment or 

commercial refrigeration equipment that 

was developed for an individual 

customer, 

(2) Not displayed on product 

literature, and 

(3) The manufacturer treats the model 

number as confidential business 

information—in which case, the 

manufacturer may identify the 

individual manufacturer model number 

as a private model number on a 

certification report submitted pursuant 

to § 429.12(b)(6). 

* * * * * 

■ 4. Section 429.12 is amended by 

revising paragraph (b) to read as follows: 

§ 429.12 General requirements applicable 

to certification reports. 

* * * * * 

(b) Certification report. A certification 

report shall include a compliance 

statement (see paragraph (c) of this 

section), and for each basic model, the 

information listed in this paragraph (b). 

(1) Product or equipment type; 

(2) Product or equipment class (as 

denoted in the provisions of part 430 or 

431 containing the applicable energy 

conservation standard); 

(3) Manufacturer’s name and address; 

(4) Private labeler’s name(s) and 

address(es) (if applicable); 

(5) Brand name; 

(6) For each brand, the basic model 

number and the individual 

manufacturer model number(s) in that 

basic model with the following 

exceptions: For external power supplies 

that are certified based on design 

families, the design family model 

number and the individual 

manufacturer’s model numbers covered 

by that design family must be submitted 

for each brand. For walk-in coolers, the 

basic model number for each brand 

must be submitted. For distribution 

transformers, the basic model number or 

kVA grouping model number 

(depending on the certification method) 

for each brand must be submitted. For 

commercial HVAC, WH, and 

refrigeration equipment, an individual 

manufacturer model number may be 

identified as a ‘‘private model number’’ 

if it meets the requirements of 

§ 429.7(b). 

(7) Whether the submission is for a 

new model, a discontinued model, a 

correction to a previously submitted 


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model, data on a carryover model, or a 

model that has been found in violation 

of a voluntary industry certification 

program; 

(8) The test sample size (i.e., number 

of units tested for each basic model). 

Manufacturers must enter ‘‘0’’ if an 

AEDM was used in lieu of testing; 

(9) The certifying party’s U.S. 

Customs and Border Protection (CBP) 

importer identification numbers 

assigned by CBP pursuant to 19 CFR 

24.5, if applicable; 

(10) Whether certification is based 

upon any waiver of test procedure 

requirements under § 430.27 or 

§ 431.401 of this chapter and the date of 

such waiver(s); 

(11) Whether certification is based 

upon any exception relief from an 

applicable energy conservation standard 

and the date such relief was issued by 

DOE’s Office of Hearings and Appeals; 

(12) If the test sample size is listed as 

‘‘0’’ to indicate the certification is based 

upon the use of an alternate way of 

determining measures of energy 

conservation, identify the method used 

for determining measures of energy 

conservation (such as ‘‘AEDM’’, ‘‘ARM’’ 

or ‘‘linear interpolation’’) and the 

approval date, if applicable, of any such 

alternate rating, testing, or efficiency 

determination method. Manufacturers of 

commercial packaged boilers, 

commercial water heating equipment, 

commercial refrigeration equipment and 

commercial HVAC equipment, must 

provide the manufacturer’s designation 

(name or other identifier) of the AEDM 

used; and 

(13) Product specific information 

listed in §§ 429.14 through 429.54. 

* * * * * 

■ 5. Revise § 429.41 to read as follows: 

§ 429.41 Commercial warm air furnaces. 

(a) Determination of represented 

value. Manufacturers must determine 

the represented value, which includes 

the certified rating, for each basic model 

of commercial warm air furnace either 

by testing, in conjunction with the 

applicable sampling provisions, or by 

applying an AEDM. 

(1) Units to be tested. (i) If the 

represented value is determined through 

testing, the general requirements of 

§ 429.11 are applicable; and 

(ii) For each basic model selected for 

testing, a sample of sufficient size shall 

be randomly selected and tested to 

ensure that— 

(A) Any represented value of energy 

consumption or other measure of energy 

use of a basic model for which 

consumers would favor lower values 

shall be greater than or equal to the 

higher of: 

(1) The mean of the sample, where: 

and, x is the sample mean; n is the 

number of samples; and xi is the ith

sample; Or, 

(2) The upper 95 percent confidence 

limit (UCL) of the true mean divided by 

1.05, where: 

And x is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.95 is the t 

statistic for a 95% one-tailed confidence 

interval with n-1 degrees of freedom 

(from Appendix A to subpart B of part 

429). And, 

(B) Any represented value of energy 

efficiency or other measure of energy 

consumption of a basic model for which 

consumers would favor higher values 

shall be less than or equal to the lower 

of: 

(1) The mean of the sample, where: 

and, x is the sample mean; n is the 

number of samples; and xi is the ith

sample; Or, 

(2) The lower 95 percent confidence 

limit (LCL) of the true mean divided by 

0.95, where: 

And x is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.95 is the t 

statistic for a 95% one-tailed confidence 

interval with n-1 degrees of freedom 

(from Appendix A to subpart B of part 

429). 

(2) Alternative efficiency 

determination methods. In lieu of 

testing, a represented value of efficiency 

or consumption for a basic model of 

commercial warm air furnace must be 

determined through the application of 

an AEDM pursuant to the requirements 

of § 429.70 and the provisions of this 

section, where: 

(i) Any represented value of energy 

consumption or other measure of energy 

use of a basic model for which 

consumers would favor lower values 

shall be greater than or equal to the 

output of the AEDM and less than or 

equal to the Federal standard for that 

basic model; and 

(ii) Any represented value of energy 

efficiency or other measure of energy 

consumption of a basic model for which 

consumers would favor higher values 

shall be less than or equal to the output 

of the AEDM and greater than or equal 

to the Federal standard for that basic 

model. 

(b) Certification reports. (1) The 

requirements of § 429.12 are applicable 

to commercial warm air furnaces; and 

(2) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following public, product-specific 

information: The thermal efficiency in 

percent (%), and the maximum rated 

input capacity in British thermal units 

per hour (Btu/h). 

(3) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following additional product-specific 

information: 

(i) Whether the basic model is 

engineered-to-order; and 

(ii) For any basic model rated with an 

AEDM, whether the manufacturer elects 

the witness test option for verification 

testing. (See § 429.70(c)(5)(iii) for 

options). However, the manufacturer 

may not select more than 10% of 

AEDM-rated basic models. 

(4) Pursuant to § 429.12(b)(13), a 

certification report may include 

supplemental testing instructions in 

PDF format. A manufacturer may also 

include with a certification report other 

supplementary items in PDF format 

(e.g., manuals) for DOE consideration in 

performing testing under subpart C of 

this part. 

■ 6. Section 429.42 is amended by: 

■ a. Removing ‘‘can’’ from paragraph (a) 

introductory text and adding ‘‘must’’ in 

its place; and 

■ b. Revising paragraph (b) to read as 

follows: 

§ 429.42 Commercial refrigerators, 

freezers, and refrigerator-freezers. 

* * * * * 

(b) Certification reports. (1) The 

requirements of § 429.12 are applicable 

to commercial refrigerators, freezers, 

and refrigerator-freezers; and 

(2) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following public, product-specific 

information: 

(i) The daily energy consumption in 

kilowatt hours per day (kWh/day); 

(ii) The rating temperature (e.g. lowest 

product application temperature, if 

applicable) in degrees Fahrenheit (°F); 

and 

(iii) The chilled or frozen 

compartment volume in cubic feet (ft3), 

the adjusted volume in cubic feet (ft3), 

or the total display area (TDA) in feet 

squared (ft2) (as appropriate for the 

equipment class). 

(3) Pursuant to § 429.12(b)(13), a 

certification report must include the 


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8900 Federal Register / Vol. 79, No. 31 / Friday, February 14, 2014 / Proposed Rules 

following additional, product-specific 

information: 

(i) Whether the basic model is 

engineered-to-order; and 

(ii) For any basic model rated with an 

AEDM, whether the manufacturer elects 

the witness test option for verification 

testing. (See § 429.70(c)(5)(iii) for 

options). However, the manufacturer 

may not select more than 10% of 

AEDM-rated basic models. 

(4) Pursuant to § 429.12(b)(13), a 

certification report must include 

supplemental information submitted in 

PDF format. The product-specific, 

supplemental information must include 

testing instructions (e.g., charging 

instructions); and which, if any, special 

features were included in rating the 

basic model. A manufacturer may also 

include with a certification report other 

supplementary items in PDF format 

(e.g., manuals) for DOE consideration in 

performing testing under subpart C of 

this part. 

■ 7. Section 429.43 is amended by: 

■ a. Removing ‘‘can’’ from paragraph (a) 

introductory text and adding ‘‘must’’ in 

its place; and 

■ b. Revising paragraph (b) to read as 

follows: 

§ 429.43 Commercial heating, ventilating, 

air conditioning (HVAC) equipment. 

* * * * * 

(b) Certification reports. (1) The 

requirements of § 429.12 are applicable 

to commercial HVAC equipment; and 

(2) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following public product-specific 

information: 

(i) Commercial package airconditioning and heating equipment 

(except commercial package air 

conditioning and heating equipment 

that is air-cooled with a cooling capacity 

less than 65,000 Btu/h): The energy 

efficiency ratio (EER in British thermal 

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

coefficient of performance (COP) (as 

applicable), the rated cooling capacity 

in British thermal units per hour (Btu/ 

h), and the type(s) of heating used by 

the basic model (e.g., electric, gas, 

hydronic, none). 

(ii) Commercial package air 

conditioning and heating equipment 

that is air-cooled with a cooling capacity 

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

seasonal energy efficiency ratio (SEER 

in British thermal units per Watt-hour 

(Btu/Wh)), the heating seasonal 

performance factor (HSPF in British 

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

(as applicable), and the rated cooling 

capacity in British thermal units per 

hour (Btu/h). 

(iii) Package terminal air conditioners: 

The energy efficiency ratio (EER in 

British thermal units per Watt-hour 

(Btu/Wh)), the rated cooling capacity in 

British thermal units per hour (Btu/h), 

and the wall sleeve dimensions in 

inches (in). 

(iv) Package terminal heat pumps: The 

energy efficiency ratio (EER in British 

thermal units per Watt-hour (Btu/W-h)), 

the coefficient of performance (COP), 

the rated cooling capacity in British 

thermal units per hour (Btu/h), and the 

wall sleeve dimensions in inches (in). 

(v) Single package vertical air 

conditioners: The energy efficiency ratio 

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

capacity in British thermal units per 

hour (Btu/h). 

(vi) Single package vertical heat 

pumps: The energy efficiency ratio (EER 

in British thermal units per Watt-hour 

(Btu/Wh)), the coefficient of 

performance (COP), and the rated 

cooling capacity in British thermal units 

per hour (Btu/h). 

(vii) Variable refrigerant flow multisplit air conditioners and heat pumps 

with rated cooling capacity less than 

65,000 Btu/h: The seasonal energy 

efficiency ratio (SEER in British thermal 

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

heating seasonal performance factor 

(HSPF in British thermal units per Watthour (Btu/Wh)) (as applicable), and 

rated cooling capacity in British thermal 

units per hour (Btu/h). 

(viii) Variable refrigerant flow multisplit air conditioners and heat pumps 

with rated cooling capacity greater than 

or equal to 65,000 Btu/h: The energy 

efficiency ratio (EER in British thermal 

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

coefficient of performance (COP) (as 

applicable), rated cooling capacity in 

British thermal units per hour (Btu/h), 

and the type(s) of heating used by the 

basic model (e.g., electric, gas, hydronic, 

none). 

(ix) Water source variable refrigerant 

flow heat pumps (all rated cooling 

capacities): The energy efficiency ratio 

(EER in British thermal units per Watthour (Btu/Wh)), the coefficient of 

performance (COP), rated cooling 

capacity in British thermal units per 

hour (Btu/h), and the type(s) of heating 

used by the basic model (e.g., electric, 

gas, hydronic, none). 

(x) Computer room air-conditioners: 

The net sensible cooling capacity in 

British thermal units per hour (Btu/h), 

the net cooling capacity in British 

thermal units per hour (Btu/h), the 

configuration (upflow/downflow), 

economizer presence (yes or no), 

condenser medium (air, water, or glycolcooled), sensible coefficient of 

performance (SCOP), and rated airflow 

in standard cubic feet per minute 

(SCFM). 

(xi) Water source heat pumps (other 

than variable refrigerant flow): The 

energy efficiency ratio (EER in British 

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

the coefficient of performance (COP), 

the rated cooling capacity in British 

thermal units per hour (Btu/h), and the 

type(s) of heating used by the basic 

model (e.g., electric, gas, hydronic, 

none). 

(3) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following additional product-specific 

information: 

(i) Whether the basic model is 

engineered-to-order; and 

(ii) For any basic model rated with an 

AEDM, whether the manufacturer elects 

the witness test option for verification 

testing. (See § 429.70(c)(5)(iii) for 

options). However, the manufacturer 

may not select more than 10% of 

AEDM-rated basic models. 

(4) Pursuant to § 429.12(b)(13), a 

certification report must include 

supplemental information submitted in 

PDF format. A manufacturer may also 

include with a certification report other 

supplementary items in PDF format 

(e.g., manuals) for DOE consideration in 

performing testing under subpart C of 

this part. The product-specific, 

supplemental information must include 

at least the following: 

(i) Commercial package airconditioning and heating equipment 

(except commercial package air 

conditioning and heating equipment 

that is air-cooled with a cooling capacity 

less than 65,000 Btu/h): The nominal 

cooling capacity in British thermal units 

per hour (Btu/h); rated heating capacity 

in British thermal units per hour (Btu/ 

h), if applicable; rated airflow in 

standard cubic feet per minute (SCFM) 

for each fan coil; water flow rate in 

gallons per minute (gpm) for water 

cooled units only; rated static pressure 

in inches of water; refrigeration charging 

instructions (e.g., refrigerant charge, 

superheat and/or subcooling 

temperatures); frequency or control set 

points for variable speed components 

(e.g., compressors, VFDs); required dip 

switch/control settings for step or 

variable components; statement whether 

the model will operate at test conditions 

without manufacturer programming; 

any additional testing instructions if 

applicable; if a variety of motors/drive 

kits are offered for sale as options in the 

basic model to account for varying 

installation requirements, the model 

number and specifications of the motor 

(to include efficiency, horsepower, 

open/closed, and number of poles) and 


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the drive kit, including settings, 

associated with that specific motor that 

were used to determine the certified 

rating; and which, if any, special 

features were included in rating the 

basic model. 

(ii) Commercial package air 

conditioning and heating equipment 

that is air-cooled with a cooling capacity 

less than 65,000 Btu/h (3-phase): The 

nominal cooling capacity in British 

thermal units per hour (Btu/h); rated 

heating capacity in British thermal units 

per hour (Btu/h), if applicable; rated 

airflow in standard cubic feet per 

minute (SCFM) for each fan coil; rated 

static pressure in inches of water; 

refrigeration charging instructions (e.g., 

refrigerant charge, superheat and/or 

subcooling temperatures); frequency or 

control set points for variable speed 

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

required dip switch/control settings for 

step or variable components; statement 

whether the model will operate at test 

conditions without manufacturer 

programming; any additional testing 

instructions if applicable; if a variety of 

motors/drive kits are offered for sale as 

options in the basic model to account 

for varying installation requirements, 

the model number and specifications of 

the motor (to include efficiency, 

horsepower, open/closed, and number 

of poles) and the drive kit, including 

settings, associated with that specific 

motor that were used to determine the 

certified rating; and which, if any, 

special features were included in rating 

the basic model. 

(iii) Variable refrigerant flow multisplit air conditioners and heat pumps 

with cooling capacity less than 65,000 

Btu/h: The nominal cooling capacity in 

British thermal units per hour (Btu/h); 

rated heating capacity in British thermal 

units per hour (Btu/h), if applicable; 

outdoor unit(s) and indoor units 

identified in the tested combination; 

components needed for heat recovery, if 

applicable; rated airflow in standard 

cubic feet per minute (SCFM) for each 

indoor unit; water flow rate in gallons 

per minute (gpm) for water-cooled units 

only; rated static pressure in inches of 

water; compressor frequency set points; 

required dip switch/control settings for 

step or variable components; statement 

whether the model will operate at test 

conditions without manufacturer 

programming; any additional testing 

instructions if applicable; if a variety of 

motors/drive kits are offered for sale as 

options in the basic model to account 

for varying installation requirements, 

the model number and specifications of 

the motor (to include efficiency, 

horsepower, open/closed, and number 

of poles) and the drive kit, including 

settings, associated with that specific 

motor that were used to determine the 

certified rating; and which, if any, 

special features were included in rating 

the basic model. Additionally, upon 

DOE request, the manufacturer must 

provide a layout of the system set-up for 

testing including charging instructions 

consistent with the installation manual. 

(iv) Variable refrigerant flow multisplit air conditioners and heat pumps 

with cooling capacity greater than or 

equal to 65,000 Btu/h: The nominal 

cooling capacity in British thermal units 

per hour (Btu/h); rated heating capacity 

in British thermal units per hour (Btu/ 

h), if applicable; outdoor unit(s) and 

indoor units identified in the tested 

combination; components needed for 

heat recovery, if applicable; rated 

airflow in standard cubic feet per 

minute (SCFM) for each indoor unit; 

water flow rate in gallons per minute 

(gpm) for water-cooled units only; rated 

static pressure in inches of water; 

compressor frequency set points; 

required dip switch/control settings for 

step or variable components; statement 

whether the model will operate at test 

conditions without manufacturer 

programming; any additional testing 

instructions if applicable; if a variety of 

motors/drive kits are offered for sale as 

options in the basic model to account 

for varying installation requirements, 

the model number and specifications of 

the motor (to include efficiency, 

horsepower, open/closed, and number 

of poles) and the drive kit, including 

settings, associated with that specific 

motor that were used to determine the 

certified rating; and which, if any, 

special features were included in rating 

the basic model. Additionally, upon 

DOE request, the manufacturer must 

provide a layout of the system set-up for 

testing including charging instructions 

consistent with the installation manual. 

(v) Water source variable refrigerant 

flow heat pumps: The nominal cooling 

capacity in British thermal units per 

hour (Btu/h); rated heating capacity in 

British thermal units per hour (Btu/h); 

rated airflow in standard cubic feet per 

minute (SCFM) for each indoor unit; 

water flow rate in gallons per minute 

(gpm); rated static pressure in inches of 

water; refrigeration charging 

instructions (e.g., refrigerant charge, 

superheat and/or subcooling 

temperatures); frequency set points for 

variable speed components (e.g., 

compressors, VFDs), including the 

required dip switch/control settings for 

step or variable components; statement 

whether the model will operate at test 

conditions without manufacturer 

programming; any additional testing 

instructions if applicable; if a variety of 

motors/drive kits are offered for sale as 

options in the basic model to account 

for varying installation requirements, 

the model number and specifications of 

the motor (to include efficiency, 

horsepower, open/closed, and number 

of poles) and the drive kit, including 

settings, associated with that specific 

motor that were used to determine the 

certified rating; and which, if any, 

special features were included in rating 

the basic model. Additionally, upon 

DOE request, the manufacturer must 

provide a layout of the system set-up for 

testing including charging instructions 

consistent with installation manual. 

(vi) Water source heat pumps: The 

nominal cooling capacity in British 

thermal units per hour (Btu/h); rated 

heating capacity in British thermal units 

per hour (Btu/h); rated airflow in 

standard cubic feet per minute (SCFM) 

for each indoor unit; water flow rate in 

gallons per minute (gpm); rated static 

pressure in inches of water; refrigerant 

charging instructions, (e.g., refrigerant 

charge, superheat and/or subcooling 

temperatures); frequency set points for 

variable speed components (e.g., 

compressors, VFDs), including the 

required dip switch/control settings for 

step or variable components; statement 

whether the model will operate at test 

conditions without manufacturer 

programming; any additional testing 

instructions if applicable; if a variety of 

motors/drive kits are offered for sale as 

options in the basic model to account 

for varying installation requirements, 

the model number and specifications of 

the motor (to include efficiency, 

horsepower, open/closed, and number 

of poles) and the drive kit, including 

settings, associated with that specific 

motor that were used to determine the 

certified rating; and which, if any, 

special features were included in rating 

the basic model. 

(vii) Single package vertical air 

conditioners and single package vertical 

heat pumps: Any additional testing 

instructions, if applicable; if a variety of 

motors/drive kits are offered for sale as 

options in the basic model to account 

for varying installation requirements, 

the model number and specifications of 

the motor (to include efficiency, 

horsepower, open/closed, and number 

of poles) and the drive kit, including 

settings, associated with that specific 

motor that were used to determine the 

certified rating; and which, if any, 

special features were included in rating 

the basic model. 

(viii) Computer room air-conditioners: 

Any additional testing instructions, if 

applicable; and which, if any, special 

features were included in rating the 

basic model. 


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(ix) Package terminal air conditioners 

and package terminal heat pumps: Any 

additional testing instructions, if 

applicable. 

* * * * * 

■ 8. Section 429.44 is amended by: 

■ a. Removing ‘‘can’’ in paragraph (a) 

introductory text and adding ‘‘must’’ in 

its place; and 

■ b. Revising paragraph (b) to read as 

follows: 

§ 429.44 Commercial water heating 

equipment. 

* * * * * 

(b) Certification reports. (1) The 

requirements of § 429.12 are applicable 

to commercial WH equipment; and 

(2) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following public product-specific 

information: 

(i) Commercial electric storage water 

heaters: The maximum standby loss in 

percent per hour (%/hr) and the 

measured storage volume in gallons 

(gal). 

(ii) Commercial gas-fired and oil-fired 

storage water heaters: The thermal 

efficiency in percent (%), the maximum 

standby loss in British thermal units per 

hour (Btu/h), the rated storage volume 

in gallons (gal), and the nameplate input 

rate in British thermal units per hour 

(Btu/h). 

(iii) Commercial water heaters and hot 

water supply boilers with storage 

capacity greater than 140 gallons: The 

thermal efficiency in percent (%), 

whether the storage volume is greater 

than 140 gallons (Yes/No); whether the 

tank surface area is insulated with at 

least R–12.5 (Yes/No); whether a 

standing pilot light is used (Yes/No); for 

gas or oil-fired water heaters, whether 

the basic model has a fire damper or fan 

assisted combustion (Yes/No); and, if 

applicable pursuant to 10 CFR 431.110, 

maximum standby loss in British 

thermal units per hour (Btu/h) and 

measured storage volume in gallons 

(gal). 

(iv) Commercial gas-fired and oil-fired 

instantaneous water heaters greater than 

or equal to 10 gallons and gas-fired and 

oil-fired hot water supply boilers greater 

than or equal to 10 gallons: The thermal 

efficiency in percent (%), the maximum 

standby loss in British thermal units per 

hour (Btu/h), the rated storage volume 

in gallons (gal), and the nameplate input 

rate in Btu/h. 

(v) Commercial gas-fired and oil-fired 

instantaneous water heaters less than 10 

gallons and gas-fired and oil-fired hot 

water supply boilers less than 10 

gallons: The thermal efficiency in 

percent (%) and the rated storage 

volume in gallons (g). 

(vi) Commercial unfired hot water 

storage tanks: The thermal insulation 

(i.e., R-value) and stored volume in 

gallons (gal). 

(3) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following additional, product-specific 

information: 

(i) Whether the basic model is 

engineered-to-order; and 

(ii) For any basic model rated with an 

AEDM, whether the manufacturer elects 

the witness test option for verification 

testing. (See § 429.70(c)(5)(iii) for 

options). However, the manufacturer 

may not select more than 10% of 

AEDM-rated basic models. 

(4) Pursuant to § 429.12(b)(13), a 

certification report may include 

supplemental testing instructions in 

PDF format. A manufacturer may also 

include with a certification report other 

supplementary items in PDF format 

(e.g., manuals) for DOE consideration in 

performing testing under subpart C of 

this part. 

* * * * * 

■ 9. Add § 429.60 to read as follows: 

§ 429.60 Commercial packaged boilers. 

(a) Determination of represented 

value. Manufacturers must determine 

the represented value, which includes 

the certified rating, for each basic model 

of commercial packaged boilers either 

by testing, in conjunction with the 

applicable sampling provisions, or by 

applying an AEDM. 

(1) Units to be tested. (i) If the 

represented value is determined through 

testing, the general requirements of 

§ 429.11 are applicable; and 

(ii) For each basic model selected for 

testing, a sample of sufficient size shall 

be randomly selected and tested to 

ensure that— 

(A) Any represented value of energy 

consumption or other measure of energy 

use of a basic model for which 

consumers would favor lower values 

shall be greater than or equal to the 

higher of: 

(1) The mean of the sample, where: 

and, x is the sample mean; n is the 

number of samples; and xi is the ith

sample; Or, 

(2) The upper 95 percent confidence 

limit (UCL) of the true mean divided by 

1.05, where: 

And x is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.95 is the t 

statistic for a 95% one-tailed confidence 

interval with n-1 degrees of freedom 

(from Appendix A to subpart B of part 

429). And, 

(B) Any represented value of energy 

efficiency or other measure of energy 

consumption of a basic model for which 

consumers would favor higher values 

shall be less than or equal to the lower 

of: 

(1) The mean of the sample, where: 

and, x is the sample mean; n is the 

number of samples; and xi is the ith

sample; Or, 

(2) The lower 95 percent confidence 

limit (LCL) of the true mean divided by 

0.95, where: 

And x is the sample mean; s is the 

sample standard deviation; n is the 

number of samples; and t0.95 is the t 

statistic for a 95% one-tailed confidence 

interval with n-1 degrees of freedom 

(from Appendix A to subpart B of part 

429). 

(2) Alternative efficiency 

determination methods. In lieu of 

testing, a represented value of efficiency 

or consumption for a basic model of 

commercial packaged boiler must be 

determined through the application of 

an AEDM pursuant to the requirements 

of § 429.70 and the provisions of this 

section, where: 

(i) Any represented value of energy 

consumption or other measure of energy 

use of a basic model for which 

consumers would favor lower values 

shall be greater than or equal to the 

output of the AEDM and less than or 

equal to the Federal standard for that 

basic model; and 

(ii) Any represented value of energy 

efficiency or other measure of energy 

consumption of a basic model for which 

consumers would favor higher values 

shall be less than or equal to the output 

of the AEDM and greater than or equal 

to the Federal standard for that basic 

model. 

(b) Certification reports. (1) The 

requirements of § 429.12 are applicable 

to commercial packaged boilers; and 

(2) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following public product-specific 

information: The combustion efficiency 

in percent (%) or the thermal efficiency 

in percent (%), as required in § 431.87 

of this chapter; and the maximum rated 


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Federal Register / Vol. 79, No. 31 / Friday, February 14, 2014 / Proposed Rules 8903 

input capacity in British thermal units 

per hour (Btu/h). 

(3) Pursuant to § 429.12(b)(13), a 

certification report must include the 

following additional product-specific 

information: 

(i) Whether the basic model is 

engineered-to-order; and 

(ii) For any basic model rated with an 

AEDM, whether the manufacturer elects 

the witness test option for verification 

testing. (See § 429.70(c)(5)(iii) for 

options). However, the manufacturer 

may not select more than 10% of 

AEDM-rated basic models. 

(4) Pursuant to § 429.12(b)(13), a 

certification report may include 

supplemental testing instructions in 

PDF format. A manufacturer may also 

include with a certification report other 

supplementary items in PDF format 

(e.g., manuals) for DOE consideration in 

performing testing under subpart C of 

this part. 

(c) Alternative methods for 

determining efficiency or energy use for 

commercial packaged boilers can be 

found in § 429.70. 

■ 10. Section 429.70 is amended by 

revising the heading of paragraph (c) to 

read as follows: 

§ 429.70 Alternative methods for 

determining energy efficiency and energy 

use. 

* * * * * 

(c) Alternative efficiency 

determination method (AEDM) for 

commercial HVAC (includes 

commercial warm air furnaces and 

commercial packaged boilers), WH, and 

refrigeration equipment— * * * 

* * * * * 

[FR Doc. 2014–03103 Filed 2–13–14; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF ENERGY 

10 CFR Part 431 

[Docket Number EERE–2010–BT–STD– 

0027] 

RIN 1904–AC28 

Energy Conservation Program: Energy 

Conservation Standards for 

Commercial and Industrial Electric 

Motors 

Correction 

In proposed rule document 2013– 

28776 appearing on pages 73589–73681 

in the issue of Friday, December 6, 

2013, make the following corrections: 

1. On page 73594, Table I.5 should 

appear as set forth below: 

TABLE I.5—PROPOSED ENERGY CONSERVATION STANDARDS FOR INTEGRAL BRAKE ELECTRIC MOTORS AND NONINTEGRAL BRAKE ELECTRIC MOTORS (COMPLIANCE STARTING DECEMBER 19, 2015) 

Motor horsepower/standard kilowatt 

equivalent 

Nominal full load efficiency (%) 

4 Pole 6 Pole 8 Pole 

Enclosed Open Enclosed Open Enclosed Open 

1/.75 ......................................................... 85.5 85.5 82.5 82.5 75.5 75.5 

1.5/1.1 ...................................................... 86.5 86.5 87.5 86.5 78.5 77.0 

2/1.5 ......................................................... 86.5 86.5 88.5 87.5 84.0 86.5 

3/2.2 ......................................................... 89.5 89.5 89.5 88.5 85.5 87.5 

5/3.7 ......................................................... 89.5 89.5 89.5 89.5 86.5 88.5 

7.5/5.5 ...................................................... 91.7 91.0 91.0 90.2 86.5 89.5 

10/7.5 ....................................................... 91.7 91.7 91.0 91.7 89.5 90.2 

15/11 ........................................................ 92.4 93.0 91.7 91.7 89.5 90.2 

20/15 ........................................................ 93.0 93.0 91.7 92.4 90.2 91.0 

25/18.5 ..................................................... 93.6 93.6 93.0 93.0 90.2 91.0 

30/22 ........................................................ 93.6 94.1 93.0 93.6 91.7 91.7 

2. On page 73627, Tables IV.10 and 

IV.11 should appear as follows: 

TABLE IV.10—EFFICIENCY LEVELS FOR EQUIPMENT CLASS GROUP 3 

Representative unit 

EL 0 

(EPACT 1992) 

(%) 

EL 1 

(NEMA 

premium) 

(%) 

EL 2 

(Best-inmarket*) 

(%) 

EL 3 

(Max-tech) 

(%) 

5 hp .................................................................................................................. 87.5 89.5 90.2 91.0 

30 hp ................................................................................................................ 92.4 93.6 94.1 94.5 

75 hp ................................................................................................................ 94.1 95.4 95.8 96.2 

TABLE IV.11—EFFICIENCY LEVELS FOR EQUIPMENT CLASS GROUP 2 

Representative unit 

EL 1 

(EPACT 1992) 

(%) 

EL 2 

(NEMA 

premium) 

(%) 

EL 3 

(Max-tech) 

(%) 

5 hp ............................................................................................................................ 87.5 89.5 91.0 

50 hp .......................................................................................................................... 92.4 93.6 94.5 


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