61962 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

PTC 4.1 (Incorporated by reference, see 

§ 431.85). 

(ii) Test Conditions for the 

Combustion Efficiency.

(A) Steam pressure for steam boilers—

Test must be made at atmospheric 

pressure or at a pressure not exceeding 

2 psig. 

(B) Water temperature for hot water 

boilers—The inlet temperature must be 

35 °F to 80 °F, except that when a boiler 

is tested in the field after installation the 

inlet temperature may be as 

recommended by the manufacturer, but 

must not exceed 140 °F. The outlet 

temperature shall be 180 °F ± 2 °F. 

(C) After steady state operation is 

achieved, the minimum duration of a 

test run shall be 30 minutes. 

(2) Test Measurements. Use the test 

procedure from Section 5, Efficiency by 

Heat Loss Method, of ASME PTC 4.1 

(Incorporated by reference, see 

§ 431.85). Use the test conditions as 

specified in paragraph (d)(1) of this 

section. For a boiler that is capable of 

supplying either steam or hot water, 

follow paragraph (c)(2)(iii) of this 

section. 

(3) Calculation of Combustion 

Efficiency. Use the heat loss method for 

gas or oil fuel as specified in Section 7.3 

and the Test Forms for the Abbreviated 

Efficiency Test, PTC 4.1–a (Summary 

Sheet) and PTC 4.1–b (Calculation 

Sheet), of ASME PTC 4.1 to determine 

the combustion efficiency, except that 

the following specific heat loss terms (as 

listed in Section 7.3 of ASME PTC 4.1) 

to 0: sections 7.3.2.03 (moisture in fuel), 

7.3.2.01 (combustible in dry refuse), 

7.3.2.10 (radiation to surroundings), 

7.3.2.05 through 7.3.2.09 and 7.3.2.11 

through 7.3.2.14 (unmeasured losses) 

must be set. (Incorporated by reference, 

see § 431.85) 

Energy Efficiency Standards

§ 431.87 Energy conservation standards 

and their effective dates. 

Each manufacturer of a commercial 

packaged boiler manufactured on or 

after January 1, 1994, must meet the 

following energy efficiency standard 

levels: 

(a) For a gas-fired packaged boiler 

with a capacity (rated maximum input) 

of 300,000 Btu/hr or more, the 

combustion efficiency at the maximum 

rated capacity must be not less than 80 

percent. 

(b) For an oil-fired packaged boiler 

with a capacity (rated maximum input) 

of 300,000 Btu/hr or more, the 

combustion efficiency at the maximum 

rated capacity must be not less than 83 

percent.

[FR Doc. 04–17730 Filed 10–20–04; 8:45 am] 

BILLING CODE 6450–01–U

DEPARTMENT OF ENERGY

Office of Energy Efficiency and 

Renewable Energy 

10 CFR Part 431

[Docket No. EE–RM/TP–99–460] 

RIN 1904–AA97

Energy Efficiency Program for Certain 

Commercial and Industrial Equipment: 

Test Procedures and Efficiency 

Standards for Commercial Air 

Conditioners and Heat Pumps

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy.

ACTION: Direct final rule.

SUMMARY: Pursuant to the Energy Policy 

and Conservation Act (EPCA), the 

Department of Energy (the Department) 

promulgates a rule that accomplishes 

three objectives. First and principally, 

the rule sets forth test procedures to rate 

the energy efficiency of commercial air 

conditioners and heat pumps. Second, 

for ease of reference by commercial air 

conditioner manufacturers, this rule 

also includes the energy conservation 

standards prescribed by EPCA for 

commercial equipment that the 

Department has not amended. Third, 

also for ease of reference by commercial 

air conditioner manufacturers, the rule 

moves commercial air conditioning and 

heat pump minimum efficiency levels to 

a separate subpart.

DATES: This direct final rule is effective 

December 20, 2004, unless significant 

adverse or critical comments are 

received by November 22, 2004. If the 

effective date is delayed, a timely notice 

will be published in the Federal 

Register. The incorporation by reference 

of certain publications listed in this rule 

is approved by the Director of the 

Federal Register as of December 20, 

2004.

ADDRESSES: You may submit comments, 

identified by docket number EE–RM/

TP–99–460 and/or RIN number 1904–

AA97, by any of the following methods: 

• Federal eRulemaking Portal: http://

www.regulations.gov. Follow the 

instructions for submitting comments. 

• E-mail: CommACHeatPumpDirect

FinalRuleComments@ee.doe.gov.

Include EE–RM/TP–99–460 and/or RIN 

1904–AA97 in the subject line of the 

message. 

• Mail: Ms. Brenda Edwards-Jones, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

Direct Final Rule for Commercial AC 

and Heat Pumps, EE–RM/TP–99–460 

and/or RIN 1904–AA97, 1000 

Independence Avenue, SW., 

Washington, DC, 20585–0121. 

Telephone: (202) 586–2945. Please 

submit one signed paper original. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards-Jones, U.S. Department of 

Energy, Building Technologies Program, 

Room 1J–018, 1000 Independence 

Avenue, SW., Washington, DC, 20585. 

Instructions: All submissions received 

must include the agency name and 

docket number or Regulatory 

Information Number (RIN) for this 

rulemaking. 

Docket: For access to the docket to 

read background documents or 

comments received, go to the U.S. 

Department of Energy, Forrestal 

Building, Room 1J–018 (Resource Room 

of the Building Technologies Program), 

1000 Independence Avenue, SW., 

Washington, DC, (202) 586–9127, 

between 9 a.m. and 4 p.m., Monday 

through Friday, except Federal holidays. 

Please call Ms. Brenda Edwards-Jones at 

the above telephone number for 

additional information regarding 

visiting the Resource Room. Please note:

The Department’s Freedom of 

Information Reading Room (formerly 

Room 1E–190 at the Forrestal Building) 

is no longer housing rulemaking 

materials.

FOR FURTHER INFORMATION CONTACT:

Mohammed Khan, Project Manager, U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Program, 

Forrestal Building, EE–2J, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121, (202) 586–

7892, FAX (202) 586–4617, e-mail: 

Mohammed.Khan@ee.doe.gov, or 

Francine Pinto, Esq., U.S. Department of 

Energy, Office of General Counsel, 

Forrestal Building, GC–72, 1000 

Independence Avenue, SW., 

Washington, DC 20585, (202) 586–9507, 

e-mail: Francine.Pinto@hq.doe.gov.

SUPPLEMENTARY INFORMATION: This 

direct final rule incorporates, by 

reference, into Subpart F of Part 431, 

four test procedures for air conditioners 

and heat pumps contained in industry 

standards referenced by the American 

Society of Heating, Refrigerating and 

Air-Conditioning Engineers, Inc. 

(ASHRAE) and the Illuminating 

Engineering Society of North America 

(IES or IESNA) Standard 90.1 

(ASHRAE/IES Standard 90.1). Two of 

these industry standards were published 


EE-RM-TP-99-460 COMMENT 07
Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61963

1 ‘‘EPCA’’ or the ‘‘Act,’’ as used in this notice of 

final rulemaking, refers to the Energy Policy and 

Conservation Act of 1975 as amended by all of the 

statutes mentioned in this paragraph.

by the Air-Conditioning and 

Refrigeration Institute (ARI), the third 

was published by the International 

Organization for Standardization (ISO), 

and the fourth was jointly published by 

the ARI and the Canadian Standards 

Association (CSA). These four standards 

are as follows: 

• ARI Standard 210/240–2003, 

‘‘Unitary Air-Conditioning and AirSource Heat Pump Equipment’’, 

• ARI Standard 340/360–2000, 

‘‘Commercial and Industrial Unitary 

Air-Conditioning and Heat Pump 

Equipment’’,

• ISO Standard 13256–1, ‘‘Watersource heat pumps—Testing and rating 

for performance—Part 1: Water-to-air 

and brine-to-air heat pumps’’, and 

• ARI Standard 310/380–2004 (which 

also has a CSA designation CSA–C744–

04), ‘‘Standard for Packaged Terminal 

Air-Conditioners and Heat Pumps.’’

You can view copies of these 

standards in the resource of the 

Buildings Technologies Program, room 

1J–018 of the Forrestal Building at the 

Department of Energy, 1000 

Independence Avenue, SW., 

Washington, DC 20585, between the 

hours of 9 a.m. and 4 p.m., Monday 

through Friday, except Federal holidays. 

Please call Ms. Brenda Edwards-Jones at 

(202) 586–2945, for additional 

information regarding visiting the 

resource room. In addition, you can 

purchase copies of ASHRAE/IES 

Standard 90.1. from the American 

Society of Heating, Refrigerating, and 

Air-Conditioning Engineers, Inc., 1971 

Tullie Circle, NE., Atlanta, GA 30329, 

http://www.ashrae.org; you can 

purchase copies of ISO Standard 13256–

1 from the International Organization 

for Standardization, Case Postale 56, 

CH–1211, Geneva 20, Switzerland. 

http://www.iso.ch/ or from the 

American National Standards Institute, 

25 West 43rd Street, New York, New 

York 10036, http://www.ansi.org/.

Copies of ARI standards are available 

from the Air-Conditioning and 

Refrigeration Institute, 4301 North 

Fairfax Drive, Suite 425, Arlington, VA 

22203, http://www.ari.org.

I. Introduction 

A. Authority 

B. Background 

C. Summary of the Direct Final Rule 

II. Discussion 

A. Test Procedures for All Commercial AirConditioning Equipment Other Than 

Water-Source Heat Pumps 

1. Adoption of Current Versions of ARI 

Test Procedures 

2. Test Procedures for Commercial and 

Industrial Unitary Air-Conditioning and 

Heat Pump Equipment with Cooling 

Capacities from 65,000 to 135,000 Btu 

per Hour 

3. Effect of Amended Test Procedures on 

Measured Energy Efficiency 

B. Test Procedures for Water-Source Heat 

Pumps 

1. Background 

2. Discussion 

3. Effect of Amended Test Procedures on 

Measured Energy Efficiency 

C. Products Not Covered in this 

Rulemaking 

1. Computer Room Air-conditioners and 

Heat Pumps 

2. Equipment with a Variable-Speed Drive 

III. Final Action 

IV. Procedural Requirements 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act 

D. Review Under the National 

Environmental Policy Act 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under the Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

M. Congressional Notification 

N. Approval of the Office of the Secretary

I. Introduction 

A. Authority 

Part B of Title III of the Energy Policy 

and Conservation Act (EPCA) of 1975, 

Public Law 94–163, as amended, by the 

National Energy Conservation Policy 

Act of 1978 (NECPA), Public Law 95–

619, the National Appliance Energy 

Conservation Act of 1987 (NAECA), 

Public Law 100–12, the National 

Appliance Energy Conservation 

Amendments of 1988 (NAECA 1988), 

Public Law 100–357, and the Energy 

Policy Act of 1992 (EPACT), Public Law 

102–486, established the ‘‘Energy 

Conservation Program for Consumer 

Products other than Automobiles.’’ Part 

3 of Title IV of NECPA amended EPCA 

to add ‘‘Energy Efficiency of Industrial 

Equipment,’’ which included air 

conditioning equipment and other types 

of commercial equipment.1

EPACT also amended EPCA with 

respect to certain commercial 

equipment. It provided definitions, test 

procedures, labeling provisions, energy 

conservation standards, and authority to 

require information and reports from 

manufacturers. See 42 U.S.C. 6311–

6316. EPCA authorizes the Secretary of 

Energy to prescribe test procedures that 

are reasonably designed to produce 

results which reflect energy efficiency, 

energy use and estimated operating 

costs, and that are not unduly 

burdensome to conduct. (42 U.S.C. 

6314) 

With respect to some commercial 

equipment for which EPCA prescribes 

energy conservation standards, 

including commercial air conditioners 

and heat pumps, ‘‘the test procedures 

shall be those generally accepted 

industry testing procedures or rating 

procedures developed or recognized by 

the Air-Conditioning and Refrigeration 

Institute or by the American Society of 

Heating, Refrigerating and Air 

Conditioning Engineers, as referenced in 

ASHRAE/IES Standard 90.1 and in 

effect on June 30, 1992.’’ (42 U.S.C. 

6314(a)(4)(A)) Further, if such an 

industry testing or rating procedure is 

amended, the Department must revise 

its test procedure to be consistent with 

the amendment, unless the Secretary 

determines, based on clear and 

convincing evidence, that to do so 

would not meet certain general 

requirements spelled out in the statute 

for test procedures. (42 U.S.C. 

6314(a)(4)(B)) Before prescribing any 

test procedures for such equipment, the 

Secretary must publish them in the 

Federal Register and afford interested 

persons at least 45 days to present data, 

views and arguments. (42 U.S.C. 

6314(b)) Effective 360 days after a test 

procedure rule applicable to any 

covered commercial equipment, such as 

a commercial air conditioner and heat 

pump, is prescribed, no manufacturer, 

distributor, retailer or private labeler 

may make any representation in writing 

or in broadcast advertisement respecting 

the energy consumption or cost of 

energy consumed by such product, 

unless it has been tested in accordance 

with the prescribed procedure and such 

representation fairly discloses the 

results of the testing. (42 U.S.C. 6314(d)) 

Finally, EPACT extends certain powers, 

originally granted to the Secretary under 

NAECA, to require manufacturers of 

equipment covered by today’s rule to 

submit information and reports for a 

variety of purposes, including ensuring 

compliance with requirements. See 42 

U.S.C. 6316(b)(1). 

B. Background 

The Department has an energy 

conservation program for consumer 

products, and certain commercial 

equipment, conducted under Part B of 

Title III of EPCA, 42 U.S.C. 6291-6309. 

Under EPCA, this program essentially 

consists of four parts: Test procedures, 

Federal energy conservation standards, 

labeling, and certification and 


EE-RM-TP-99-460 COMMENT 07
61964 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

2Efficiency levels prescribed by EPCA for which 

amendments are not included in Subpart Q, and in 

today’s rule, are either under review by the 

Department or were not revised in ASHRAE/IES 

Standard 90.1.

enforcement procedures. Except for 

labeling, for which the Federal Trade 

Commission (FTC) is responsible, the 

Department implements this program in 

Title 10 of the Code of Federal 

Regulations (CFR), Part 430, entitled 

‘‘Energy Conservation Program for 

Consumer Products.’’

Part 431 (10 CFR Part 431), entitled 

‘‘Certain Industrial Equipment,’’

implements our program for most 

commercial and industrial equipment 

covered under EPCA. These will 

include commercial heating, air 

conditioning and water heating 

equipment. Part 431 will consist of: Test 

procedures, Federal energy conservation 

standards, labeling, and certification 

and enforcement procedures. EPCA 

directs the Department, rather than the 

FTC, to administer the statute’s 

efficiency labeling provisions for this 

commercial equipment. 

In preparing proposed rules that 

would address test procedures, 

certification and enforcement 

procedures, and issues of EPCA’s 

coverage for this equipment, the 

Department convened public workshops 

on April 14 and 15, 1998, and on 

October 19, 1998. As to commercial air 

conditioners and heat pumps 

specifically, workshop discussions and 

comments dealt with the following six 

issues:

(1) Coverage of heating-only heat pumps; 

(2) Coverage of computer room air 

conditioners; 

(3) Coverage of equipment with a variablespeed drive; 

(4) Test procedures to be adopted; 

(5) Minimum external static pressure; and 

(6) Test procedure for water-source heat 

pumps.

The Department considered both oral 

and written comments, and 

incorporated recommendations where 

appropriate, in the Notice of Proposed 

Rulemaking (NOPR) of August 9, 2000. 

65 FR 48828. The discussion section of 

the NOPR presented our position and 

explained the reasons for incorporating 

or not incorporating any significant 

recommendations. The NOPR was 

followed by a public hearing on 

September 21, 2000, and an opportunity 

for submission of written comments. 

The Department received oral or written 

comments from interested persons. 

They questioned or disagreed with the 

Department’s position as presented in 

the NOPR only as to computer room air 

conditioners, variable speed equipment, 

and the test procedure for water source 

heat pumps. These comments are 

discussed in Section II. 

Energy conservation standard levels 

were not at issue in these proceedings. 

The NOPR merely proposed to 

incorporate into the Department’s 

regulations on efficiency requirements 

for small and large commercial package 

air conditioning and heating equipment 

the standard levels that had been 

established in Section 342(a) of EPCA 

for these products. Subsequent to 

issuance of the NOPR, in a separate 

proceeding, the Department 

promulgated a regulation (10 CFR part 

431, Subpart Q) to replace some of these 

levels by adopting as Federal standards 

some of the efficiency levels contained 

in amendments to ASHRAE/IES 

Standard 90.1. 66 FR 3336, 3354–55 

(January 12, 2001). These new Federal 

standards became effective on October 

29, 2003. 

C. Summary of the Direct Final Rule 

Today’s rule for commercial air 

conditioners and heat pumps includes: 

(1) Energy efficiency test procedures, (2) 

energy conservation standards, and (3) 

clarifications regarding EPCA’s 

coverage. 

The four test procedures incorporated 

in the rule—three ARI Standards and 

one ISO Standard—are listed at the 

beginning of this SUPPLEMENTARY

INFORMATION. In particular, for watersource heat pumps ISO Standard 

13256–1 is the prescribed testing 

methodology. (Incorporated by 

reference, see § 431.95). Furthermore, 

today’s direct final rule adopts ARI 

Standard 340/360–2000 both without 

change as the test procedure for 

equipment with cooling capacities from 

135,000 to 240,000 Btu per hour, and 

also with modifications (taken from ARI 

Standard 210/240–2003) as the test 

procedure for equipment at or above 

65,000 but less than 135,000 Btu per 

hour. These modifications will ensure 

the proper testing of equipment: (1) 

With desuperheater/water heating 

devices, (2) manufactured without 

indoor air-circulating fans, (3) with 

indoor fans, and not made for use with 

field-installed duct systems (free 

discharge), or (4) that is water-cooled. 

Section II. discusses the modifications 

in detail. 

As described in the Discussion 

section below, this rule will adopt the 

most recent versions of the ARI test 

standards as referenced above. These 

revisions occurred subsequent to the 

publication of the NOPR on August 9, 

2000. By adopting the revised ARI test 

standards, with certain modifications, 

this rule will be current with industry 

test standards and it will ensure that the 

equipment covered by this rule is tested 

properly. However, because there has 

not been prior opportunity for comment 

on these revisions, stakeholders will be 

given such an opportunity as described 

at the beginning of this notice. 

The Department has included the 

conservation standards so that they and 

the test procedures for commercial air 

conditioners and heat pumps will be in 

the same place in our regulations. The 

standards are the currently applicable 

minimum energy efficiency levels 

prescribed by Section 342(a) of EPCA, as 

well as the amendments to certain of 

these levels, referred to above. The 

amendments are being transferred from 

10 CFR part 431 Subpart Q.2

Because the Department believes that 

EPCA neither prescribes nor mandates 

efficiency standards or test procedures 

for computer room air conditioners, 

today’s direct final rule does not cover 

this product. Nor does the rule include 

efficiency standards that account for 

partial load performance for commercial 

air conditioning equipment, except to 

restate those Seasonal Energy Efficiency 

Ratio (SEER) and Heating Seasonal 

Performance Factor (HSPF) standards 

already prescribed by EPCA for certain 

equipment less than 65,000 Btu per 

hour, since as to efficiency standards 

the purpose of today’s rule is merely to 

incorporate existing requirements. 

Finally, today’s rule provides neither 

methods for manufacturers to certify to 

us the efficiency of commercial central 

air conditioners and heat pumps, nor 

enforcement and other administrative 

provisions for this equipment. The 

Department proposed regulations on 

these subjects, for air conditioning and 

certain other commercial equipment, in 

a notice of proposed rulemaking on 

December 13, 1999. 64 FR 69597. Until 

the Department adopts such regulations, 

the provisions of EPCA will govern 

directly the enforcement and 

administration of efficiency 

requirements for commercial air 

conditioning equipment. The provisions 

currently in Part 431 will not apply to 

these products.

II. Discussion 

The following discussion is divided 

into two sections: (1) Section II.A 

discusses the test procedures, which 

ARI revised following publication of the 

NOPR, for equipment other than watersource heat pumps; and (2) section II.B 

discusses the issues raised by oral or 

written comments received in response 

to the NOPR. 


EE-RM-TP-99-460 COMMENT 07
Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61965

A. Test Procedures for All Commercial 

Air-Conditioning Equipment Other 

Than Water-Source Heat Pumps 

1. Adoption of Current Versions of ARI 

Test Procedures 

In the NOPR published on August 9, 

2000, the Department proposed to adopt 

ARI Standard 210/240–94 and ARI 

Standard 340/360–93 for commercial 

and industrial unitary air conditioning 

and heat pump equipment, and ARI 

Standard 310/380–93 for packaged 

terminal air-conditioners and heat 

pumps. ARI Standard 210/240–94 

covers equipment with cooling 

capacities under 135,000 Btu per hour 

while ARI Standard 340/360–93 covers 

equipment with cooling capacities 

greater than or equal to 135,000 Btu per 

hour. 

Since publication of the NOPR, ARI 

has issued new versions of these test 

standards. ARI Standard 210/240–2003 

has superceded ARI Standard 210/240–

94, ARI Standard 340/360–2000 has 

superceded ARI Standard 340/360–93, 

and ARI Standard 310/380–2004 has 

superceded ARI Standard 310/380–93. 

The changes ARI made to its test 

standards are primarily editorial in 

nature, and alter neither efficiency test 

methods, nor calculation procedures, 

nor measured efficiencies for the 

equipment being tested, with one 

notable exception: Equipment with 

cooling capacities from 65,000 to 

135,000 Btu per hour which were 

covered by ARI Standard 210/240 are 

now covered by ARI Standard 340/360. 

For all other equipment, the 

Department is adopting the most recent 

versions of the ARI test standards in 

today’s direct final rule, without change. 

These new versions are more readily 

available than the older versions and are 

included in the rule for the convenience 

of the affected parties. Also, to the 

extent the current versions are 

considered amendments to the ARI test 

procedures, their adoption will render 

the DOE test procedure ‘‘consistent with 

the amended industry test procedure,’’

in accordance with 42 U.S.C. 

6314(a)(4)(B). As detailed below (section 

II.A.2.), the Department is adopting ARI 

Standard 340/360–2000, but with 

certain modifications, for equipment 

with a cooling capacity from 65,000 to 

135,000 Btu per hour, to ensure that the 

test procedure in today’s direct final 

rule allows for the proper testing of such 

equipment. 

2. Test Procedure for Commercial and 

Industrial Unitary Air-Conditioning and 

Heat Pump Equipment With Cooling 

Capacities From 65,000 to 135,000 Btu 

Per Hour 

The most significant outcome of ARI’s 

revisions of its test standards has been 

to amend the test procedure for 

equipment with cooling capacities from 

65,000 to 135,000 Btu per hour, by 

replacing ARI Standard 210/240 with 

ARI Standard 340/360. Under 42 U.S.C. 

6314(a)(4)(B), the Department must 

adopt the industry’s amended test 

procedure unless there is ‘‘clear and 

convincing’’ evidence that to do so 

would result in a test procedure which 

produces results that do not reflect the 

energy efficiency of the equipment or 

which would be unduly burdensome to 

conduct. 

Although the organization and 

language of ARI Standards 340/360–

2000 and 210/240–94 differ 

substantially, for the most part the 

substance of the efficiency test method 

and calculation procedures in the two 

standards is the same. In addition, the 

test method in Standard 340/360–2000 

improves upon the method in 210/240–

94 in that Standard 340/360–2000 

provides a clarification of the test 

conditions used to rate air conditioning 

equipment with optional outdoor air 

cooling coils. ARI Standard 340/360, 

however, lacks certain provisions that 

are in ARI Standard 210/240, and for 

certain types of equipment with cooling 

capacities from 65,000 to 135,000 Btu 

per hour, these omissions represent a 

substantial change in the test procedure. 

The Department has determined that, 

due to these omissions, ARI Standard 

340/360–2000 clearly would not 

produce test results that would 

accurately reflect the equipment’s 

measured efficiency. As a result, for 

equipment with cooling capacities from 

65,000 to 135,000 Btu per hour, the 

Department is adopting ARI Standard 

340/360–2000, as modified, by adding 

concepts and language from ARI 

Standard 210/240–2003 to ensure that 

the test procedure in today’s direct final 

rule accurately measures the efficiency 

of all such equipment. 

The following sets forth the reasons 

why ARI Standard 340/360–2000 is 

inadequate to test this equipment, and 

the modifications which the Department 

is incorporating into its test procedure 

to correct these deficiencies: 

• Equipment with a Desuperheater/

Water Heating Device: ARI Standard 

340/360–2000 does not address the 

rating of equipment with desuperheater/

water heating devices. The energy 

efficiency test results for such 

equipment will vary depending on 

whether the desuperheater/water 

heating device is left in operation. To 

ensure consistent and accurate test 

results for units equipped with a 

desuperheater/water heating device, 

today’s test procedure provides that 

such equipment must be rated while the 

device is inoperative, consistent with 

Section 2.2.5 of ARI Standard 210/240–

2003. To provide clarity, the rule 

language characterizes a desuperheater/

water heating device as a refrigerant-towater heat exchanger to heat domestic 

water. 

• Models Manufactured Without 

Indoor Air-Circulating Fans: ARI 

Standard 340/360–2000 fails to include 

provisions to account for the input 

power of the indoor air-circulating fan 

for units which do not have such fans 

furnished as part of the model. Because 

these units are always installed and 

operated with such fans, by not 

providing for the input power of the 

indoor fan, the test procedure would 

underestimate the overall input power 

of the unit, thereby resulting in an 

energy efficiency rating which would be 

higher than it otherwise would be if the 

indoor fan input power were included. 

To ensure that the effects of aircirculation fans on equipment capacity 

and input power are accounted for in 

units which do not have indoor aircirculating fans furnished as part of the 

model, the Department is incorporating 

with minor editorial modifications a 

portion of Section 6.1 and the full text 

of Section 6.1.3.3c. of ARI Standard 

210/240–2003 into its test procedure for 

equipment with cooling capacities from 

65,000 to 135,000 Btu per hour. 

The following is the language being 

incorporated from Section 6.1: 

‘‘Standard Ratings of units which do not 

have indoor air-circulating fans 

furnished as part of the model, i.e., split 

systems with indoor coil alone, shall be 

established by subtracting for the total 

cooling capacity 1,250 Btu/h per 1,000 

cfm [775 W/m3/s], and by adding the 

same amount to the heating capacity. 

Total power input for both heating and 

cooling shall be increased by 365 W per 

1,000 cfm [226 W/m3/s] of indoor air 

circulated.’’

The full text of section 6.1.3.3c, 

modified to reference the appropriate 

section in ARI Standard 340/360–2000, 

states: ‘‘Equipment which does not 

incorporate an indoor fan, but is rated 

in combination with a device employing 

a fan shall be rated as described in 

6.1.3.2a of 340/360–2000. For 

equipment of this class which is rated 

for general use to be applied to a variety 

of heating units, the indoor-coil airflow 

rate shall be specified by the 


EE-RM-TP-99-460 COMMENT 07
61966 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

3A notation in this form identifies a written 

comment the Department received in this 

rulemaking subsequent to issuance of the NOPR. 

This notation refers to a comment (1) by ARI, (2) 

in document number 2EE in the docket in this 

matter, and (3) appearing at pages 2–4 of document 

number 2EE.

manufacturer in Standard Ratings, not 

to exceed 37.5 SCFM/1,000 Btu/h [0.06 

m3/s per 1,000 W] of rated capacity or 

the airflow rate obtained through the 

indoor coil assembly when the pressure 

drop across the indoor coil assembly 

and the recommended enclosures and 

attachment means is not greater than 

0.30 inch of water [75 Pa], whichever is 

less.’’

• Equipment with Indoor Fans, Not 

Made for Use With Field Installed Duct 

Systems: ARI Standard 340/360–2000 

does not provide external pressure 

specifications for units with indoor fans 

not intended for use with field-installed 

duct systems (free discharge). Without 

explicit provisions, these units would 

be tested with an external pressure 

greater than 0 inches of water. The 

resultant power input for the indoor fan 

would be greater than it otherwise 

should be, thereby resulting in a 

measured energy efficiency lower than 

it otherwise should be. To ensure that 

equipment with indoor fans not 

intended for use with field-installed 

duct systems (free discharge) are tested 

with the appropriate external pressure, 

the Department is incorporating with 

minor editorial modifications the full 

text of Section 6.1.3.3b and a portion of 

Section 6.1.3.6 of ARI Standard 210/

240–2003 into its test procedure for 

equipment with cooling capacities from 

65,000 to 135,000 Btu per hour. 

The full text of section 6.1.3.3b states: 

‘‘Equipment with indoor fans not 

intended for use with field installed 

duct systems (free discharge) shall be 

rated at the indoor-coil airflow rate 

delivered when operating at 0 in [sic] 

H2O [0 Pa] external pressure as specified 

by the manufacturer.’’

The language incorporated from 

Section 6.1.3.6 states: ‘‘Indoor airmoving equipment not intended for use 

with field installed duct systems (free 

discharge) shall be tested at 0 in [sic] 

H2O [0 Pa] external pressure.’’

• Water-Cooled Equipment: ARI 

Standard 340/360–2003 does not 

include an allowance for the power 

inputs for the cooling tower fan and 

circulating water pump motors for 

water-cooled units. By not including the 

input power of the fan and pump, the 

overall input power of the unit would 

be underestimated, thereby resulting in 

an energy efficiency rating which would 

be higher than it otherwise should be if 

the power inputs of the fan and pump 

were included. To ensure that watercooled units include a total allowance 

for cooling tower fan and circulating 

water pump motor power inputs, the 

Department is incorporating with minor 

editorial modifications the following 

portion of Section 6.1 of ARI Standard 

210/240–2003 into its test procedure: 

‘‘Standard Ratings of water-cooled units 

shall include a total allowance for 

cooling tower fan motor and circulating 

water pump power inputs to be added 

in the amount of 10.0 W per 1,000 Btu/

h [34.1 W per 1,000 W] cooling 

capacity.’’

3. Effect of Amended Test Procedures 

on Measured Energy Efficiency 

In accordance with 42 U.S.C. 6293(e), 

the Department has determined that 

none of the test procedure changes 

specified in the foregoing section alter 

the measured efficiency of equipment 

with cooling capacities from 65,000 to 

135,000 Btu per hour. 

B. Test Procedure for Water-Source Heat 

Pumps 

1. Background 

At the time the NOPR was published, 

ASHRAE/IES Standard 90.1 specified 

ARI Standard 320, ‘‘Water-Source Heat 

Pumps,’’ as the test procedure for watersource heat pumps. Standard 90.1 also 

provided that, effective October 29, 

2001, efficiency levels would increase 

for this equipment, and ISO Standard 

13256–1, ‘‘Water-Source Heat Pumps—

Testing and Rating for Performance—

Part 1: Water-to-Air and Brine-to-Air 

Heat Pumps,’’ would replace ARI 

Standard 320 as the applicable test 

procedure. In the NOPR, the Department 

expressed its intention to prescribe ARI 

Standard 320–98 as the Department test 

procedure for water-source heat pumps, 

and to consider adopting the ISO 

standard to replace the ARI standard in 

a subsequent proceeding. The 

Department also solicited comments, 

however, on the possibility of adopting 

the ISO standard, instead of the ARI 

standard, in the final rule in this 

proceeding. 

ARI provided oral comments during 

the Public Hearing on September 21, 

2000, and written comments dated 

September 14, 2000, and October 25, 

2000. The September 14 comments 

provided an overview of the differences 

between ARI Standard 320 and ISO 

Standard 13256–1. (ARI, No. 2EE, at 2–

4) 3 In its October 25 comments, ARI 

urged adoption of the ISO standard in 

the direct final rule. (ARI, No. 5, at 1–

3) ARI cited international acceptance of 

the standard, ASHRAE’s intention to 

adopt it through an addendum process 

in ASHRAE Standard 90.1 with an 

immediate effective date, and the use of 

the ISO standard in the ARI certification 

program. ARI provided test data on 15 

water-source heat pumps tested under 

the two test procedures. The data 

showed that the EERs for a unit derived 

from the two test procedures are on 

average about the same, while the 

heating coefficient of performance 

(COP) is on average about 2.2% higher 

with the ISO test procedure.

Subsequently, in a final rule 

published on January 12, 2001, the 

Department amended EPCA’s minimum 

efficiency levels for water-source heat 

pumps, adopting the new minimum 

efficiency levels stipulated by ASHRAE/

IES Standard 90.1. 66 FR at 3354–55. 

These new efficiency levels apply as 

Federal requirements to all equipment 

manufactured after October 29, 2003. As 

mentioned above, ASHRAE/IES 

Standard 90.1 had been amended 

effective October 29, 2001, to specify 

ISO Standard 13256–1 (in place of ARI 

Standard 320) as the test procedure for 

water-source heat pumps, to provide a 

new method for determining 

compliance with these new efficiency 

levels under Standard 90.1. Because 

these levels are now also Federal 

requirements, the Department decided 

to address in today’s direct final rule 

whether it will adopt the ISO test 

procedure for water source heat pumps. 

EPCA in essence directs the 

Department to revise its test procedure 

to be consistent with an amendment to 

an industry testing or rating procedure, 

unless the Department determines that 

the new procedure is ‘‘unduly 

burdensome to conduct’’ or is not 

‘‘reasonably designed to produce test 

results which reflect energy efficiency, 

energy use and estimated operating 

costs.’’ (42 U.S.C. 6314(a)(2) and (4)(B)) 

Additionally, the Department must 

determine ‘‘to what extent, if any, the 

proposed [amended] test procedure 

would alter the measured energy 

efficiency * * * as determined under 

the existing test procedure.’’ (42 U.S.C. 

6293(e) and 6314(a)(4)(C)) 

2. Discussion 

The Department’s examination of the 

ISO test procedure indicates that ISO 

Standard 13256–1 requires laboratory 

facilities and instrumentation and a 

level of effort similar to what ARI 

Standard 320 requires. In addition, 

ARI’s comments urging DOE to adopt 

ISO Standard 13256–1 demonstrate that 

DOE’s adoption of that standard has 

substantial support from industry. In 

addition, DOE did not receive any other 

comments concerning the adoption of 

ISO Standard 13256–1. Thus, the 

Department has determined that the ISO 


EE-RM-TP-99-460 COMMENT 07
Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61967

standard apparently is not unduly 

burdensome to use. Considering the 

data provided in the ARI comments, 

which indicate that results obtained 

from tests under ISO Standard 13256–1 

are comparable to those obtained under 

ARI Standard 320, the Department also 

concludes that the ISO standard meets 

the statutory requirement that a test 

procedure be ‘‘reasonably designed to 

produce test results which reflect energy 

efficiency.’’

3. Effect of Amended Test Procedures 

on Measured Energy Efficiency 

As to rulemakings to amend test 

procedures, section 323(e) of EPCA, 42 

U.S.C. 6293(e), provides that DOE shall 

determine whether the amended test 

procedure would alter measured energy 

efficiency of any covered product. If the 

amendment does alter measured 

efficiency, the Secretary must determine 

the average efficiency level under the 

new test procedure of products that 

minimally complied with the applicable 

energy conservation standard prior to 

the test procedure amendment, and 

must set the standard at that level. (42 

U.S.C. 6293(e)(2)) In addition, any 

existing model of a product that 

complied with the previously applicable 

standard would be deemed to comply 

with the new standard. (42 U.S.C. 

6293(e)(3)) These provisions prevent 

changes in a test procedure from 

indirectly altering the applicable 

Federal energy conservation standard. 

They also prevent products that 

complied with standards using the 

previous test procedure from being 

forced out of compliance by the new test 

procedure. The Department has 

determined that under the provisions of 

42 U.S.C. 6293(e) that the Department’s 

adoption here of ISO Standard 13256–

1 would not alter the measured energy 

efficiency of water source heat pumps 

under the existing test procedure.

As discussed above, higher minimum 

efficiency levels for water source heat 

pumps went into effect under ASHRAE/

IES Standard 90.1 on October 29, 2001, 

and as Federal requirements on October 

29, 2003. ASHRAE adopted the ISO test 

procedure as of the former date, so that 

this test procedure would apply in 

determining compliance with the new 

standards. Further, the Department 

understands that the new standards 

were developed based on measurements 

using the ISO test procedure. 

The new energy conservation 

standards that are in effect were 

developed using ISO Standard 13256–1, 

and ASHRAE clearly intended that the 

ISO test procedure be used to measure 

compliance with these standards. Thus, 

using ARI Standard 320 to determine 

whether manufacturers are meeting the 

new standards would produce 

inaccurate results. Only ISO Standard 

13256–1 can accurately implement the 

new standards. 

Furthermore, even if today’s 

amendments do change the energy 

efficiency rating of any model and 

would prevent it from complying with 

the current energy conservation 

standards, the standard for that model 

became more stringent on October 29, 

2003, and today’s amendments are 

designed to implement the new 

standard. This renders irrelevant the 

model’s ability or inability to comply 

with the current or former standards 

based on efficiency determinations 

under the existing test procedure. Thus, 

a change resulting from today’s 

amendments to the test procedure could 

simply mean that the product in 

question does not meet the new 

efficiency standard. 

In conclusion, today’s rule provides 

that ISO Standard 13256–1 will be the 

sole test procedure under EPCA for 

water source heat pumps. This 

requirement is directly set forth in new 

section 431.262. It is also reflected in 

new section 431.271, which prescribes 

energy conservation standards, by 

incorporation of 30 °C (86 °F) as the 

entering water temperature at which 

EER must be rated, in place of the 85 °F 

temperature that was included in 

Subpart Q of 10 CFR which is being 

eliminated in another final action 

published today. 

C. Products Not Covered in This 

Rulemaking 

1. Computer Room Air-Conditioners and 

Heat Pumps 

Mr. B. Subherwal of BR Laboratories 

spoke in favor of covering computer 

room air conditioners under this rule. 

He advocated using ASHRAE Standard 

127–88 for testing because computer 

room air-conditioners in field 

applications perform at different 

conditions than those specified in any 

ARI standard. 

The Department’s view remains that 

computer room air conditioners are not 

currently covered by the standards and 

test procedures prescribed and 

mandated by EPCA. The reasons 

supporting this view—the primary one 

being that Congress appears not to have 

intended to cover this type of 

equipment—were presented in detail in 

Section II of the NOPR. As also set forth 

in the NOPR, if some of the relevant 

circumstances were to change—if, for 

example, ASHRAE Standard 90.1 were 

to incorporate efficiency standards and 

test procedures for this equipment or 

the equipment was to become widely 

used for conventional air conditioning 

applications—the Department might revisit this issue. 

2. Equipment With a Variable-Speed 

Drive 

Mitsubishi Electronics America, Inc., 

submitted a written comment dated 

October 20, 2000, which recommended 

that part load performance be 

considered in evaluating the efficiency 

of inverter-driven equipment because it 

rarely operates at full load (typically 

less than 1% of the time). (Mitsubishi, 

No. 4, at 1–2). The comment suggested 

a procedure presented in ARI Standard 

550/590–1998, Appendix D, D3, to be 

used for evaluating an Integrated Part 

Load Value. Further, the letter 

contended that incorporating a 

procedure similar to that presented in 

ARI Standard 550/590–1998 would 

encourage manufacturers to incorporate 

this advanced technology into their 

product line, and this would improve 

National Energy Savings. 

This comment essentially advocates 

that the Department establish efficiency 

standards and a performance descriptor 

that address part load performance of 

commercial air conditioning equipment. 

A similar comment was submitted to us 

earlier and is discussed in the NOPR. 65 

FR 48831–3. As indicated there, with 

regard to efficiency standards the 

purpose of this rulemaking is to 

incorporate the requirements already 

imposed under EPCA (including any 

amendments by the Department to the 

standards established by EPACT). These 

requirements incorporate standards for 

part load performance only for small 

commercial, air-cooled package airconditioning equipment having cooling 

capacity less than 65,000 Btu/h, which 

are included in today’s rule. Therefore, 

Mitsubishi’s suggestion that the 

Department prescribe efficiency 

standards for the part load performance 

of other air conditioning products is 

beyond the scope of this rulemaking. 

Nevertheless, as the Department 

recently stated when the Department 

addressed amendment of the standards 

established by EPACT, the Department 

will consider including integrated part 

load values in any prospective 

rulemaking for air conditioning 

equipment. 66 FR 3348. 

III. Final Action 

DOE is publishing this direct final 

rule in order to allow stakeholders an 

opportunity to comment on revisions to 

this rule that have not had prior 

proposal. The direct final action will be 

effective December 20, 2004, unless 

significant adverse or critical comments 


EE-RM-TP-99-460 COMMENT 07
61968 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

are received by November 22, 2004. 

DOE views these revisions as 

noncontroversial and anticipates no 

significant adverse comments. However, 

in the event that significant adverse or 

critical comments are filed, DOE will 

withdraw the rule before the effective 

date. In the case of withdrawal of this 

action, the withdrawal will be 

announced by a subsequent Federal 

Register document. All public 

comments will then be addressed in a 

separate proposed rule which will be 

issued at a later date. Any parties 

interested in commenting on this rule 

should do so at this time. If no 

significant adverse comments are 

received, the public is advised that this 

rule will be effective December 20, 

2004.

IV. Procedural Requirements 

A. Review Under Executive Order 12866 

The Office of Information and 

Regulatory Affairs of the Office of 

Management and Budget (OMB) has 

determined that today’s regulatory 

action is not a ‘‘significant regulatory 

action’’ under Executive Order 12866, 

‘‘Regulatory Planning and Review,’’ 58 

FR 51735 (October 4, 1993). 

Accordingly, this action was not subject 

to review under the Executive Order. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

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

of an initial regulatory flexibility 

analysis 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 General 

Counsel’s Web site: http://

www.gc.doe.gov.

DOE reviewed today’s rule under the 

provisions of the Regulatory Flexibility 

Act, and certified in the NOPR that the 

proposed rule would not impose a 

significant economic impact on a 

substantial number of small entities. (65 

FR 48828, 48833 (August 9, 2000)) We 

received no comments on this issue, and 

after considering the potential small 

entity impact of this direct final rule, 

DOE affirms the certification that this 

rule will not have a significant 

economic impact on a substantial 

number of small entities. Accordingly, 

DOE has not prepared a regulatory 

flexibility analysis for this rulemaking. 

DOE will transmit the certification and 

supporting statement of factual basis to 

the Chief Counsel for Advocacy of the 

Small Business Administration for 

review pursuant to 5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act 

This rulemaking will impose no new 

information or record keeping 

requirements. Accordingly, OMB 

clearance is not required under the 

Paperwork Reduction Act (44 U.S.C. 

3501 et seq.) 

D. Review Under the National 

Environmental Policy Act 

DOE has determined that this rule 

falls into a class of actions that are 

categorically excluded from review 

under the National Environmental 

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

seq.) and the Department’s 

implementing regulations at 10 CFR part 

1021. Specifically, this rule amends an 

existing rule without changing the 

environmental effect of the rule being 

amended, and, therefore, is covered by 

the Categorical Exclusion in paragraph 

A5 to subpart D, 10 CFR part 1021. 

Accordingly, neither an environmental 

assessment nor an environmental 

impact statement is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’

64 FR 43255 (August 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 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 today’s rule 

and has determined that it does not 

preempt State law and does not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. No further action 

is required by Executive Order 13132. 

F. Review Under Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform’’ (61 FR 4729, February 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; and 

(3) provide a clear legal standard for 

affected conduct rather than a general 

standard and promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in section 3(a) and section 

3(b) to determine whether they are met 

or it is unreasonable to meet one or 

more of them. DOE has completed the 

required review and determined that, to 

the extent permitted by law, this rule 

meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995. 

Title II of the Unfunded Mandates 

Reform Act of 1995 (Pub. L. 104–4) 

requires each Federal agency to assess 

the effects of Federal regulatory actions 

on State, local, and tribal governments 

and the private sector. With respect to 

a proposed regulatory action that may 

result in the expenditure by State, local 

and tribal governments, in the aggregate, 

or by the private sector of $100 million 

or more (adjusted annually for 

inflation), section 202 of the Act 

requires a Federal agency to publish 

estimates of the resulting costs, benefits, 

and other effects on the national 

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

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 


EE-RM-TP-99-460 COMMENT 07
Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61969

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 the Act (62 FR 

12820) (also available at http://

www.gc.doe.gov). The rule published 

today does not contain any Federal 

mandate, so these requirements do not 

apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

rule would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

I. Review Under Executive Order 12630 

DOE has determined pursuant to 

Executive Order 12630, ‘‘Governmental 

Actions and Interference with 

Constitutionally Protected Property 

Rights,’’ 53 FR 8859 (March 18, 1988) 

that this regulation would not result in 

any takings which might require 

compensation under the Fifth 

Amendment to the United States 

Constitution.

J. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

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 (February 22, 2002), and 

DOE’s guidelines were published at 67 

FR 62446 (October 7, 2002). DOE has 

reviewed today’s notice under the OMB 

and DOE guidelines and has concluded 

that it is consistent with applicable 

policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

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

22, 2001) requires Federal agencies to 

prepare and submit to the Office of 

Information and Regulatory Affairs 

(OIRA), Office of Management and 

Budget, 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 regulatory action would not 

have a significant adverse effect on the 

supply, distribution, or use of energy 

and, therefore, is not a significant 

energy action. Accordingly, DOE has not 

prepared a Statement of Energy Effects. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

The Department stated in the NOPR 

the reasons why 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, does not apply to 

the four ARI commercial standards 

incorporated into the proposed rule. 

The Department received no comments 

on this issue. 

The rule published today incorporates 

updated versions of three of these ARI 

standards, as well as an ISO standard 

referenced in Standard 90.1 in place of 

the fourth ARI standard. The 

Department continues to adhere to the 

view expressed in the NOPR that 

Section 32 of the FEAA does not apply 

to these four standards. However, for 

equipment at or above 65,000 but less 

than 135,000 Btu per hour, the 

Department is adopting one of these ARI 

standards with modifications drawn 

from another one of these ARI standards 

DOE is incorporating in today’s rule. 

These modifications consist of test 

methods that EPCA currently requires 

manufacturers to use. (42 U.S.C. 

6314(a)(4)(a)) The Department believes 

that Section 32 of the FEAA does not 

apply to its decision to require 

manufacturers to continue to use these 

test methods. 

M. Congressional Notification 

As required by 5 U.S.C. 801, DOE will 

report to Congress on the promulgation 

of today’s rule prior to its effective date. 

The report will state that it has been 

determined that the rule is not a ‘‘major 

rule’’ as defined by 5 U.S.C. 804(2). 

N. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of today’s rule.

List of Subjects in 10 CFR Part 431 

Administrative practice and 

procedure, Commercial products, 

Energy conservation, Incorporation by 

reference.

Issued in Washington, DC, on July 27, 

2004. 

David K. Garman, 

Assistant Secretary, Energy Efficiency and 

Renewable Energy.

■ For the reasons set forth in the 

preamble, part 431 of Chapter II of title 

10, Code of Federal Regulations, is 

amended, as set forth below:

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT

■ 1. The authority citation for Part 431 

continues to read as follows:

Authority: 42 U.S.C. 6311–6316.

■ 2. Subpart F is added to read as 

follows:

Subpart F—Commercial Air Conditioners 

and Heat Pumps 

Sec. 

431.91 Purpose and scope. 

431.92 Definitions concerning commercial 

air conditioners and heat pumps. 

Test Procedures 

431.95 Materials incorporated by reference. 

431.96 Uniform test method for 

measurement of the energy efficiency of 

small and large commercial package air 

conditioning and heating equipment, 

packaged terminal air conditioners, and 

packaged terminal heat pumps. 

Energy Efficiency Standards 

431.97 Energy efficiency standards and 

their effective dates.

Subpart F—Commercial Air 

Conditioners and Heat Pumps

§ 431.91 Purpose and scope. 

This subpart specifies test procedures 

and energy conservation standards for 

certain commercial air conditioners and 

heat pumps, pursuant to Part C of Title 

III of the Energy Policy and 

Conservation Act, as amended, 42 

U.S.C. 6311–6316.


EE-RM-TP-99-460 COMMENT 07
61970 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

§ 431.92 Definitions concerning 

commercial air conditioners and heat 

pumps. 

The following definitions apply for 

purposes of this subpart F, and of 

subparts J through M of this part. Any 

words or terms not defined in this 

section or elsewhere in this part shall be 

defined as provided in 42 U.S.C. 6311. 

Coefficient of Performance, or COP

means the ratio of the produced cooling 

effect of an air conditioner or heat pump 

(or its produced heating effect, 

depending on the mode of operation) to 

its net work input, when both the 

cooling (or heating) effect and the net 

work input are expressed in identical 

units of measurement. 

Energy Efficiency Ratio, or EER means 

the ratio of the produced cooling effect 

of an air conditioner or heat pump to its 

net work input, expressed in Btu/watthour. 

Heating seasonal performance factor, 

or HSPF means the total heating output 

of a central air-conditioning heat pump 

during its normal annual usage period 

for heating, expressed in Btu’s and 

divided by the total electric power 

input, expressed in watt-hours, during 

the same period. 

Large commercial package airconditioning and heating equipment

means air-cooled, water-cooled, or 

evaporatively cooled electrically 

operated, unitary central air 

conditioners and central airconditioning heat pumps for 

commercial application that are rated at 

or above 135,000 Btu per hour and 

below 240,000 Btu per hour (cooling 

capacity), and that are industrial 

equipment. 

Packaged terminal air conditioner

means a wall sleeve and a separate unencased combination of heating and 

cooling assemblies specified by the 

builder and intended for mounting 

through the wall, and that is industrial 

equipment. It includes a prime source of 

refrigeration, separable outdoor louvers, 

forced ventilation, and heating 

availability by builder’s choice of hot 

water, steam, or electricity. 

Packaged terminal heat pump means 

a packaged terminal air conditioner that 

utilizes reverse cycle refrigeration as its 

prime heat source, that has a 

supplementary heat source available, 

with the choice of hot water, steam, or 

electric resistant heat, and that is 

industrial equipment. 

Seasonal energy efficiency ratio or 

SEER means the total cooling output of 

a central air conditioner or central airconditioning heat pump, expressed in 

Btu’s, during its normal annual usage 

period for cooling and divided by the 

total electric power input, expressed in 

watt-hours, during the same period. 

Single package unit means any central 

air conditioner or central airconditioning heat pump in which all the 

major assemblies are enclosed in one 

cabinet. 

Small commercial package airconditioning and heating equipment

means air-cooled, water-cooled, 

evaporatively cooled, or water-source 

(not including ground water-source) 

electrically operated, unitary central air 

conditioners and central airconditioning heat pumps for 

commercial application which are rated 

below 135,000 Btu per hour (cooling 

capacity), and which are industrial 

equipment. 

Split system means any central air 

conditioner or central air conditioning 

heat pump in which one or more of the 

major assemblies are separate from the 

others. 

Test Procedures

§ 431.95 Materials incorporated by 

reference. 

(a) The Department incorporates by 

reference the following test procedures 

into subpart F of part 431. The Director 

of the Federal Register has approved the 

material listed in paragraph (b) of this 

section for incorporation by reference in 

accordance with 5 U.S.C. 552(a) and 1 

CFR part 51. Any subsequent 

amendment to this material by the 

standard-setting organization will not 

affect the Department test procedures 

unless and until the Department amends 

its test procedures. The Department 

incorporates the material as it exists on 

the date of the approval and a notice of 

any change in the material will be 

published in the Federal Register. 

(b) List of test procedures 

incorporated by reference.

(1) Air-Conditioning and Refrigeration 

Institute (ARI) Standard 210/240–2003 

published in 2003, ‘‘Unitary AirConditioning and Air-Source Heat 

Pump Equipment,’’ IBR approved for 

§ 431.96. 

(2) ARI Standard 340/360–2000 

published in 2001, ‘‘Commercial and 

Industrial Unitary Air-Conditioning and 

Heat Pump Equipment,’’ IBR approved 

for § 431.96.

(3) International Organization for 

Standardization (ISO) International 

Standard ISO 13256–1 published in 

1998, ‘‘Water-source heat pumps—

Testing and rating for performance—

Part 1: Water-to-air and brine-to-air heat 

pumps,’’ IBR approved for § 431.96. 

(4) ARI Standard 310/380–2004 

(CSA–C744–04) published in 2004, 

‘‘Standard for Packaged Terminal AirConditioners and Heat Pumps,’’ IBR 

approved for § 431.96. 

(c) Availability of references.

(1) Inspection of test procedures. You 

may inspect the test procedures 

incorporated by reference at: 

(i) National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/

federal_register/

code_of_federal_regulations/ 

ibr_locations.html.

(ii) U.S. Department of Energy, Office 

of Energy Efficiency and Renewable 

Energy, Hearings and Dockets, ‘‘Test 

Procedures and Efficiency Standards for 

Commercial Air Conditioners and Heat 

Pumps,’’ Docket No. EE–RM/TP–99–

460, 1000 Independence Avenue, SW., 

Washington, DC 20585. 

(2) Obtaining copies of test 

procedures. You may obtain a copy of 

the ARI standards from the AirConditioning and Refrigeration Institute, 

4301 North Fairfax Drive, Suite 425, 

Arlington, VA 22203, http://

www.ari.org/. You can purchase a copy 

of the ISO Standard 13256–1 from the 

International Organization for 

Standardization, Case Postale 56, CH–

1211, Geneva 20, Switzerland. http://

www.iso.ch/ or from the American 

National Standards Institute, 25 West 

43rd Street, New York, New York 

10036.

§ 431.96 Uniform test method for the 

measurement of energy efficiency of small 

and large commercial package air 

conditioning and heating equipment, 

packaged terminal air conditioners, and 

packaged terminal heat pumps. 

(a) Scope. This section contains test 

procedures you must follow if, pursuant 

to EPCA, you are measuring the energy 

efficiency of any small or large 

commercial package air-conditioning 

and heating equipment, packaged 

terminal air conditioner or packaged 

terminal heat pump. 

(b) Testing and Calculations.

Determine the energy efficiency of each 

covered product by conducting the test 

procedure(s) listed in the rightmost 

column of Table 1 of this section or the 

two rightmost columns of Table 2 of this 

section, that apply to the energy 

efficiency descriptor for that product, 

category, and cooling capacity.


EE-RM-TP-99-460 COMMENT 07
Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61971

TABLE 1 TO § 431.96.—TEST PROCEDURES FOR CERTAIN SMALL COMMERCIAL PACKAGE AIR CONDITIONING AND HEATING EQUIPMENT (ALL WATER-SOURCE EQUIPMENT AND OTHER EQUIPMENT LESS THAN 65,000 BTU/H), FOR LARGE

COMMERCIAL PACKAGE AIR CONDITIONING AND HEATING EQUIPMENT AND FOR PACKAGED TERMINAL AIR CONDITIONERS AND PACKAGED TERMINAL HEAT PUMPS

Product Category Cooling capacity Energy efficiency 

descriptor 

Use tests, conditions and 

procedures 1 in 

Small Commercial Packaged Air Conditioning 

and Heating Equipment 

Air Cooled, 3 Phase, AC 

and HP 

<65,000 Btu/h ................... SEER ................................ ARI Standard 210/240–

2003 

HSPF ................................. ARI Standard 210/240–

2003 

Water Cooled and Evaporatively Cooled AC <65,000 Btu/h ................... EER ................................... ARI Standard 210/240–

2003 

Water-Source HP .............. <135,000 Btu/h ................. EER ................................... ISO Standard 13256–1 

(1998) 

COP .................................. ISO Standard 13256–1 

(1998) 

Large Commercial Packaged Air Conditioning 

and Heating Equipment 

Air Cooled AC and HP ...... ≥135,000 Btu/h and 

<240,000 Btu/h.

EER ................................... ARI Standard 340/360–

2000 

COP .................................. ARI Standard 340/360–

2000 

Water Cooled AC .............. ≥135,000 Btu/h and 

<240,000 Btu/h.

EER ................................... ARI Standard 340/360–

2000 

Evaporatively Cooled AC .. ≥135,000 Btu/h and 

<240,000 Btu/h.

EER ................................... ARI Standard 340/360–

2000 

Packaged Terminal Air 

Conditioners and Heat 

Pumps 

AC and HP ........................ All ...................................... EER ................................... ARI Standard 310/380–

2004 

HP ..................................... All ...................................... COP .................................. ARI Standard 310/380–

2004 

1 Incorporated by reference, see § 431.95. 

TABLE 2 TO § 431.96.—TEST PROCEDURES FOR SMALL COMMERCIAL PACKAGE AIR CONDITIONING AND HEATING

EQUIPMENT ≥65,000 BTU/H AND <135,000 BTU/H (OTHER THAN WATER-SOURCE EQUIPMENT) 

Category 

Energy efficiency 

descriptor 

Use tests, conditions 

and procedures 1 in With these additional stipulations 2

Air Cooled AC and 

HP.

EER 

COP 

ARI Standard 340/

360–2000.

1. Models with a desuperheater/water heating device: Establish Standard Ratings 

of units equipped with a refrigerant-to-water heat exchanger to heat domestic 

water (i.e., a desuperheater), with the desuperheater not in operation. 

2. Models Manufactured Without Indoor Air- Circulating Fans: (a) Establish Standard Ratings of units which do not have indoor air circulating fans furnished as 

part of the model, i.e., split systems with indoor coil alone, by subtracting from 

the total cooling capacity 1,250 Btu/h per 1,000 cfm [775 W/m3/s], and by adding 

the same amount to the heating capacity. Increase total power input for both 

heating and cooling by 365 W per 1,000 cfm [226 W/m3/s] of indoor air circulated. 

(b) Equipment which does not incorporate an indoor fan, but is rated in combination 

with a device employing a fan, shall be rated as described in 6.1.3.2a of 340/

360–2000. For equipment of this class which is rated for general use to be applied to a variety of heating units, the indoor-coil airflow rate shall be (1) specified 

by the manufacturer in Standard Ratings, not to exceed 37.5 SCFM/1,000 Btu/h 

[0.06 m3/s per 1,000 W] of rated capacity, or (2) the airflow rate obtained through 

the indoor coil assembly when the pressure drop across the indoor coil assembly 

and the recommended enclosures and attachment means is not greater than 

0.30 inch of water [75 Pa], whichever is less. 


EE-RM-TP-99-460 COMMENT 07
61972 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

TABLE 2 TO § 431.96.—TEST PROCEDURES FOR SMALL COMMERCIAL PACKAGE AIR CONDITIONING AND HEATING

EQUIPMENT ≥65,000 BTU/H AND <135,000 BTU/H (OTHER THAN WATER-SOURCE EQUIPMENT)—Continued

Category 

Energy efficiency 

descriptor 

Use tests, conditions 

and procedures 1 in With these additional stipulations 2

Water Cooled AC .... EER ARI Standard 340/

360–2000.

3. Models with Indoor Fans, Not Made for Use With Field Installed Duct Systems:

(a) Equipment with indoor fans not made for use with field installed duct systems 

(free discharge) shall be rated at the indoor-coil airflow rate delivered when operating at 0 inches of water [0 Pa] external pressure as specified by the manufacturer. 

(b) Test indoor air-moving equipment not intended for use with field installed 

duct systems (free discharge) at 0 inches of water [0 Pa] external pressure. 

Evaporately Cooled 

AC.

EER ARI Standard 340/

360–2000.

4. Water cooled models: For Standard Ratings of water-cooled units add a total allowance for cooling tower fan motor and circulating water pump motor power inputs in the amount of 10.0 W per 1,000 Btu/h [34.1 W per 1,000 W] cooling capacity. 

1 Incorporated by reference, see § 431.95. 2The content of stipulations 1, 2(a), 2(b), 3(a), 3(b), and 4 is taken from Sections 2.2.5, 6.1, 6.1.3.3 (c), 6.1.3.3 (b), 6.1.3.6, and 6.1, respectively, of ARI Standard 210/240–2003. 

Energy Efficiency Standards

§ 431.97 Energy efficiency standards and 

their effective dates. 

Each commercial air conditioner or 

heat pump manufactured on or after 

January 1, 1994 (except for large 

commercial package air-conditioning 

and heating equipment, for which the 

effective date is January 1, 1995) must 

meet the applicable minimum energy 

efficiency standard level(s) set forth in 

Tables 1 and 2 of this section.

TABLE 1 TO § 431.97.—MINIMUM COOLING EFFICIENCY LEVELS

Product Category Cooling

capacity Sub-category 

Efficiency level 1

Products manufactured until

October 29, 2003 

Products manufactured on and after 

October 29, 2003 

Small Commercial 

Packaged Air Conditioning and Heating Equipment.

Air Cooled, 3 phase .. <65,000 Btu/h ........... Split System .............. SEER = 10.0 ............. SEER = 10.0. 

Single Package SEER = 9.7 ............... SEER = 9.7. 

Air Cooled ................. ≥65,000 Btu/h and 

<135,000 Btu/h.

All .............................. EER = 8.9 ................. EER = 8.9. 

Water Cooled Evaporatively Cooled and 

Water-Source.

<17,000 Btu/h ........... AC ............................. EER = 9.3 ................. EER = 12.1. 

HP ............................. EER = 9.3 ................. EER = 11.2. 

≥17,000 Btu/h and 

<65,000 Btu/h.

AC ............................. EER = 9.3 ................. EER = 12.1. 

HP ............................. EER = 9.3 ................. EER = 12.0. 

≥65,000 Btu/h and 

<135,000 Btu/h.

AC ............................. EER = 10.5 ............... EER = 11.5.2

HP ............................. EER = 10.5 ............... EER = 12.0. 

Large Commercial 

Packaged Air Conditioning and Heating Equipment.

Air Cooled ................. ≥135,000 Btu/h and 

<240,000 Btu/h.

All .............................. EER = 8.5 ................. EER = 8.5. 

Water-Cooled and 

Evaporatively 

Cooled.

≥135,000 and 

<240,000 Btu/h.

All .............................. EER = 9.6 ................. EER = 9.6.3


EE-RM-TP-99-460 COMMENT 07
Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61973

TABLE 1 TO § 431.97.—MINIMUM COOLING EFFICIENCY LEVELS—Continued

Product Category Cooling

capacity Sub-category 

Efficiency level 1

Products manufactured until

October 29, 2003 

Products manufactured on and after 

October 29, 2003 

Packaged Terminal 

Air Conditioners and 

Heat Pumps.

All .............................. <7,000 Btu/h ............. All .............................. EER = 8.88 ............... EER = 8.88.

≥7,000 Btu/h and 

≤15,000 Btu/h.

EER = 10.0 ¥ (0.16 

× capacity [in kBtu/

h at 95°F outdoor 

dry-bulb temperature]).

EER = 10.0 ¥ (0.16 

× capacity [in kBtu/

h at 95°F outdoor 

dry-bulb temperature]). 

>15,000 Btu/h ........... ................................... EER = 7.6 ................. EER = 7.6. 

1For equipment rated according to the ARI standards, all EER values must be rated at 95°F outdoor dry-bulb temperature for air-cooled products and evaporatively-cooled products and at 85°F entering water temperature for water-cooled products. For water-source heat pumps rated 

according to the ISO standard, EER must be rated at 30°C (86°F) entering water temperature. 2 Deduct 0.2 from the required EER for units with heating sections other than electric resistance heat. 

3Effective 10/29/2004, the minimum value becomes EER = 11.0. 

TABLE 2 TO § 431.97.—MINIMUM HEATING EFFICIENCY LEVELS

Product Category Cooling

capacity Sub-category 

Efficiency level 1

Products manufactured until

October 29, 2003 

Products manufactured on and after 

October 29, 2003 

Small Commercial 

Packaged Air Conditioning and Heating Equipment.

Air Cooled, 3 Phase .. <65,000 Btu/h ........... Split System .............. HSPF = 6.8 ............... HSPF = 6.8. 

Single Package ......... HSPF = 6.6 ............... HSPF = 6.6. 

Water-source ............. <135,000 Btu/h ......... Split System and Single Package.COP = 3.8 ................. COP = 4.2. 

Air Cooled ................. ≥65,000 Btu/h and 

<135,000 Btu/h.

All .............................. COP = 3.0 ................. COP = 3.0. 

Large Commercial 

Packaged Air Conditioning Package 

and Heating Equipment.

Air Cooled ................. ≥135,000 Btu/h and 

<240,000 Btu/h.

Split System and Single Package.COP = 2.9 ................. COP = 2.9. 

Packaged Terminal 

Heat Pumps.

All .............................. All .............................. All .............................. COP = 1.3+(0.16 ×

the applicable minimum cooling EER 

prescribed in Table 

1—Minimum Cooling Efficiency Levels).

COP = 1.3+(0.16 ×

the applicable minimum cooling EER 

prescribed in Table 

1—Minimum Cooling Efficiency Levels). 

1For units tested by ARI standards, all COP values must be rated at 47 °F outdoor dry-bulb temperature for air-cooled products, and at 70 °F 

entering water temperature for water-source heat pumps. For heat pumps tested by the ISO Standard 13256–1, the COP values must be obtained at the rating point with 20 °C (68 °F) entering water temperature. 


EE-RM-TP-99-460 COMMENT 07
61974 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

[FR Doc. 04–17731 Filed 10–20–04; 8:45 am] 

BILLING CODE 6450–01–P

DEPARTMENT OF ENERGY

Office of Energy Efficiency and 

Renewable Energy 

10 CFR Part 431

[Docket No. EE–RM/TP–99–480] 

RIN 1904–AA95

Energy Efficiency Program for Certain 

Commercial and Industrial Equipment: 

Test Procedures and Efficiency 

Standards for Commercial Water 

Heaters, Hot Water Supply Boilers and 

Unfired Hot Water Storage Tanks

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy.

ACTION: Direct final rule.

SUMMARY: Pursuant to Part C of title III 

of the Energy Policy and Conservation 

Act (EPCA), the Department of Energy 

(DOE or the Department) promulgates a 

rule prescribing test procedures to rate 

the energy efficiency of commercial 

water heaters and hot water supply 

boilers. For these products and unfired 

hot water storage tanks, the rule also 

prescribes relevant definitions and 

recodifies existing energy conservation 

standards, so that they are located 

contiguous with the test procedures that 

DOE promulgates today.

EFFECTIVE DATE: This direct final rule is 

effective December 20, 2004, unless 

significant adverse or critical comments 

are received by November 22, 2004. If 

the effective date is delayed, a timely 

notice will be published in the Federal 

Register. The incorporation by reference 

of certain publications listed in this rule 

is approved by the Director of the 

Federal Register as of December 20, 

2004.

ADDRESSES: You may submit comments, 

identified by docket number EE–RM/

TP–99–480 and/or RIN number 1904–

AA95, by any of the following methods: 

• Federal eRulemaking Portal: http://

www.regulations.gov. Follow the 

instructions for submitting comments. 

• E-mail: 

CommWaterHeatersDirectFinal

RuleComments@ee.doe.gov. Include EE–

RM/TP–99–460 and/or RIN 1904–AA9, 

in the subject line of the message. 

• Mail: Ms. Brenda Edwards-Jones, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

Direct Final Rule for Test Procedures 

and Efficiency Standards For 

Commercial Water Heaters, Hot Water 

Supply Boilers and UnFired Hot Water 

Storage Tanks; EE–RM/TP–99–480 and/

or RIN 1904–AA95, 1000 Independence 

Avenue, SW., Washington, DC 20585–

0121. Telephone: (202) 586–2945. 

Please submit one signed paper original. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards-Jones, U.S. Department of 

Energy, Building Technologies Program, 

Room 1J–018, 1000 Independence 

Avenue, SW., Washington, DC 20585. 

Instructions: All submissions received 

must include the agency name and 

docket number or Regulatory 

Information Number (RIN) for this 

rulemaking. 

Docket: For access to the docket to 

read background documents or 

comments received, go to the U.S. 

Department of Energy, Forrestal 

Building, Room 1J–018 (Resource Room 

of the Building Technologies Program), 

1000 Independence Avenue, SW., 

Washington, DC 20585, (202) 586–9127, 

between 9 a.m. and 4 p.m., Monday 

through Friday, except Federal holidays. 

Please call Ms. Brenda Edwards-Jones at 

the above telephone number for 

additional information regarding 

visiting the Resource Room. Please note: 

the Department’s Freedom of 

Information Reading Room (formerly 

Room 1E–190 at the Forrestal Building) 

is no longer housing rulemaking 

materials.

FOR FURTHER INFORMATION CONTACT:

Mohammed Khan, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Forrestal Building, 

EE–2J, 1000 Independence Avenue, 

SW., Washington, DC 20585–0121, (202) 

586–7892, FAX (202) 586–4617, e-mail: 

Mohammed.Khan@ee.doe.gov or 

Francine Pinto, Esq, U.S. Department of 

Energy, Office of General Counsel, 

Forrestal Building, GC–72, 1000 

Independence Avenue, SW., 

Washington, DC 20585, (202) 586–7432, 

e-mail: Francine.Pinto@ee.doe.gov.

SUPPLEMENTARY INFORMATION: This 

direct final rule incorporates, by 

reference, into subpart G of part 431, 

test methods contained in an industry 

test standard referenced by the 

American Society of Heating, 

Refrigerating, and Air-Conditioning 

Engineers, Inc. (ASHRAE) and the 

Illuminating Engineering Society of 

North America (IES) Standard 90.1 

(‘‘ASHRAE/IES Standard 90.1’’) for 

commercial water heaters and hot water 

supply boilers. The industry test 

standard is American National 

Standards Institute Standard Z21.10.3–

1998 (ANSI Z21.10.3–1998), ‘‘Gas Water 

Heaters Volume III Storage Water 

Heaters, with Input Ratings Above 

75,000 Btu per Hour, Circulating and 

Instantaneous, ANSI 21.10.3–1998, CSA 

4.3–M98, and its Addenda, ANSI 

Z21.103a–2000, CSA 4.3a–M00.’’ DOE is 

incorporating by reference the ‘‘Method 

of Test’’ subsections of sections 2.9 and 

2.10 in ANSI Z21.10.3–1998, CSA 4.3–

M98 and the sections referenced there, 

including sections 2.1.7, 2.3.3, 2.3.4, 

2.30 and Figure 3. 

Copies of these standards are 

available for review in the resource 

room of the Building Technologies 

Program, room 1J–018 at the U.S. 

Department of Energy, 1000 

Independence Avenue, SW., 

Washington, DC 20585, between the 

hours of 9 a.m. and 4 p.m., Monday 

through Friday, except Federal holidays. 

Please call Ms. Brenda Edwards-Jones at 

(202) 586–2945, for additional 

information regarding visiting the 

resource room. 

You can purchase copies of the 

ASHRAE Standard and the standard 

incorporated by reference from Global 

Engineering Documents, 15 Inverness 

Way East, Englewood, CO 80112,

http://global.ihs.com/.

I. Introduction 

A. Authority 

B. Background 

C. Summary of the Direct Final Rule 

II. Discussion 

A. General 

B. Commercial Instantaneous Water 

Heaters and Hot Water Supply Boilers—

Definitions and Scope of Coverage 

1. Instantaneous Water Heaters 

2. Hot Water Supply Boilers 

a. Definition—Use and Nature of the 

Product 

b. Definition—Maximum Input Rating 

c. Effective Date of Requirements 

C. Commercial Water Heaters and Hot 

Water Supply Boilers—Test Procedures 

for the Measurement of Energy Efficiency 

1. Gas-fired Water Heaters 

2. Booster Water Heaters 

3. Standby Loss Test Procedure 

4. Oil-fired Water Heaters 

5. Electric Water Heaters 

D. Commercial Unfired Hot Water Storage 

Tanks 

E. Effect of Amended Test Procedure on 

Measured Energy Efficiency 

III. Final Action 

IV. Procedural Requirements 

A. Review Under Executive Order 12866

B. Review Under the Regulatory Flexibility 

Act 

C. Review under the Paperwork Reduction 

Act 

D. Review Under the National 

Environmental Policy Act 

E. Review Under Executive Order 13132

F. Review Under Executive Order 12988

G. Review Under the Uniform Mandates 

Reform Act of 1995

H. Review Under the Treasury and General 

Government Appropriations Act, 1999

I. Review Under Executive Order 12630

J. Review Under the Treasury and General 

Government Appropriations Act, 2001


EE-RM-TP-99-460 COMMENT 07