Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 18105 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket No. EERE–2009–BT–TP–0004] 

RIN 1904–AB94 

Energy Conservation Program for 

Consumer Products: Test Procedures 

for Residential Central Air 

Conditioners and Heat Pumps 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Supplemental notice of 

proposed rulemaking. 

SUMMARY: The U.S. Department of 

Energy (DOE or the Department) 

proposes amendments to those it 

proposed to the DOE test procedures for 

residential central air conditioners and 

heat pumps released in a June 2010 

notice of proposed rulemaking (June 

2010 NOPR). The proposed 

amendments in this supplemental 

notice of proposed rulemaking (SNOPR) 

would change the off-mode laboratory 

test steps and calculation algorithm to 

determine off-mode power consumption 

for residential central air conditioners 

and heat pumps, as well as change the 

requirements for selection and metering 

of the low-voltage transformer used 

when testing coil-only residential 

central air conditioners and heat pumps. 

Additionally, the amendments proposed 

today provide a method of calculation to 

determine the energy efficiency ratio 

(EER) during cooling mode steady-state 

tests for use as a regional metric. 

Finally, today’s notice proposes 

amendments that would combine the 

two seasonal off-mode ratings of P1 and 

P2 for residential central air 

conditioners and heat pumps, as set 

forth in the June 2010 NOPR, to yield a 

single overall rating, PWOFF. 

DATES: DOE will accept comments, data, 

and other information regarding this 

supplemental notice of proposed 

rulemaking (SNOPR) no later than May 

2, 2011. See section 0, ‘‘Public 

Participation,’’ of this SNOPR for details. 

ADDRESSES: Interested parties may 

submit comments, identified by docket 

number EERE–2009–BT–TP–0004 or 

Regulation Identifier Number (RIN) 

1904–AB94, by any of the following 

methods: 

1. Federal eRulemaking Portal: 

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

instructions for submitting comments. 

2. E-mail: RCAC-HP-2009-TP0004@ee.doe.gov. Include the docket 

number EERE–2009–BT–TP–0004 and/ 

or RIN 1904–AB94 in the subject line of 

the message. 

3. Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. If 

possible, please submit all items on a 

compact disc (CD), in which case it is 

not necessary to include printed copies. 

Otherwise, please submit one signed 

paper original. 

4. Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza, SW., Suite 600, 

Washington, DC 20024. Telephone: 

(202) 586–2945. If possible, please 

submit all items on a CD, in which case 

it is not necessary to include printed 

copies. Otherwise, please submit one 

signed paper original. 

Instructions: No telefacsimilies (faxes) 

will be accepted. All submissions must 

include the docket number or RIN for 

this rulemaking. For detailed 

instructions on submitting comments 

and additional information on the 

rulemaking process, see section 0, 

‘‘Public Participation,’’ of this document. 

Docket: The docket is available for 

review at www.regulations.gov, 

including Federal Register notices, 

framework documents, public meeting 

attendee lists and transcripts, 

comments, and other supporting 

documents/materials. All documents in 

the docket are listed in the http:// 

www.regulations.gov index. However, 

not all documents listed in the index 

may be publicly available, such as 

information that is exempt from public 

disclosure. 

A link to the docket Web page can be 

found at: http://www1.eere.energy.gov/

buildings/appliance_standards/

residential/cac_heatpumps_new_

rulemaking.html. This Web page will 

contain a link to the docket for this 

notice on the Web site http:// 

www.regulations.gov. The http:// 

www.regulations.gov Web page will 

contain simple instructions on how to 

access all documents, including public 

comments, in the docket. See section 0, 

‘‘Public Participation,’’ for information 

on how to submit comments through 

regulations.gov. 

For further information on how to 

submit or review public comments or 

view hard copies of the docket in the 

Resource Room, contact Ms. Brenda 

Edwards at (202) 586–2945 or e-mail: 

Brenda.Edwards@ee.doe.gov. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Wes Anderson, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–7335. E-mail: 

Wes.Anderson@ee.doe.gov. 

Ms. Jennifer Tiedeman, U.S. 

Department of Energy, Office of the 

General Counsel, GC–71, 1000 

Independence Avenue, SW., 

Washington, DC 20585. Telephone: 

(202) 287–6111. E-mail: 

Jennifer.Tiedeman@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Authority and Background 

A. Authority 

B. Background 

II. Summary of the Proposal 

III. Discussion 

A. Test Methods and Calculations for OffMode Power and Energy Consumption of 

Residential Central Air Conditioners and 

Heat Pumps 

B. Selecting the Low-Voltage Transformer 

Used When Testing Coil-Only Central 

Air Conditioners and Heat Pumps and 

Required Metering of Low-Voltage 

Components During Off-Mode Test(s) 

C. Withdrawal of the Proposal To Add the 

New Regional Performance Metric SEER 

Hot-Dry 

D. Calculation of the Energy Efficiency 

Ratio for Cooling Mode Steady-State 

Tests 

E. Off-Mode Performance Ratings 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under 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 

V. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

A. Authority 

Title III, Part B of the Energy Policy 

and Conservation Act of 1975 (EPCA or 

the Act), Public Law 94–163 (42 U.S.C. 

6291–6309, as codified), established the 

Energy Conservation Program for 

Consumer Products Other Than 

Automobiles, a program covering most 

major household appliances, including 

the residential central air conditioners 

and heat pumps with rated cooling 

capacities less than 65,000 British 

thermal units per hour (Btu/h) that are 


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1For editorial reasons, upon codification in the 

U.S. Code, Part B was re-designated Part A. 

2The region specified as hot and dry for which 

this metric was proposed NOPR consists of Arizona, 

California, New Mexico, and Nevada. These States 

and the basis for their selection are described in the 

technical support document (TSD) prepared as part 

of the development of the residential central air 

conditioner and heat pump standards rulemaking. 

the focus of this notice.1 (42 U.S.C. 

6291(1)–(2), (21) and 6292(a)(3)) 

Under the Act, this program consists 

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

labeling; and (3) establishing Federal 

energy conservation standards. The 

testing requirements consist of test 

procedures that manufacturers of 

covered products must use as the basis 

for certifying to DOE that their products 

comply with applicable energy 

conservation standards adopted 

pursuant to EPCA and for representing 

the efficiency of those products. 

(42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) 

Similarly, DOE must use these test 

procedures in any enforcement action to 

determine whether covered products 

comply with these energy conservation 

standards. (42 U.S.C. 6295(s)) Under 42 

U.S.C. 6293, EPCA sets forth criteria and 

procedures for DOE’s adoption and 

amendment of such test procedures. 

Specifically, EPCA provides that ‘‘[a]ny 

test procedures prescribed or amended 

under this section shall be reasonably 

designed to produce test results which 

measure energy efficiency, energy use 

* * * or estimated annual operating 

cost of a covered product during a 

representative average use cycle or 

period of use, as determined by the 

Secretary [of Energy], and shall not be 

unduly burdensome to conduct.’’ 

(42 U.S.C. 6293(b)(3)) In addition, if 

DOE determines that a test procedure 

amendment is warranted, it must 

publish proposed test procedures and 

offer the public an opportunity to 

present oral and written comments on 

them. (42 U.S.C. 6293(b)(2)) Finally, in 

any rulemaking to amend a test 

procedure, DOE must determine ‘‘to 

what extent, if any, the proposed test 

procedure would alter the measured 

energy efficiency * * * of any covered 

product as determined under the 

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

6293(e)(1)) If DOE determines that the 

amended test procedure would alter the 

measured efficiency of a covered 

product, DOE must amend the 

applicable energy conservation standard 

accordingly. (42 U.S.C. 6293(e)(2)) The 

amendments proposed in today’s 

SNOPR will not alter the measured 

efficiency, as represented in the 

regulating metrics of seasonal energy 

efficiency ratio (SEER) and heating 

seasonal performance factor (HSPF) of 

residential central air conditioners and 

heat pumps. Thus, today’s proposed test 

procedure changes can be adopted 

without amending the existing 

standards. (42 U.S.C. 6293(e)(2)) 

On December 19, 2007, the President 

signed the Energy Independence and 

Security Act of 2007 (EISA 2007), Public 

Law 110–140, which contains numerous 

amendments to EPCA. Section 310 of 

EISA 2007 established that the 

Department’s test procedures for all 

covered products must account for 

standby mode and off-mode energy 

consumption. (42 U.S.C. 6295(gg)(2)(A)) 

In addition, section 306(a) of EISA 2007 

amended EPCA section 325(o)(6) to 

consider one or two regional standards 

for residential central air conditioners 

and heat pumps (among other products) 

in addition to a base national standard. 

(42 U.S.C. 6295(o)(6)(B)) Today’s 

SNOPR includes proposals relevant to 

these statutory provisions. 

DOE’s existing test procedures for 

residential central air conditioners and 

heat pumps adopted pursuant to these 

provisions appear under Title 10 of the 

Code of Federal Regulations (CFR) part 

430, subpart B, appendix M (‘‘Uniform 

Test Method for Measuring the Energy 

Consumption of Central Air 

Conditioners and Heat Pumps’’). These 

procedures establish the currently 

permitted means for determining annual 

energy efficiency and annual energy 

consumption of these products. 

B. Background 

DOE’s initial proposals for calculating 

a regional performance metric, 

estimating off-mode energy 

consumption, and selecting the lowvoltage transformer in the test procedure 

for residential central air conditioners 

and heat pumps were first shared with 

interested parties in a notice of 

proposed rulemaking published in the 

Federal Register on June 2, 2010 (June 

2010 NOPR) and at a public meeting at 

DOE headquarters in Washington, DC 

on June 11, 2010. 75 FR 31224. 

Comments received in response to the 

June 2010 NOPR, as well as a transcript 

of the public meeting are available at 

http://www.regulations.gov. DOE 

received comments from twelve 

interested parties on or before the 

closing date of the June 2010 NOPR 

public review period, August 16, 2010. 

These parties raised significant issues 

and suggested changes to the test 

procedure proposals in the 2010 June 

NOPR, described below. Based on these 

comments and laboratory testing 

conducted by DOE, DOE’s position on 

these topics has evolved. Today’s 

SNOPR shares DOE’s current position 

on the test procedure for residential 

central air conditioners and heat pumps, 

and provides interested parties with a 

second opportunity to comment. 

II. Summary of the Proposal 

Today’s SNOPR revisits three issues 

proposed in the June 2010 NOPR: (1) 

Test methods and calculations for offmode power and energy consumption; 

(2) the selection and metering of the 

low-voltage transformer used when 

testing coil-only units; and (3) the use 

of a regional SEER Hot-Dry metric.2

75 FR 31238–42. Today’s SNOPR also 

proposes two additional items not 

covered in the June 2010 NOPR: (1) 

Calculation of the EER for use as a 

regional metric in the proposed hot-dry 

region and (2) combination of seasonal 

off-mode energy descriptors, P1 and P2, 

into a single off-mode descriptor, 

PWOFF. 

Regarding the first issue, test methods 

and calculations for off-mode power and 

energy consumption, DOE now 

proposes to revise the off-mode 

laboratory tests and calculation 

algorithms set forth in the June 2010 

NOPR to be more specific to the 

hardware and controls of the tested 

residential central air conditioner or 

heat pump. For units with a crankcase 

heater, DOE now proposes that the 

specific test and calculation 

combination will depend on whether (1) 

The heater is applied to a central air 

conditioner or heat pump; (2) the heater 

is fixed output or self-regulating; (3) the 

heater is thermostatically controlled or 

on continuously when the compressor is 

off; and (4) the thermostatic control is 

based on a local measurement that 

senses the temperature increase caused 

by the heater or based on a ‘‘global’’ 

measurement that is not influenced by 

the heater. For central air conditioning 

and heat pump units tested without an 

indoor blower installed, and for central 

air conditioners and heat pumps tested 

and rated with a particular furnace or 

modular blower, DOE proposes steps to 

separate out the power that will be 

reflected in the off-mode ratings of the 

furnace or modular blower, thus 

avoiding miscalculation of the off-mode 

energy consumption. Furthermore, DOE 

proposes to introduce the seasonal 

descriptor PWOFF to describe the overall 

off-mode rating for residential central 

air conditioners and heat pumps. 

Regarding the requirements proposed 

in the June 2010 NOPR for selecting and 

metering the lab-added, low voltage 

transformer used when testing coil-only 

residential central air conditioners and 

heat pumps, 75 FR 31238, DOE now 


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3Section 325(gg) of EPCA defines the term ‘‘off 

mode’’ as ‘‘the condition in which an energy-using 

product is connected to a main power source and 

is not providing any standby or active mode 

function.’’ 42 U.S.C. 6295(gg)(1)(A)(ii). 

proposes an additional requirement that 

the lab-added, low voltage transformer 

be a toroidal design. Further, today’s 

proposal calls for the manufacturer to 

provide specifications for selecting the 

lab-added transformer. If the 

manufacturer fails to provide 

specifications for the low-voltage 

transformer, a set of default 

specifications are provided within the 

proposed test procedure. DOE also 

proposes today that the requirement to 

measure the power input to the labadded transformer, and the low-voltage 

components that are connected to it, 

should apply only during off-mode tests 

as opposed to during all tests, as 

proposed in the June 2010 NOPR. 

75 FR 31238. For all other tests on coilonly units tested using a lab-added 

transformer, metering the power 

consumed by the low voltage 

components would not be required 

under today’s proposal. 

Today’s SNOPR also proposes an 

addition to the test procedure to 

calculate an EER metric for steady-state 

cooling mode testing. In this regard, the 

SNOPR proposes to add testing and 

calculation steps for estimating 

residential central air conditioners and 

heat pumps’ cooling seasonal 

performance when applied in the 

proposed hot-dry region of Arizona, 

California, New Mexico, and Nevada. 75 

FR 31239–41. DOE proposes to 

eliminate the descriptor proposed in the 

June 2010 NOPR for this regional rating, 

SEER Hot-Dry. 

DOE proposes to make the off-mode 

test procedure additions in today’s 

SNOPR effective 180 days after 

publication of the test procedure final 

rule in the Federal Register. By doing 

so, DOE would not require 

manufacturers to publish the new rating 

metrics by this time, but rather, would 

require that manufacturers use the 

amended test procedure as of this date. 

In addition, DOE proposes to make the 

compliance date for these test procedure 

amendments correspond to the 

compliance date for the amended energy 

conservation standards for residential 

central air conditioners and heat pumps. 

III. Discussion 

This section provides discussion on 

the revisions and additions to the test 

procedure that DOE proposes in this 

SNOPR, based in part on comments 

DOE received in response to the June 

2010 NOPR. Section 0 describes DOE’s 

proposed changes to test methods and 

calculations for off-mode power and 

energy consumption. Section 0 

discusses DOE’s proposed changes to 

the requirements for selecting and 

metering the lab-added low voltage 

transformer used when testing coil-only 

residential central air conditioners and 

heat pumps without a specific furnace 

or modular blower. Section 0 discusses 

DOE’s proposal to abandon the regional 

SEER Hot-Dry metric that was proposed 

in the June 2010 NOPR. Sections 0 and 

0 describe proposed amendments to the 

test procedure that were not included in 

the June 2010 NOPR; specifically, 

calculation of EER during cooling mode 

steady-state testing and the combination 

of the two seasonal off-mode ratings for 

residential central air conditioners 

proposed in the June 2010 NOPR, P1 

and P2, to yield a single overall rating, 

PWOFF. 

As part of today’s rulemaking, DOE 

provides the specific proposed revisions 

to 10 CFR part 430, subpart B, appendix 

M, ‘‘Uniform Test Method for Measuring 

the Energy Consumption of Central Air 

Conditioners and Heat Pumps.’’ 

A. Test Methods and Calculations for 

Off-Mode Power and Energy 

Consumption of Residential Central Air 

Conditioners and Heat Pumps 

In the June 2010 NOPR, DOE 

proposed test procedure amendments 

that quantified off-mode power 

consumption of residential central air 

conditioners and heat pumps, as 

required by 42 U.S.C. 6295(gg)(2)(A). 75 

FR 31238–39. These proposals included 

testing and calculation methods for 

estimating the energy consumption of a 

residential central air conditioner 

during the heating season when the unit 

is typically turned off at the thermostat, 

but when its controls and protective 

devices remain energized. Additional 

amendments proposed in today’s 

SNOPR consider those times when the 

products are idle during the shoulder 

season. The shoulder season is the 

period of time during the year when a 

residential central air conditioner or 

heat pump is providing neither heating 

nor cooling. The duration of the 

shoulder season for each generalized 

climatic region equals the difference 

between a full 8,760-hour year and the 

number of hours assigned to the cooling 

and heating seasons of each region as 

identified in Table 19 of appendix M to 

subpart B of 10 CFR part 430 (shown as 

Table 0.1 below). 

TABLE 0.1—REPRESENTATIVE COOLING AND HEATING LOAD HOURS FOR EACH GENERALIZED CLIMATIC REGION

Region * CLHR ** HLHR

I .................................................................................................................................................................... 2400 750 

II ................................................................................................................................................................... 1800 1250 

III .................................................................................................................................................................. 1200 1750 

IV .................................................................................................................................................................. 800 2250 

V ................................................................................................................................................................... 400 2750 

VI .................................................................................................................................................................. 200 2750 

* CLHR—Cooling Load Hours (representative). 

** HLHR– Heating Load Hours (representative). 

DOE proposed in the June 2010 NOPR 

to modify the EISA 2007 definition of 

the term ‘‘off-mode,’’ 3 pursuant to the 

authority granted under 42 U.S.C. 

6295(gg)(1)(B), to include the operation 

of a residential central air conditioner or 

heat pump during the shoulder season 

and, for central air conditioners only, 

during the heating season. 75 FR 31231. 

DOE proposed new laboratory tests and 

calculation algorithms for estimating the 

average power consumption of 

residential central air conditioners and 

heat pumps operating during off-mode. 

75 FR 31238–39. The June 2010 NOPR 

also proposed that the average off-mode 

power consumption for central air 

conditioners and heat pumps during the 

shoulder season be represented by the 

parameter P1, and the average off-mode 

power consumption of a residential 

central air conditioner during the 

heating season be represented by the 

parameter P2. 75 FR 31239. 

The Air-Conditioning, Heating, and 

Refrigeration Institute (AHRI) and the 

American Council for an EnergyEfficient Economy (ACEEE) both agreed 


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4 In this discussion, comments presented in the 

form ‘‘AHRI, Public Meeting Transcript, No. 5 at p. 

161’’ indicate a comment that was recorded in the 

public meeting transcript for the June 2010 NOPR 

and is included in docket for this rulemaking. This 

particular notation refers to a comment (1) by AHRI, 

(2) in document number 5 in the public meeting 

support materials, and (3) appearing on page 161. 

5 In this discussion, comments presented in the 

form ‘‘AHRI, No. 6.1 at p. 5’’ indicate a written 

comment that was submitted to DOE and is 

included in docket for this rulemaking. This 

particular notation refers to a comment (1) by AHRI, 

(2) in document number 6.1 in the public meeting 

support materials, and (3) appearing on page 5. 

with DOE that the off-mode rating 

should be separated from the existing 

regulating metrics of SEER and HSPF. 

(AHRI, Public Meeting Transcript, No. 5 

at p. 161; ACEEE, Public Meeting 

Transcript, No. 5 at p. 161) 4 Trane 

acknowledged that inclusion of offmode energy consumption in the basic 

performance descriptors was not 

feasible. (Trane, No. 10.1 at p. 3) 

The Northwest Energy Efficiency 

Alliance (NEEA) concurred with DOE’s 

proposed definition of ‘‘off-mode.’’ 

(NEEA, No. 7.1 at p. 7) However, the 

People’s Republic of China (China) 

stated that DOE should define off-mode 

for central air conditioners and heat 

pumps to be consistent with 

International Electrotechnical 

Commission (IEC) Standard 62301 (1st 

edition). (China, No. 18.1 at p. 5) China 

also commented that off-mode, as set 

forth in the June 2010 NOPR, is defined 

as a period of time, without including 

a description of the specific status of the 

product. China hoped DOE would 

clarify the specific status of the product 

in its definition of off-mode. (China, No. 

18.1 at p. 5) Finally, China expressed its 

hope that DOE would further clarify the 

proposed test procedure for off-mode 

energy consumption, and whether offmode energy consumption includes the 

energy consumption of protective 

devices. (China, No. 18.1 at p. 5) 

The off-mode definition presented in 

the June 2010 NOPR is consistent with 

the objectives of EISA 2007. (42 U.S.C. 

6295(gg)(2)(A)) The energy consumed by 

any protective device (e.g., a crankcase 

heater) that operates while the central 

air conditioner sits idle during the offmode is included in the off-mode rating. 

The proposed off-mode definition 

accounts for all modes and intervals of 

energy consumption that are not 

captured in the existing regulating 

performance metrics. By comparison, 

IEC 62301 applies to a wide range of 

household appliances and seeks to 

quantify the standby power of these 

appliances, which is loosely defined as 

the power consumed when the 

appliance is not performing its main 

function. This simple definition is not 

readily applicable to residential central 

air conditioners and heat pumps 

because SEER and HSPF include power 

consumption during all possible 

operating modes. A more productspecific definition was needed and was 

proposed in the June 2010 NOPR. 75 FR 

31238–39. DOE considered the 

comments received pertaining to the 

definition of off-mode, but has 

tentatively chosen to leave the 

definition proposed in the June 2010 

NOPR unchanged. 

At the June 2010 NOPR public 

meeting, Trane stated that the cooling 

load hours proposed in the amended 

test procedure do not correlate with the 

compressor running hours and, as a 

result, DOE is in danger of incorrectly 

counting the time when the compressor 

is running as time attributable to offmode. (Trane, Public Meeting 

Transcript, No. 5 at p. 143) The AirConditioning, Heating, and Refrigeration 

Institute (AHRI) stated that the cooling 

load hours have been used since the test 

procedure was established and that it 

may be time to review that. (AHRI, 

Public Meeting Transcript, No. 5 at p. 

145) DOE agrees that it may be time to 

revisit the cooling load hour 

distributions, but lacks sufficient data to 

do so at this time. DOE requests input 

from interested parties that may be 

relevant to an update of the cooling load 

hour and heating load hour 

distributions. 

DOE has evaluated these comments 

and determined that the approach for 

establishing the duration of the offmode seasons proposed in the June 2010 

NOPR, 75 FR at 31239, 31269–70, and 

repeated in today’s SNOPR, remains the 

most defensible option. The approach 

obtains the hours for each off-mode 

season directly from the cooling and 

heating load hour combinations that 

have been used since the test procedure 

for residential central air conditioners 

and heat pumps was established in 

1979. Until those load hour maps 

(Figures 2 and 3 from 10 CFR part 430, 

subpart B, appendix M), are updated 

based on newly available data, or an 

alternative approach is identified for 

defining the magnitude of the seasonal 

building loads (when expressed on an 

energy basis and, as a consequence, the 

hours in each season), DOE concludes 

that the proposed approach is 

appropriate. 

With regard to the off-mode tests 

proposed in the June 2010 NOPR, Trane 

stated that it is unrealistic to expect that 

a thermostat would be accurate to 65 

degrees plus or minus 2 degrees. (Trane, 

Public Meeting Transcript, No. 5 at p. 

146) ACEEE stated that thermostatic 

controller testing will vary because the 

time constant for changing the 

temperature of the test chamber will 

differ based on the response of the 

system. (ACEEE, Public Meeting 

Transcript, No. 5 at p. 156) Johnson 

Controls concurred with the ACEEE 

comment. (Johnson Controls, Public 

Meeting Transcript, No. 5 at p. 158) 

The proposed revisions to the offmode test method in today’s SNOPR 

address the above comments. For 

crankcase heaters whose ON/OFF 

operation is regulated by an ambient 

temperature thermostat, the 

manufacturer-provided ON and OFF 

temperatures—T00 and T100, 

respectively—would be deemed verified 

if the lab-measured values are within 

±5 °F of the manufacturer-provided 

values. If the manufacturer’s values for 

T00 or T100 are not verified, the labmeasured value would be rounded to 

the nearest 5 °F increment of 65 °F, 

instead of to the nearest 2.5 °F 

increment, as proposed in the June 2010 

NOPR. 75 FR 31261. For off-mode tests 

that will require longer intervals to 

complete because of the relatively slow 

thermal response of the compressor and 

crankcase heater system, options are 

provided in today’s proposal for 

shortening the duration of the test. In 

the case of self-regulating crankcase 

heaters, rather than requiring the heater 

to achieve steady-state operation before 

measuring steady-state performance, 

collected data with respect to the 

heater’s power output as a function of 

elapsed time would be extrapolated to 

reasonably approximate steady-state 

performance. Similarly, manufacturers 

would be given the option of taking a 

slightly conservative estimate of the offmode power consumption for crankcase 

heaters whose operation is regulated 

based on local control, rather than 

extending the off-mode test for several 

extra hours. 

At the public meeting, AHRI asked 

DOE if testing had been done to measure 

off-mode energy consumption. (AHRI, 

Public Meeting Transcript, No. 5 at p. 

147) DOE responded that testing had not 

been done. AHRI stated DOE should 

take into account the fact that there had 

been no testing done on the products, 

and therefore DOE did not know if the 

proposed test procedure would work. 

(AHRI, Public Meeting Transcript, No. 5 

at p. 162) AHRI stated that it does not 

support adding testing procedures and 

calculations for off-mode energy 

consumption since the algorithm 

proposed in the June 2010 NOPR had 

not been tested by DOE or any 

manufacturers. (AHRI, No. 6.1 at p. 5) 5

NEEA stated that it found DOE’s 

proposals to measure off-mode energy 


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consumption problematic because there 

are no data from actual testing. In order 

for these values to be most useful to 

consumers, NEEA asserted that they 

would have to be published for each 

climatic region. (NEEA, No. 7.1 at p. 7) 

NEEA requested that DOE provide 

actual test data from systems with a 

crankcase heater so NEEA could better 

understand the interaction between test 

procedure requirements and the 

technologies and control strategies used 

in the field. (NEEA, No. 7.1 at p. 7) 

Lennox agreed with AHRI’s 

recommendations that DOE provide 

more time for the consideration of its 

proposed testing procedures and 

calculations for off-mode energy 

consumption. (Lennox, No. 11.1 at p. 2) 

After the close of the comment period 

following the June 2010 NOPR, DOE 

conducted laboratory testing on a 

complete heat pump system and a 

stand-alone compressor that were 

equipped with different crankcase 

heaters, regulated using different control 

strategies. As a result, DOE has revised 

its off-mode test methods. To provide a 

means for interested parties to consider 

these proposed methods, DOE has 

published this SNOPR. Interested 

parties are asked to consider and 

comment on these proposed off-mode 

test methods so that any changes that 

are warranted can be implemented prior 

to publication of the test procedure final 

rule. 

The primary purpose of the off-mode 

test method is to develop a way to 

measure energy used by the crankcase 

heater, which represents the greatest 

consumption of energy during the offmode period. For units with a crankcase 

heater, DOE proposes an off-mode test 

method designed to be more systematic 

and cover more specific cases. The 

revised off-mode test method proposed 

today differentiates between residential 

central air conditioners and heat pumps, 

between fixed-output and self-regulating 

crankcase heaters, and between 

thermostatically controlled and 

continuously on designs. Designs that 

regulate the ON/OFF status of the heater 

based on an outdoor ambient thermostat 

(global control) would be covered, as 

well as designs that regulate the heater 

based on measuring or inferring the 

temperature of the compressor’s sump 

(local control). The proposed test 

methods are applicable to belly-band 

and insertion type heaters and to 

designs that use an insulating cover for 

the compressor and crankcase heater. 

Today’s proposed off-mode test 

method would cover coil-only units, 

blower coil units, and coil-only units 

tested and rated with a furnace fan or 

modular blower. The off-mode ratings 

for coil-only units would include the 

power consumption of the low-voltage 

components other than the lab-added, 

low-voltage transformer. Similarly, the 

off-mode ratings for coil-only units 

tested and rated with a particular 

furnace or modular blower would 

exclude the power consumption of any 

components housed within the furnace 

or modular blower. The power 

consumption of the lab-added 

transformer and the power consumption 

of the idle furnace or modular blower 

would be measured separately and then 

subtracted from the total off-mode 

power measured for the tested system. 

In these cases, the power consumption 

of the transformer and off-mode power 

used by a particular furnace or modular 

blower would be reflected in the 

electrical off-mode rating of the furnace 

or modular blower. The off-mode rating 

for conventional blower coil units 

would reflect all sources of off-mode 

power consumption. 

In the vast majority of cases, the time 

required to complete the revised offmode tests varies from less than 1 hour 

to up to 12 hours. Two of the more timeintensive off-mode tests proposed in 

this SNOPR pertain to approximating 

the ‘‘power consumption versus outdoor 

temperature’’ relationship of a selfregulating crankcase heater, and to 

measuring the average power 

consumption of crankcase heaters that 

use local thermostatic control. The 

electrical resistance of self-regulating 

heaters varies with temperature, with 

the resistance decreasing as temperature 

increases. Because of the relatively large 

thermal mass of the compressor, several 

hours are required to approach a power 

level that is representative of the final 

steady-state power output from a selfregulating heater when heating a 

compressor that is otherwise obtaining 

equilibrium with the ambient air. To 

balance test burden with reasonable 

repeatability, DOE proposes to require 

the regular measurement of the power 

over an interval during which the 

outdoor ambient temperature varies 2 °F 

or less, and the power data displays a 

monotonic trend as it approaches its 

steady-state value. Under today’s 

proposal, manufacturers would be 

required to specify whether the test 

terminates after collecting 3 hours of 

data, or whether the test continues over 

a longer interval. ‘‘Power versus elapsed 

time’’ data would be curve-fitted using 

one of two equations—one equation if 

the power data decreases with elapsed 

time and another equation if the power 

data increases with elapsed time. Once 

the constants of the equations are 

determined using a curve-fitting 

program, the resulting equation would 

be used to estimate the power 

consumption of the heater had the 

asymptotic response been allowed to 

continue until it reached a steady-state. 

The test procedure would use an 

elapsed time of 24 hours to approximate 

the steady-state limit (rather than 

requiring the evaluation of the equation 

as time approaches infinity). DOE 

proposes limits on how much the 

extrapolated value could vary from the 

average power measured prior to 

terminating the test. This process would 

then be repeated at a second outdoor 

temperature. 

Under the proposal, crankcase heaters 

that use local thermostatic control 

would be monitored until successive 

heater ON + heater OFF cycles yield 

average power consumption values that 

differ by 1 watt or less. As an 

alternative, the manufacturer could 

choose to discontinue the test as soon as 

a minimum of three consecutive heater 

ON + heater OFF cycles are recorded, 

where the average power from each 

complete cycle is less than the average 

power from the prior cycle. For both test 

termination options, two additional 

requirements would need to be met: 

(1) The elapsed time between the start 

of the first crankcase heater ON cycle 

and the test termination must be a 

minimum of 3 hours and (2) the outdoor 

temperature during the two or more 

complete cycles that meet the 

termination criteria must vary by 2 °F or 

less. If the manufacturer does not 

choose from the off-mode test 

termination criteria, testing 

requirements based on the average 

power differing by less than 1 watt for 

successive cycles would be used. For 

residential central air conditioners (but 

not heat pumps) with crankcase heaters 

that use local thermostatic control, the 

above off-mode test method would be 

repeated at a second outdoor 

temperature. 

B. Selecting the Low-Voltage 

Transformer Used When Testing CoilOnly Central Air Conditioners and Heat 

Pumps and Required Metering of LowVoltage Components During Off-Mode 

Test(s) 

In today’s SNOPR, DOE proposes that 

the test laboratory select a toroidal 

transformer when testing coil-only 

units. Toroidal transformers have fewer 

losses, less efficiency variation with 

loading, and lower power requirements 

at zero loading than laminated core 

transformers. DOE proposes that some 

of the characteristics of the toroidal 

transformer may be specified by the 

manufacturer (e.g., volt-amp rating, 

voltage input, voltage output); 


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18110 Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 

6On January 15, 2010, several interested parties 

submitted a joint comment to DOE recommending 

adoption of minimum energy conservation 

standards for residential central air conditioners, 

heat pumps, and furnaces, as well as associated 

compliance dates for such standards, which 

represents a negotiated agreement among a variety 

of interested stakeholders including manufacturers 

and environmental and efficiency advocates. The 

original agreement (referred to as the ‘‘consensus 

agreement’’) was completed on October 13, 2009, 

and had 15 signatories. 

otherwise, a set of default criteria would 

be provided in the amended test 

procedure. DOE also proposes to change 

the load rating specification from an 

absolute volt-amp rating to a range of 

percent loading to better cover all 

possible units, ensure the transformer is 

adequately sized to meet the load, and 

provide more flexibility to the testing 

laboratory. 

In the June 2010 NOPR, DOE 

proposed requiring the measurement of 

the power consumption of the lowvoltage components that are part of all 

tested units during every DOE-specified 

laboratory test. 75 FR 31238. The June 

2010 NOPR targeted coil-only 

residential central air conditioners and 

heat pumps tested using a low-voltage 

transformer selected by the testing 

laboratory. Usually, the power 

consumption of low-voltage 

components powered by this lab-added 

transformer is not metered. The June 

2010 NOPR also listed proposed 

specifications for the lab-added 

transformer. Id. Under this proposal, the 

instrument used to measure the 

electrical power supplied to the 

transformer would be required to do so 

within the measurement accuracy 

prescribed for the other electrical 

components. Id. Because the proposal 

would alter the SEER and HSPF ratings 

of the products, DOE planned to require 

the measurement of low-voltage 

components on the compliance date for 

the amended energy conservation 

standards for residential central air 

conditioners and heat pumps. 

At the June 2010 NOPR public 

meeting, ACEEE supported DOE’s 

premise while questioning whether the 

word ‘‘transformer’’ in the test procedure 

should be replaced with ‘‘power 

supply.’’ (ACEEE, Public Meeting 

Transcript, No. 5 at p. 183) Trane stated 

that the usage of ‘‘transformer’’ is 

technically correct. (Trane, Public 

Meeting Transcript, No. 5 at p. 185). 

DOE concurs that the use of the word 

‘‘transformer’’ to describe the lowvoltage power source is correct. In its 

written comments, NEEA supported the 

inclusion of transformer energy use in 

the test procedure, but noted that there 

may be a wide variety of both 

transformer and power supply 

efficiencies, and therefore asked DOE to 

provide some documentation for its 

assumptions. (NEEA, No. 13.1 at p. 8) 

AHRI argued against specifying 

requirements for the low-voltage 

transformer used when testing coil-only 

residential central air conditioners and 

heat pumps and requiring the metering 

of all sources of energy consumption 

during all tests. AHRI noted that the 

SEER and HSPF values for coil-only 

units would decrease, causing the 

minimum Federal standards to need to 

be modified for these products. AHRI 

also noted that ‘‘accounting for the 

transformer power in SEER and HSPF 

[would] be double-dipping when the 

furnace standards are also revised to 

include the transformer power.’’ (AHRI, 

No. 6.1 at p. 5) 

Based on this discussion, DOE 

proposes to exclude changes that would 

alter the SEER and HSPF ratings of 

currently rated residential central air 

conditioners and heat pumps because 

such changes would require 

adjustments to the standard levels 

currently being considered. (42 U.S.C. 

6293(e)(2)) As such, the proposed test 

procedure does not require metering the 

power consumption of the low-voltage 

components of a coil-only system when 

conducting the lab tests used in 

calculating SEER and HSPF. Instead, the 

power consumption of these low-voltage 

components, however, would be 

measured during the proposed off-mode 

testing. 

C. Withdrawal of the Proposal To Add 

the New Regional Performance Metric 

SEER Hot-Dry 

DOE has the option of implementing 

regional standards for residential central 

air conditioners and heat pumps, if 

justified. (42 U.S.C. 6295(o)(6)(D)(i)) In 

the June 2010 NOPR, DOE proposed 

additional testing and calculations to 

evaluate a new cooling season efficiency 

rating that was specific to the proposed 

region of the country with a hot-dry 

climate. The proposed regional 

regulating metric was identified as SEER 

Hot-Dry and applied to the States of 

California, Nevada, New Mexico, and 

Arizona. 75 FR 31239–42. 

Comments made at the June 2010 

NOPR public meeting and written 

comments that followed 

overwhelmingly supported the use of a 

steady-state EER descriptor over the 

proposed SEER Hot-Dry descriptor for 

the hot-dry region. EnergySolutions 

withdrew its support of SEER Hot-Dry 

in favor of EER, noting that the SEER 

Hot-Dry metric does not adequately 

represent conditions at full load and 

therefore does not give the manufacturer 

the opportunity to differentiate products 

that perform very well at high 

temperatures. (EnergySolutions, Public 

Meeting Transcript, No. 5 at p. 170) At 

the public meeting, ACEEE took the 

same position. (ACEEE, Public Meeting 

Transcript, No. 5 at p. 175; ACEEE, 

Public Meeting Transcript, No. 5 at p. 

195) Two manufacturers stated their 

opposition to a SEER Hot-Dry metric 

due to the increased testing burden that 

it would create. (Mitsubishi, Public 

Meeting Transcript, No. 5 at p. 176; 

Trane, Public Meeting Transcript, No. 5 

at p. 203) ACEEE stated that the 

building loads and bin temperature 

distributions for the proposed SEER 

Hot-Dry metric were not representative 

of typical weather and operating 

conditions in a hot-dry location. 

(ACEEE, No. 8.1 at p. 2) Several 

interested parties supported the 

consensus agreement 6 in general and 

the use of EER as the basis for 

establishing a regional standard in the 

hot-dry region in particular, a position 

outlined in the consensus agreement. 

(Mitsubishi, Public Meeting Transcript, 

No. 5 at p. 176; AHRI, No. 6.1 at p. 5; 

Lennox, No. 11.1 at p. 2; NEEA, No. 7.1 

at p. 7; ACEEE, No. 8.1 at p. 2; 

EnergySolutions, No 9.1 at p. 1; NRDC, 

No. 13.1 at pp. 1–2). In addressing a 

statement DOE included in the June 

2010 NOPR, the Natural Resources 

Defense Council (NRDC) commented 

that ‘‘DOE’s statement on its statutory 

authority to use multiple performance 

metrics is incorrect. DOE should revise 

the proposed test procedures as outlined 

in the consensus agreement because 

DOE has authority under the EPCA to 

adopt the Southwest regional SEER and 

EER consensus standards agreed upon 

by manufacturers and efficiency 

advocates and test procedures for such 

standards.’’ (NRDC, No. 13.1 at p. 2) 

The seasonal metric proposed in the 

June 2010 NOPR for the hot-dry region 

was not meaningful due to the inclusion 

of New Mexico and especially California 

(with its large coastal population). 75 FR 

31240–41. Although the region was 

composed of contiguous States as 

required by EISA 2007, 42 U.S.C. 

6295(o)(6)(C), the inclusion of these two 

States caused the population-weighted 

average weather conditions to be neither 

hot nor dry. DOE agrees that a seasonal 

performance descriptor such as SEER 

Hot-Dry does not adequately represent 

performance at full load conditions. As 

a result, DOE is today proposing a 

method to calculate the EER during 

Cooling Mode Steady State Tests. 

Assuming DOE was to adopt as final 

such EER test procedure; as a Final rule, 

DOE espects to withdraw its earlier 

proposal to include additional tests and 


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Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 18111 

calculations in the test procedure to 

determine a SEER Hot-Dry rating. 

D. Calculation of the Energy Efficiency 

Ratio for Cooling Mode Steady-State 

Tests 

For central air conditioners, the 

consensus agreement recommends that 

DOE adopt dual metrics (i.e., SEER and 

EER) for the hot-dry region. Generally, 

DOE notes that EPCA’s definition of 

‘‘efficiency descriptor’’ at 42 U.S.C. 

6291(22) specifies that the efficiency 

descriptor for both central air 

conditioners and heat pumps shall be 

SEER. However, DOE believes that the 

language at 42 U.S.C. 6295(p)(4) 

provides DOE some measure of 

discretion when considering 

recommended standards in a consensus 

agreement, if the Secretary determines 

that the recommended standards are in 

accordance with 42 U.S.C. 6295(o). 

Today, DOE proposes to include within 

the test procedure the steps needed to 

define the calculation of EER for the 

proposed hot-dry region from the results 

of cooling mode, steady-state testing. 

E. Off-Mode Performance Ratings 

Because off-mode operation occurs 

during specific seasons, the most 

appropriate form of an off-mode rating 

is a seasonal descriptor. Moreover, offmode represents times when a unit is 

consuming power while not providing 

space conditioning; therefore, the 

seasonal descriptor must be expressed 

in terms of average power or a 

representative energy consumption 

quantity (as efficiency is not an option). 

Given these two options, average power 

provides the greater utility because it is 

not as location-specific as energy 

consumption. Whereas the same offmode average power consumption 

applies to any location within a DOE 

generalized climatic region, an off-mode 

energy consumption only applies to a 

unique location within that same 

climatic region. As such, a single 

average off-mode power rating can be 

used to calculate many off-mode energy 

values, while the opposite is not true. A 

representative off-mode energy rating 

would be specific to one particular 

combination of cooling season hours, 

heating season hours, and shoulder 

season hours. For these reasons, DOE 

proposes that the off-mode ratings be 

expressed as average power values. 

For residential central air 

conditioners, two off-mode average 

power values were proposed in the June 

2010 NOPR, one for the shoulder season 

(parameter P1), and one for the heating 

season (parameter P2). 75 FR 31238–39. 

P1 and P2 are both expressed in units 

of watts. Since heat pumps are only idle 

during the shoulder season, they only 

have a P1 value. For residential central 

air conditioners using compressor 

crankcase heaters with heating output 

that changes with the outdoor 

temperature, P2 will depend on the 

distribution of outdoor temperatures 

during the heating season. In such cases, 

the P2 value will be different for each 

of the six generalized climatic regions 

referenced in the current DOE test 

procedure. (Refer to Figures 2 and 3 in 

10 CFR part 430, subpart B, appendix 

M). 

To allow straightforward comparisons 

among a variety of residential central air 

conditioners and heat pumps that may 

have different combinations of P1 and 

P2 values, these average power values 

can be weighted based on the length of 

the shoulder and heating seasons to 

yield an overall average power 

consumption value. Furthermore, in 

terms of the establishment of a 

minimum standard(s) for the off-mode, 

a single standard is preferable to setting 

separate standard levels for P1 and P2. 

The most representative weighting 

would be those seasonal hours 

associated with the national average 

cooling and heating load hours of 1,000 

and 2,080 hours, respectively, with P2 

based on generalized climatic Region IV. 

Region IV is proposed because the HSPF 

conservation standard and rating that 

appear on the Federal Trade 

Commission (FTC) EnergyGuide Label 

are based on this region. 75 FR 31239. 

In sum, DOE proposes a national 

average off-mode power consumption 

rating, PWOFF, for residential central air 

conditioners and heat pumps. DOE 

proposes combining the off-mode power 

rating for the shoulder seasons, P1, with 

the off-mode power rating for the 

heating season, P2, by weighting these 

ratings with respect to the lengths of the 

national average seasons: 739 hours for 

the shoulder seasons and 5,216 hours 

for the heating season. 

For residential central air 

conditioners, DOE proposes PWOFF = 

0.124 × P1 + 0.876 × P2. 

For residential heat pumps, DOE 

proposes PWOFF = PM 1.

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

(OMB) has determined that test 

procedure rulemakings do not constitute 

‘‘significant regulatory actions’’ under 

section 3(f) of Executive Order 12866, 

Regulatory Planning and Review, 58 FR 

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

proposed action was not subject to 

review under the Executive Order by the 

Office of Information and Regulatory 

Affairs (OIRA) in the OMB. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act 

(5 U.S.C. 601 et seq.) requires 

preparation of an initial regulatory 

flexibility analysis for any rule 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 (Aug. 16, 2002), DOE published 

procedures and policies on February 19, 

2003, so 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 website: 

http://www.gc.doe.gov. 

DOE reviewed today’s proposed rule, 

which would amend the test procedure 

for residential central air conditioners 

and heat pumps, under the provisions of 

the Regulatory Flexibility Act and the 

procedures and policies published on 

February 19, 2003. DOE tentatively 

concludes and certifies that the 

proposed rule, if adopted, would not 

result in a significant impact on a 

substantial number of small entities. 

The factual basis for this certification is 

set forth below. 

For the purpose of the regulatory 

flexibility analysis for this rule, the DOE 

adopts the Small Business 

Administration (SBA) definition of a 

small entity within this industry as a 

manufacturing enterprise with 750 

employees or fewer. DOE used the small 

business size standards published on 

January 31, 1996, as amended, by the 

SBA to determine whether any small 

entities would be required to comply 

with the rule. 61 FR 3280, 3286, as 

amended at 67 FR 3041, 3045 (Jan. 23, 

2002) and at 69 FR 29192, 29203 (May 

21, 2004); see also 65 FR 30836, 30850 

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

53533, 53545 (Sept. 5, 2000). The size 

standards are codified at 13 CFR part 

121. The standards are listed by North 

American Industry Classification 

System (NAICS) code and industry 

description and are available at http:// 

www.sba.gov/idc/groups/public/

documents/sba_homepage/serv_sstd_

tablepdf.pdf. 

Residential central air conditioner 

and heat pump equipment 

manufacturing is classified under 

NAICS 333415, ‘‘Air-Conditioning and 

Warm Air Heating Equipment and 

Commercial and Industrial Refrigeration 


jlentini on DSKJ8SOYB1PROD with PROPOSALS
18112 Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 

Equipment Manufacturing.’’ 70 FR 

12395 (March 11, 2005). DOE reviewed 

AHRI’s listing of residential central air 

conditioner and heat pump equipment 

manufacturer members and surveyed 

the industry to develop a list of 

domestic manufacturers. As a result of 

this review, DOE identified 22 

manufacturers of residential central air 

conditioners and heat pumps, of which 

15 would be considered small 

manufacturers with a total of 

approximately 3 percent of the market 

sales. DOE seeks comment on its 

estimate of the number of small entities 

that may be impacted by the proposed 

test procedure. 

Potential impacts of the proposed test 

procedure on all manufacturers, 

including small businesses, come from 

impacts associated with the cost of 

proposed additional testing. DOE 

estimates the incremental cost of the 

proposed additional tests described in 

10 CFR part 430, subpart B, appendix M 

(proposed section 3.13) to be an increase 

of $1,000 to $1,500 per unit tested. This 

estimate is based on private testing 

services quoted on behalf of DOE in the 

last 2 years for residential central air 

conditioners and heat pumps. Typical 

costs for running the cooling tests 

appear to be approximately $5,000. DOE 

estimated that the additional activities 

required by the revised test procedure 

would introduce a 20 to 30 percent 

increase in testing time, resulting in the 

additional cost. 

Because the incremental cost of 

running the extra tests is the same for 

all manufacturers, DOE believes that all 

manufacturers would incur comparable 

costs for testing of individual basic 

models as a result of the proposed test 

procedure. DOE expects that small 

manufacturers will incur less testing 

expense compared with larger 

manufacturers as a result of the 

proposed testing requirements because 

they have fewer basic models and thus 

require proportionally less testing when 

compared with large manufacturers that 

have many basic models. DOE 

recognizes, however, that smaller 

manufacturers may have less capital 

available over which to spread the 

increased costs of testing. 

DOE compared the cost of the testing 

to the total value added by the 

manufacturers to determine whether the 

impact of the proposed test procedure 

amendments is significant. The value 

added represents the net economic 

value that a business creates when it 

takes manufacturing inputs (e.g., 

materials) and turns them into 

manufacturing outputs (e.g., 

manufactured goods). Specifically, as 

defined by the U.S. Census, the value 

added statistic is calculated as the total 

value of shipments (products 

manufactured plus receipts for services 

rendered) minus the cost of materials, 

supplies, containers, fuel, purchased 

electricity, and contract work expenses. 

DOE analyzed the impact on the 

smallest manufacturers of residential 

central air conditioners and heat pumps 

because these manufacturers would 

likely be the most vulnerable to cost 

increases. DOE calculated the additional 

testing expense as a percentage of the 

average value added statistic for the five 

individual firms in the 25 to 49 

employee size category in NAICS 

333415 as reported by the U.S. Census 

(U.S. Bureau of the Census, American 

Factfinder, 2002 Economic Census, 

Manufacturing, Industry Series, 

Industry Statistics by Employment Size, 

http://factfinder.census.gov/servlet/

EconSectorServlet?_lang=en&ds_name=

EC0200A1&_SectorId=31&_ts=

288639767147). The average annual 

value for manufacturers in this size 

range from the census data was $1.26 

million in 2001$, per the 2002 

Economic Census, or approximately 

$1.52 million per year in 2009$ after 

adjusting for inflation using the implicit 

price deflator for gross domestic product 

(U.S. Department of Commerce Bureau 

of Economic Analysis, http:// 

www.bea.gov/national/nipaweb/ 

SelectTable.asp). 

DOE also examined the average value 

added statistic provided by census for 

all manufacturers with fewer than 500 

employees in this NAICS classification 

as the most representative value from 

the 2002 Economic Census data of the 

residential central air conditioner 

manufacturers with fewer than 750 

employees that are considered small 

businesses by the SBA (15 

manufacturers). The average annual 

value added statistic for all small 

manufacturers with fewer than 500 

employees was $7.88 million (2009$). 

Given this data, and assuming the 

high-end estimate of $1,500 for the 

additional testing costs, DOE concluded 

that the additional costs for testing of a 

single basic model product under the 

proposed requirements would be 

approximately 0.1 percent of annual 

value added for the 5 smallest firms, 

and approximately 0.02 percent of the 

average annual value added for all small 

residential central air conditioner 

manufacturers (15 firms). DOE estimates 

that testing of basic models may not 

have to be updated more than once 

every 5 years, and therefore the average 

incremental burden of testing one basic 

model may be one fifth of these values 

when the cost is spread over several 

years. 

DOE requires that only the highest 

sales volume split system combinations 

be lab tested. 10 CFR 430.24(m). The 

majority of air conditioners and heat 

pumps offered by a manufacturer are 

typically split systems that are not 

required to be lab tested but can be 

certified using an alternative rating 

method that does not require DOE 

testing of these units. DOE reviewed the 

available data for five of the smallest 

manufacturers to estimate the 

incremental testing cost burden for 

those small firms that might experience 

the greatest relative burden from the 

revised test procedure. These 

manufacturers had an average of 10 

models requiring testing (AHRI 

Directory of Certified Product 

Performance, http:// 

www.ahridirectory.org/ahridirectory/

pages/home.aspx), while large 

manufacturers will have well over 100 

such models. The additional testing cost 

for final certification for 10 models was 

estimated at $15,000. Meanwhile, these 

certifications would be expected to last 

the product life, estimated to be at least 

5 years based on the time frame 

established in EPCA for DOE review of 

residential central air conditioner 

efficiency standards. This test burden is 

therefore estimated to be approximately 

0.2 percent of the estimated 5-year value 

added for the smallest five 

manufacturers. DOE believes that these 

costs are not significant given other, 

much more significant costs that the 

small manufacturers of residential 

central air conditioners and heat pumps 

incur in the course of doing business. 

DOE seeks comment on its estimate of 

the impact of the proposed test 

procedure amendments on small 

entities and its conclusion that this 

impact is not significant. 

Accordingly, as stated above, DOE 

tentatively concludes and certifies that 

this proposed rule would not have a 

significant economic impact on a 

substantial number of small entities. 

Accordingly, DOE has not prepared an 

initial regulatory flexibility analysis 

(IRFA) for this rulemaking. DOE will 

provide its certification and supporting 

statement of factual basis to the Chief 

Counsel for Advocacy of the SBA for 

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

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of residential central 

air conditioners and heat pumps must 

certify to DOE that their product 

complies with any applicable energy 

conservation standard. In certifying 

compliance, manufacturers must test 

their product according to the DOE test 

procedure for residential central air 


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Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 18113 

conditioners and heat pumps, including 

any amendments adopted for that test 

procedure. DOE has proposed 

regulations for the certification and 

recordkeeping requirements for all 

covered consumer products and 

commercial equipment, including 

residential central air conditioners and 

heat pumps. 75 FR 56796 (Sept. 16, 

2010). The collection-of-information 

requirement for the certification and 

recordkeeping is subject to review and 

approval by OMB under the Paperwork 

Reduction Act of 1995 (PRA). This 

requirement has been submitted to OMB 

for approval. Public reporting burden 

for the certification is estimated to 

average 20 hours per response, 

including the time for reviewing 

instructions, searching existing data 

sources, gathering and maintaining the 

data needed, and completing and 

reviewing the collection of information. 

Public comment is sought regarding: 

whether this proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information shall have practical utility; 

the accuracy of the burden estimate; 

ways to enhance the quality, utility, and 

clarity of the information to be 

collected; and ways to minimize the 

burden of the collection of information, 

including through the use of automated 

collection techniques or other forms of 

information technology. Send comments 

on these or any other aspects of the 

collection of information to Wes 

Anderson (see ADDRESSES) and by 

e-mail to Christine_J._Kymn@

omb.eop.gov. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

In this proposed rule, DOE proposes 

amendments to test procedures that may 

be used to implement future energy 

conservation standards for residential 

central air conditioners and heat pumps. 

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 (NEPA; 42 U.S.C. 

4321 et seq.). The rule is covered by 

Categorical Exclusion A5, for 

rulemakings that interpret or amend an 

existing rule without changing the 

environmental effect, as set forth in 

DOE’s NEPA regulations in appendix A 

to subpart D, 10 CFR part 1021. This 

rule will not affect the quality or 

distribution of energy usage and, 

therefore, will not result in any 

environmental impacts. 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 (Aug. 4, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in the development of 

such regulations. 65 FR 13735. DOE has 

examined today’s proposed 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. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subjects of 

today’s proposed rule. States can 

petition DOE for a waiver of such 

preemption to the extent, and based on 

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

6297) 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 (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 so 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 United States 

Attorney General (Attorney General). 

Section 3(c) of Executive Order 12988 

requires Executive agencies to review 

regulations in light of applicable 

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

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA; Pub. L. 

104–4, codified at 2 U.S.C. 1501 et seq.) 

requires each Federal agency to assess 

the effects of Federal regulatory actions 

on State, local, and Tribal governments 

and the private sector. For proposed 

regulatory actions likely to result in a 

rule that may cause expenditures 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 estimates of the resulting 

costs, benefits, and other effects on the 

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

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. (This policy is also available at 

http://www.gc.doe.gov.) Today’s 

proposed 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. 


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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 

proposed rule that may affect family 

well-being. Today’s proposed rule 

would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is unnecessary to 

prepare a Family Policymaking 

Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights,’’ 53 FR 8859 

(March 15, 1988), that this proposed 

regulation, if promulgated as a final 

rule, would not result in any takings 

that might require compensation under 

the Fifth Amendment to the U.S. 

Constitution. 

J. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

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

provides for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. The OMB’s 

guidelines were published in 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. 

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 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, it 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 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91), DOE must comply with section 32 

of the Federal Energy Administration 

Act of 1974 (Pub. L. 93–275), as 

amended by the Federal Energy 

Administration Authorization Act of 

1977 (15 U.S.C. 788). Section 32 

essentially provides, in relevant part, 

that where a proposed rule contains or 

involves 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 FTC concerning the 

impact of the commercial or industry 

standards on competition. 

Today’s SNOPR does not incorporate 

testing methods contained in 

commercial standards. 

V. Public Participation 

A. Submission of Comments 

DOE will accept comments, data, and 

other information regarding the SNOPR 

no later than the date provided in the 

DATES section at the beginning of this 

notice. Interested parties may submit 

comments using any of the methods 

described in the ADDRESSES section at 

the beginning of this rulemaking. 

Submitting comments via 

regulations.gov. The regulations.gov 

webpage will require you to provide 

your name and contact information. 

Your contact information will be 

viewable to DOE Building Technologies 

staff only. Your contact information will 

not be publicly viewable except for your 

first and last names, organization name 

(if any), and submitter representative 

name (if any). If your comment is not 

processed properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment or in any documents 

attached to your comment. Any 

information that you do not want to be 

publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Persons viewing comments will see only 

first and last names, organization 

names, correspondence containing 

comments, and any documents 

submitted with the comments. 

Do not submit to regulations.gov 

information for which disclosure is 

restricted by statute, such as trade 

secrets and commercial or financial 

information (hereinafter referred to as 

Confidential Business Information 

(CBI)). Comments submitted through 

regulations.gov cannot be claimed as 

CBI. Comments received through the 

Web site will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through regulations.gov before posting 

them online. Normally, comments will 

be posted within a few days of being 

submitted. However, if large volumes of 

comments are processed 

simultaneously, your comment may not 

be viewable for up to several weeks. 

Please keep the comment tracking 

number that regulations.gov provides 

after you have successfully uploaded 

your comment. 

Submitting comments via email, hand 

delivery, or mail. Comments and 

documents submitted via email, hand 

delivery, or mail also will be posted to 

regulations.gov. If you do not want your 

personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information on a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. The cover 

letter will not be publicly viewable as 

long as it does not include any 

comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. Email 

submissions are preferred. If you submit 

via mail or hand delivery, please 

provide all items on a CD, if feasible. It 

is not necessary to submit printed 

copies. No facsimiles (faxes) will be 

accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 


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PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are not 

secured, are written in English, and are 

free of any defects or viruses. 

Documents should not contain special 

characters or any form of encryption 

and, if possible, they should carry the 

electronic signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 

and 500 form letters per PDF, or as one 

form letter with a list of supporters’ 

names compiled into one or more PDFs. 

This reduces comment processing and 

posting time. 

Confidential Business Information. 

Pursuant to 10 CFR 1004.11, any person 

submitting information that he or she 

believes to be confidential and exempt 

by law from public disclosure should 

submit via email, postal mail, or hand 

delivery two well-marked copies: one 

copy of the document marked 

confidential including all the 

information believed to be confidential, 

and one copy of the document marked 

non-confidential with the information 

believed to be confidential deleted. 

Submit these documents via email or on 

a CD, if feasible. DOE will make its own 

determination about 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) when 

such information might lose its 

confidential character due to the 

passage of time; and (7) why disclosure 

of the information would be contrary to 

the public interest. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

B. Issues on Which DOE Seeks Comment 

Although comments are welcome on 

all aspects of this rulemaking, DOE is 

particularly interested in receiving 

comments on the following issues: 

1. What is/are the best curve fit(s) to 

approximate how the power 

consumption of a self-regulating 

crankcase heater approaches steadystate during an off-mode test? DOE 

offers equations in this SNOPR to fit two 

operational scenarios: that in which 

crankcase heater power increases with 

time, and that in which crankcase heater 

power decreases with time. 

2. Which hardware and controls 

designs would not be adequately 

covered by the proposed off-mode tests 

and calculations, if any? Please be as 

specific as possible in responding to this 

question. 

3. Is the proposed approach for not 

crediting coil-only units with any power 

consumption associated with the 

furnace or modular blower that it will 

be combined with in the field, including 

the low voltage transformer, acceptable? 

4. When testing a coil-only unit, the 

proposed requirement is that the 

selected low voltage transformer must 

be a ‘‘toroidal type,’’ with additional 

specifications provided by the 

manufacturer. Is this proposed 

requirement sufficient or insufficient in 

promoting repeatable results? 

5. For the case in which the 

manufacturer does not provide 

instructions for selecting the low voltage 

transformer used to test a coil-only unit, 

do the default specifications listed in 

proposed section 2.2(d) suffice and, if 

not, how can they be improved? 

6. To cover the different types of 

crankcase heaters and control strategies, 

the proposed lab testing and 

calculations require several steps. Are 

any of the specific steps unclear? If so, 

which ones and why? 

7. To update the cooling load hour 

and heating load hour distributions, 

more information is needed. Is there 

relevant data available to update these 

distributions? 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this SNOPR. 

List of Subjects in 10 CFR Part 430 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation test 

procedures, Household appliances, 

Imports, Intergovernmental relations, 

Small businesses. 

Issued in Washington, DC, on March 24, 

2011. 

Kathleen B. Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency, Office of Technology 

Development, Energy Efficiency and 

Renewable Energy. 

For the reasons set forth in the 

preamble, DOE proposes to amend part 

430 of chapter II of Title 10, Subpart B, 

Code of Federal Regulations, to read as 

follows: 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

1. The authority citation for Part 430 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 

2461 note. 

2. Appendix M to subpart B of part 

430 is amended: 

a. In section 1, Definitions, by: 

1. Redesignating sections 1.13 through 

1.47 as follows: 

Old sections New sections 

1.13 ................ 1.14. 

1.14 to 1.17 .... 1.16 to 1.19, respectively. 

1.18 to 1.25 .... 1.21 to 1.28, respectively. 

1.26 to 1.28 .... 1.31 to 1.33, respectively. 

1.29 ................ 1.35. 

1.30 to 1.33 .... 1.37 through 1.40, respectively. 

1.34 to 1.47 .... 1.42 through 1.55, respectively. 

2. Adding new sections 1.13, 1.15, 

1.20, 1.29, 1.30, 1.34, 1.36, and 1.41. 

b. In section 2, Testing Conditions, by 

adding, in section 2.2 new paragraph d. 

c. In section 3, Testing Procedures, by: 

1. Revising section 3.1. 

2. Adding new section 3.13. 

d. In section 4, Calculations of 

Seasonal Performance Descriptors, by: 

1. Adding new section 4.2.6. 

2. Revising section 4.3.1. 

3. Adding new section 4.5. 

4. Redesignating Tables 17 through 19 

as 18 through 20, respectively. 

The additions and revisions read as 

follows: 

APPENDIX M TO SUBPART B OF 

PART 430—UNIFORM TEST METHOD 

FOR MEASURING THE ENERGY 

CONSUMPTION OF CENTRAL AIR 

CONDITIONERS AND HEAT PUMPS 

* * * * * 

1. * * * 

* * * * * 

1.13 Blower coil unit means a residential 

central air conditioner or heat pump where 

the indoor-side refrigerant-to-air heat 

exchanger coil is packaged in the same 

cabinet as the indoor blower. All singlepackaged units are blower coil units; splitVerDate Mar<15>2010 17:06 Mar 31, 2011 Jkt 223001 PO 00000 Frm 00012 Fmt 4702 Sfmt 4702 E:\FR\FM\01APP1.SGM 01APP1

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system units may be either blower coil units 

or coil-only units. 

* * * * * 

1.15 Coil-only unit means a split-system 

residential central air conditioner or splitsystem heat pump where the indoor section 

includes a refrigerant-to-air heat exchanger 

coil but not a blower (fan). Coil-only units are 

designed to be installed and used in 

combination with a furnace or a modular 

blower. 

* * * * * 

1.20 Crankcase heater includes all 

devices and mechanisms for intentionally 

generating heat within and/or around the 

compressor sump volume to minimize the 

diluting of the compressor’s refrigerant oil by 

condensed refrigerant. 

* * * * * 

1.29 Fixed-output crankcase heater 

means any heater that is designed for its 

power dissipation rate to not change more 

than 5 percent per 20 °C change in outdoor 

ambient temperature, if all other operating 

parameters are held constant. 

* * * * * 

1.30 Global control designates equipment 

having a thermostatically controlled 

crankcase heater in which the electrical 

power supplied to the heater is switched on 

and off based on a temperature measurement 

or thermostat that is not influenced by 

crankcase heater, when energized (e.g., a 

thermostat that responds to ambient air 

temperature). 

* * * * * 

1.34 Local control designates equipment 

having a thermostatically controlled 

crankcase heater in which the electrical 

power supplied to the heater is switched on 

and off based on measurement or inference 

of the compressor’s sump temperature. 

* * * * * 

1.36 Modular blower means a separate, 

self-contained indoor section that contains a 

blower (fan) and is designed to be installed 

and operate with a variety of coil-only units. 

* * * * * 

1.41 Self-regulating crankcase heater 

means any heater whose power dissipation 

changes in a consistent and repeatable 

manner in proportion to changes in the 

outdoor ambient temperature, if all other 

operating parameters are held constant. A 

heater made from a material having a positive 

temperature coefficient is an example of a 

self-regulating crankcase heater. 

* * * * * 

2.2 * * * 

* * * * * 

d. When testing coil-only residential 

central air conditioners and heat pumps, 

install a toroidal type transformer to power 

the low-voltage components of the coil-only 

system. The manufacturer shall designate any 

additional specification for this transformer. 

If the manufacturer does not so designate, use 

a transformer having the following features: 

a nominal V-amp rating that results in the 

transformer being loaded from 25 and 90 

percent based on the highest power value 

expected and then confirmed during the offmode test; designed to operate with a 

primary input of 230 V, single phase, 60 Hz; 

and that provides an output voltage that is 

within the allowed range for each lowvoltage component. The power consumption 

of the lab-added low-voltage transformer, and 

the components connected to it, must be 

measured as part of the total system power 

consumption during the off-mode tests. This 

total system power for the coil-only unit, 

however, must then be reduced by the power 

consumed by the lab-added transformer 

when no load is connected to it. 

* * * * * 

3. * * * 

3.1 General Requirements. If, during the 

testing process, an equipment set-up 

adjustment is made that would alter the 

performance of the unit when conducting an 

already completed test, then repeat all tests 

affected by the adjustment. For cyclic tests, 

instead of maintaining an air volume rate for 

each airflow nozzle, maintain the static 

pressure difference or velocity pressure 

during an ON period at the same pressure 

difference or velocity pressure as measured 

during the steady-state test conducted at the 

same test conditions. 

Use the testing procedures in this section 

to collect the data used for calculating (1) 

Performance metrics for residential central 

air conditioners and heat pumps during the 

cooling season; (2) performance metrics for 

heat pumps during the heating season; and 

(3) power consumption metric(s) for 

residential central air conditioners and heat 

pumps during the off-mode season(s). For 

residential central air conditioners, the offmode seasons are the shoulder seasons that 

separate the cooling and heating seasons and 

the entire heating season. For residential heat 

pumps, the shoulder season is the only offmode season. 

* * * * * 

3.13 Laboratory testing to determine offmode average power ratings. 

3.13.1 Determine if the residential central 

air conditioner or heat pump has a 

compressor crankcase heater (see definition 

1.51). If so equipped, determine from the 

manufacturer if the compressor crankcase 

heater’s on/off operation is regulated using 

global control (see definition 1.53), local 

control (see definition 1.54), both local and 

global control, or is unregulated, with the 

heater operating continuously when the 

compressor is off. Also determine from the 

manufacturer if the crankcase heater is a 

fixed-output type (see definition 1.52) or a 

self-regulating type (see definition 1.56). Use 

Table 17 to determine the required test 

methods based on the type of crankcase 

heater installed. 


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3.13.2 For residential central air 

conditioners not having a compressor 

crankcase heater, conduct the following offmode test. 

3.13.2.1 Configure the controls of the 

residential central air conditioner to mimic 

the operating mode as if connected to a 

building thermostat that is set to the OFF 

position. No requirements are placed on the 

ambient conditions within the indoor and 

outdoor test rooms. The room conditions are 

allowed to change for the duration of this 

particular test. 

3.13.2.2 After the controls have been 

configured, wait at least 2 minutes. Then 

integrate the power consumption of the 

residential central air conditioner over a 5- 

minute interval. This integrated power 

consumption must include the power 

consumed by the low-voltage transformer 

and the low-voltage components connected 

to it. Calculate the average power 

consumption rate for the integration interval 

and designate it as P5. 

3.13.2.3 Power adjustment if testing a 

coil-only residential central air conditioner. 

For coil-only residential central air 

conditioners tested without an indoor blower 

installed and for residential central air 

conditioners tested and rated with a specific 

furnace or modular blower, reduce the 

overall system off-mode power measurement, 

P5, by the power supplied to components not 

part of the residential central air conditioner. 

If tested without an indoor blower, 

disconnect all low-voltage wiring from the 

low-voltage transformer and integrate the 

power consumption of the fully unloaded 

transformer over a 5-minute interval. If tested 

and rated with a specific furnace or specific 

modular blower, measure only the power 

supplied to the furnace or modular blower 

while idle (e.g., disconnect the low-voltage 

wiring for the components housed in the 

residential central air conditioner parts of the 

system from the transformer) and integrate 

this power over a 5-minute interval. 

Calculate the average power consumption of 

the fully unloaded transformer, idle furnace, 

or idle modular blower over the integration 

interval and designate it as PX. Subtract this 

average power consumption (PX) from the 

previously calculated overall system average 

power (P5) and designate it as P5X. 

3.13.2.4 For blower coil residential 

central air conditioners, round P5 to the 

nearest integer wattage value and record this 

rounded value as both P1 and P2. For coilonly residential central air conditioners, 

round P5X to the nearest integer wattage value 

and record this rounded value as both P1 and 

P2. If the resulting P1 and P2 are each less 

than 1 watt, assign each of them the value of 

zero. 

3.13.3 For heat pumps not having a 

compressor crankcase heater, conduct the 

following off-mode test. 

3.13.3.1 Configure the controls of the heat 

pump to mimic the operating mode as if 

connected to a building thermostat that is set 

to the COOL mode but whose temperature 

setpoint is satisfied. No requirements are 

placed on the ambient conditions within the 

indoor and outdoor test rooms. The room 

conditions are allowed to change for the 

duration of this particular test. 

3.13.3.2 After the controls have been 

configured, wait at least 2 minutes. Then 

integrate the power consumption of the heat 

pump over a 5-minute interval. This 

integrated power consumption must include 

the power consumed by the low-voltage 

transformer and the low-voltage components 

connected to it. Calculate the average power 

consumption rate for the integration interval. 

Record this value as P5C. 

3.13.3.3 Reconfigure the controls of the 

heat pump to mimic the operating mode as 

if connected to a building thermostat that is 

set to the HEAT mode but with its 

temperature setpoint satisfied. 

3.13.3.4 After the controls have been 

reconfigured, wait at least 2 minutes. Then 

integrate the power consumption of the heat 

pump over a 5-minute interval. Calculate the 


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average power consumption rate for the 

integration interval. Record this value as P5H. 

3.13.3.5 Power adjustment if testing a 

coil-only heat pump. For coil-only heat 

pumps tested without an indoor blower 

installed, and for heat pumps tested with a 

specific furnace or modular blower, reduce 

the overall system off-mode power 

measurements, P5C and P5H, by the power 

supplied to components not part of the heat 

pump. If tested without an indoor blower, 

disconnect all low-voltage wiring from the 

low-voltage transformer and integrate the 

power consumption of the fully unloaded 

transformer over a 5-minute interval. If tested 

and rated with a specific furnace or specific 

modular blower, take steps to measure only 

the power supplied to the furnace or modular 

blower while idle (i.e., disconnect the lowvoltage wiring for the components housed in 

the heat pump parts of the system from the 

transformer) and integrate this power over a 

5-minute interval. Calculate the average 

power consumption of the fully unloaded 

transformer, idle furnace, or idle modular 

blower over the integration interval and 

designate it as PX. Subtract this average 

power consumption (PX) from the previously 

calculated overall system average power 

values (P5C and P5H) and designate the 

differences as P5CX and P5HX. 

3.13.3.6 For blower coil heat pumps, 

calculate P1 = (P5C + P5H)/2 and round to the 

nearest integer wattage. For coil-only heat 

pumps, calculate P1 = (P5CX + P5HX)/2 and 

round to the nearest integer wattage. 

3.13.4 For residential central air 

conditioners having a compressor crankcase 

heater whose on/off operation is either 

unregulated or is regulated using only global 

control, conduct the following off-mode test. 

3.13.4.1 Configure the controls of the 

residential central air conditioner to mimic 

the operating mode as if connected to a 

building thermostat set to the OFF position 

and then wait at least 2 minutes. 

3.13.4.2 If the compressor crankcase 

heater is unregulated and so operates 

continuously when the unit is sitting idle, 

assign T00 = T100 = 75 °F. Skip to section 

3.13.4.5. 

3.13.4.3 If the compressor crankcase 

heater is regulated using global control, 

conduct the following steps. If the 

manufacturer-provided T00 is greater than or 

equal to 75 °F, T00 and T100 are deemed 

verified; skip to section 3.13.4.5. Otherwise, 

first evaluate T00 and T100 as described in 

section 3.13.4.4. 

3.13.4.4 If the compressor crankcase 

heater is regulated using global control and 

the manufacturer-provided T00 is less than 

75 °F, position a lab-added temperature 

sensor in the air between 2 and 6 inches from 

the crankcase heater thermostat used for the 

global control, or between 2 and 6 inches of 

the temperature sensor used by the crankcase 

heater’s global controller. For this off-mode 

test only, use this lab-added temperature 

sensor to measure the outdoor dry bulb 

temperature. Also, monitor the power 

measurement that includes the crankcase 

heater to provide an indication of when the 

crankcase heater is on versus off. Maintain 

the dry bulb temperature in the indoor test 

room between 75 °F and 85 °F. 

If the crankcase heater is energized by the 

global control device at the beginning of this 

evaluation process, achieve a dry bulb 

temperature in the outdoor test room that is 

equal to or less than the quantity of T100— 

5 °F, where T100 is the manufacturer 

provided value, and wait for 30 minutes. 

Thereafter, increase the dry bulb temperature 

in the outdoor test room in increments of no 

more than 1 °F per 5 minutes until the 

crankcase heater cycles off. When the heater 

cycles off, record the reading of the lab-added 

temperature sensor. If this reading is within 

±5 °F of the manufacturer-provided T100, 

then the manufacturer-provided value is 

deemed verified; otherwise, round the 

measured temperature of the lab-added 

sensor to the nearest 5 °F increment relative 

to a 65 °F reference (e.g., 65 °F, 70 °F, 75 °F, 

* * * or 60 °F, 55 °F, 50 °F, * * *) and 

designate this rounded value as the new 

T100. If the crankcase heater cycled off prior 

to beginning the 1 °F per 5 minute increases 

within the outdoor test room, the evaluation 

of T100 must be repeated after first 

evaluating T00 as described below. For this 

second attempt at evaluating T100, begin the 

1 °F per 5 minute increases after achieving 

a steady outdoor temperature for at least 30 

minutes during which the heater does not 

cycle off. 

Next, achieve a dry bulb temperature in the 

outdoor test room that is equal to or greater 

than the quantity of T00 + 5 °F, where T00 

is the manufacturer provided value, and wait 

for 30 minutes. Thereafter, begin decreasing 

the dry bulb temperature in the outdoor test 

room in increments of no more than 1 °F per 

5 minutes until the crankcase heater cycles 

on. When the heater cycles on, record the 

reading of the lab-added temperature sensor. 

If this reading is within ±5 °F of the 

manufacturer-provided T00, then the 

manufacturer-provided value is deemed 

verified; otherwise, round the measured 

temperature of the lab-added sensor to the 

nearest 5 °F increment relative to a 65 °F 

reference (e.g., 65 °F, 70 °F, 75 °F, * * * or 

60 °F, 55 °F, 50 °F, * * *) and designate this 

rounded value as the new T00. If the 

crankcase heater cycled on prior to beginning 

the 1 °F per 5 minute decreases within the 

outdoor test room, the evaluation of T00 

must be repeated after first evaluating T100 

as described above. For this second attempt 

at evaluating T00, begin the 1 °F per 5 minute 

decreases after achieving a steady outdoor 

temperature for at least 30 minutes during 

which the heater does not cycle on. 

If the crankcase heater is de-energized at 

the beginning of this evaluation process, 

reverse the steps described above: evaluate 

T00 and then T100. 

3.13.4.5 For crankcase heaters that are the 

fixed output type, conduct the average power 

consumption measurement(s) described in 

3.13.4.5.1. For crankcase heaters that are the 

self-regulating type, conduct the average 

power consumption measurements described 

in 3.13.4.5.2. 

3.13.4.5.1 If the crankcase heater is a 

fixed output type, integrate the power 

consumption of the residential central air 

conditioner over a 5-minute interval when 

the crankcase heater is on continuously. The 

temperature in the outdoor test room may 

need to be lowered to activate the heater for 

this test. This integration period may be 

conducted in combination with the steps 

described in section 3.13.4.4. The 

temperature of the outdoor test room is 

allowed to vary during the 5-minute data 

collection interval. Calculate the average 

power consumption rate for the integration 

interval and record it as P5N. 

If T00 is less than 75 °F, also integrate the 

power consumption of the residential central 

air conditioner over a 5-minute interval 

where the crankcase heater is off for the 

entire interval. The temperature in the 

outdoor test room may need to be increased 

to deactivate the heater for this test. 

Disconnecting the power to the heater is also 

permitted to temporarily disable it and obtain 

the off-mode power corresponding to no 

crankcase heater operation. The power 

integration period may be conducted in 

combination with the steps described in 

section 3.13.4.4. The temperature of the 

outdoor test room is allowed to vary during 

the 5-minute data collection interval. 

Calculate the average power from the 

integration interval and record it as P5F. 

The integrated power consumption 

measurements P5N and P5F, described above, 

must include the power consumed by the 

low-voltage transformer and the low-voltage 

components connected to it. 

3.13.4.5.1.1 For coil-only residential 

central air conditioners tested without an 

indoor blower installed and for residential 

central air conditioners tested with a specific 

furnace or modular blower, reduce the 

overall system off-mode power 

measurements, P5N and P5F, by the power 

supplied to the components that are not part 

of the residential central air conditioner. If 

tested without an indoor blower, disconnect 

all low-voltage wiring from the low-voltage 

transformer and integrate the power 

consumption of the fully unloaded 

transformer over a 5-minute interval. If tested 

and rated with a specific furnace or specific 

modular blower, measure only the power 

supplied to the furnace or modular blower 

while idle (e.g., disconnect the low-voltage 

wiring for the components housed in the 

residential central air conditioner parts of the 

system from the transformer) and integrate 

this power over a 5-minute interval. 

Calculate the average power consumption of 

the fully unloaded transformer, idle furnace, 

or idle modular blower for the integration 

interval and designate it as PX. Subtract this 

average power consumption (PX) from the 

previously calculated overall system average 

power to obtain the adjusted values. 

Calculate: 

3.13.4.5.1.2 For blower-coil residential 

central air conditioners, set PCC = P5N and 

PNC = P5F. 

3.13.4.5.2 If the crankcase heater is a selfregulating type, either three or four data 

collection intervals are required. Prior to 

beginning a data collection interval, maintain 

the outdoor room temperature at a nominally 

steady value that is between T00 and T00— 


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10 °F for at least 15 minutes. Also, for at least 

5 minutes prior to the start of a data 

collection interval, operate with the 

crankcase heater on. Then, with the 

crankcase heater remaining on continuously, 

record the power consumption of the 

residential central air conditioner and the 

outdoor room temperature at equal time 

intervals that each span 5 minutes or less. 

Discontinue the data collection when the 

outdoor room temperature varies 2 °F or less 

over at least a 3-hour interval; do not collect 

data for more than 24 hours. From power 

data recorded during the last 15 minutes of 

the data collection interval, calculate an 

average value and record it as P15. 

If the data collection interval is 20 hours 

or longer, set P241 equal to P15. Otherwise, 

curve fit the collected power [POM (tOM)] 

versus elapsed time (tOM) data from the data 

collection interval using the designated 

equation and determine the value of each 

curve fit constant U, V, W, and if applicable, 

Y. If the power data are generally decreasing 

with time over the data collection interval, 

use Equation 13.3–1; if the power data are 

generally increasing with time over the data 

collection interval, use Equation 13.3–2. 

Evaluate the equation for an elapsed time 

of 24 hours (tOM = 24 hours); make sure to 

express the elapsed time in the same units as 

used for the curve fit. If Equation 13.3–1 is 

used and the calculated value of power 

consumption at 24 hours is greater than P15, 

then set P241 equal to P15. If Equation 13.3– 

1 is used and the calculated value of power 

consumption at 24 hours is less than 0.85 × 

P15, then set P241 equal to 0.85 × P15. If 

Equation 13.3–2 is used and the calculated 

value of power consumption at 24 hours is 

less than P15, then set P241 equal to P15. If 

Equation 13.3–2 is used and the calculated 

value of power consumption at 24 hours is 

greater than 1.15 × P15, then set P241 equal to 

1.15 × P15. Otherwise, set the off-mode power 

P241 equal to POM(24 hr). Also calculate the 

average outdoor room temperature for the 

data collection interval and record it as TCC1. 

Repeat the above steps, only now at an 

outdoor test room temperature that is 25 °F 

to 35 °F lower than TCC1. Record the 

predicted power as P242 and the average 

outdoor temperature as TCC2. 

If T00 is less than 75 °F, also integrate the 

power consumption of the residential central 

air conditioner over a 5-minute interval 

where the crankcase heater is off for the 

entire interval. The temperature in the 

outdoor test room may need to be increased 

to deactivate the heater for this test. 

Disconnecting the power to the heater is also 

permitted to temporarily disable it and obtain 

the off-mode power corresponding to no 

crankcase heater operation. The power 

integration period may be conducted in 

combination with the steps described in 

section 3.13.4.4. The temperature of the 

outdoor test room is allowed to vary during 

this 5-minute data collection interval. 

Calculate the average power from the 

integration interval and record it as P5F. 

The above-described integrated power 

consumption measurements—P241, P242, and 

P5F—must include the power consumed by 

the low-voltage transformer and the lowvoltage components connected to it. 

3.13.4.5.2.1 For coil-only residential 

central air conditioners tested without an 

indoor blower installed and for residential 

central air conditioners tested and rated with 

a specific furnace or modular blower, reduce 

the overall system off-mode power 

measurements P241, P242, and P5F by the 

power supplied to the components that are 

not part of the residential central air 

conditioner. If tested without an indoor 

blower, disconnect all low-voltage wiring 

from the low-voltage transformer and 

integrate the power consumption of the full 

unloaded transformer over a 5-minute 

interval. If tested and rated with a specific 

furnace or a specific modular blower, 

measure only the power supplied to the 

furnace or modular blower while idle (e.g., 

disconnect the low-voltage wiring for the 

components housed in the residential central 

air conditioner parts of the system from the 

transformer) and integrate this power over a 

5-minute interval. Calculate the average 

power consumption of the fully unloaded 

transformer, idle furnace, or idle modular 

blower for the integration interval and 

designate it as PX. Subtract this average 

power consumption (PX) from the previously 

calculated overall system average power 

values to obtain the adjusted values. 

Calculate: 

3.13.4.5.2.2 For blower-coil residential 

central air conditioners, set PCC1 = P241, PCC2

= P242, and PNC = P5F. 

3.13.5 For residential central air 

conditioners having a compressor crankcase 

heater that is regulated using only local 

control, conduct the following off-mode test. 

3.13.5.1 Configure the controls of the 

residential central air conditioner to mimic 

the operating mode as if connected to a 

building thermostat set to the OFF position. 

3.13.5.2 Obtain and maintain an outdoor 

room temperature that is any temperature 

between 60 °F and 70 °F. Collect data over 

each complete ON + OFF cycle of the 

crankcase heater, from heater initiation to 

heater initiation. Integrate the power 

consumption of the residential central air 

conditioner and record outdoor room 

temperature during each complete cycle. 

Calculate the average power and average 

outdoor room temperature from each ON + 

OFF complete cycle and record them as PLC1

and TCC1, respectively. The elapsed time 

between the start of the first crankcase heater 

ON cycle and the test termination must be a 

minimum of 3 hours. Terminate the test 

when PLC1 changes by 1 watt or less for 

consecutive cycles and the outdoor 

temperature changes 2 °F or less over the 

entire interval required for the final two ON 

+ OFF cycles. As an alternative to waiting 

until this test termination criteria is satisfied, 

the manufacturer can choose to terminate the 

test when at least three consecutive ON + 

OFF cycles occur where the average power 

from each cycle is less than the average 

power from the prior cycle and the outdoor 

temperature changes 2 °F or less over the 

entire interval required for the final three ON 

+ OFF cycles. Save the PLC1 and TCC1 from 

the final cycle. Repeat these steps, only now 

at an outdoor test room temperature that is 

25 °F to 35 °F lower than TCC1. Record the 

average values from the final ON + OFF 

complete cycle as PLC2 and TCC2. The 

integrated power consumption measurements 

must include the power consumed by the 

low-voltage transformer and the low-voltage 

components connected to it. 

3.13.5.3 For coil-only residential central 

air conditioners tested without an indoor 

blower installed and for residential central 

air conditioners tested with a specific furnace 

or modular blower, reduce the overall system 

off-mode power measurement—PLC1 and 

PLC2—by power supplied to the components 

that are not part of the residential central air 

conditioner. If tested without an indoor 

blower, disconnect all low-voltage wiring 

from the low-voltage transformer and 

integrate the power consumption of the fully 

unloaded transformer over a 5-minute 

interval. If tested and rated with a specific 

furnace or specific modular blower, measure 

only the power supplied to the furnace or 

modular blower while idle (i.e., disconnect 

the low-voltage wiring for the components 

housed in the residential central air 

conditioner parts of the system from the 

transformer) and integrate this power over a 

5-minute interval. Calculate the average 


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power consumption of the fully unloaded 

transformer, idle furnace, or idle modular 

blower for the integration interval and 

designate it as PX. Subtract this average 

power consumption from the previously 

calculated overall system average power 

values to obtain the adjusted values. 

Calculate: 

3.13.5.4 For blower-coil residential 

central air conditioners, set PCC1 = PLC1 and 

PCC2 = PLC2. 

3.13.6 For residential central air 

conditioners having a compressor crankcase 

heater that is regulated using both local and 

global control, conduct the following offmode test. 

3.13.6.1 Configure the controls of the 

residential central air conditioner to mimic 

the operating mode as if connected to a 

building thermostat set to the OFF position. 

If the manufacturer-provided T00 is greater 

than or equal to 75 °F, T00 and T100 are 

deemed verified; conduct the testing 

specified in section 3.13.5 to determine PCC1, 

TCC1, PCC2, and TCC2. Otherwise, first 

evaluate T00 and T100 as described in 

section 3.13.4.4. In conducting the procedure 

specified in section 3.13.4.4, either 

temporarily disable the local control or 

confirm that the lab-derived values for T00 

and T100 correspond to the global control 

and not the local control of the crankcase 

heater. Thereafter, determine PCC1, TCC1, 

PCC2, and TCC2, as specified in section 3.13.5, 

only now conducting the first multiple ON + 

OFF cycle test at an outdoor temperature 

between T00 and T00¥10 °F, rather than 

between 60 °F and 70 °F. 

3.13.6.2 If T00 is less than 75 °F, also 

integrate the power consumption of the 

residential central air conditioner over a 5- 

minute interval where the crankcase heater is 

off for the entire interval. The temperature in 

the outdoor test room may need to be 

increased to deactivate the heater for this 

test. Disconnecting the power to the heater is 

also permitted to temporarily disable it and 

obtain the off-mode power corresponding to 

no crankcase heater operation. The power 

integration period may be conducted in 

combination with the steps described in 

section 3.13.4.4. The temperature of the 

outdoor test room is allowed to vary during 

the 5-minute data collection interval. 

Calculate the average power from the 

integration interval and record it as P5F. This 

quantity, P5F, must include the power 

consumed by the low-voltage transformer 

and the low-voltage components connected 

to it. 

3.13.6.2.1 For coil-only residential central 

air conditioners tested without an indoor 

blower installed and for residential central 

air conditioners tested with a specific furnace 

or modular blower, reduce P5F by the average 

power determined from the 5-minute power 

integration test described in 3.13.5.3 that 

corresponds to the fully unloaded 

transformer, idle furnace, or idle modular 

blower (PX). Record this adjusted value as 

PNC. 

3.13.6.2.2 For blower-coil residential 

central air conditioners, set PNC = P5F. 

3.13.7 For heat pumps having a 

compressor crankcase heater whose on/off 

operation is either unregulated or regulated 

using only global control, conduct the 

following off-mode test. 

3.13.7.1 Configure the controls of the heat 

pump to mimic the operating mode as if 

connected to a building thermostat that is set 

to the COOL mode but whose temperature 

setpoint is satisfied. Wait at least 2 minutes. 

3.13.7.2 If the compressor crankcase 

heater is unregulated and therefore operates 

continuously when the unit is sitting idle, 

assign T00 = T100 = 75 °F. Skip to section 

3.13.7.5. 

3.13.7.3 If the compressor crankcase 

heater is regulated using global control, 

conduct the following steps. If the 

manufacturer-provided T00 is greater than or 

equal to 75 °F, T00 and T100 are deemed 

verified; skip to section 3.13.7.5. Otherwise, 

first evaluate T00 and T100 as described in 

section 3.13.7.4. 

3.13.7.4 If the compressor crankcase 

heater is regulated using global control and 

the manufacturer-provided T00 is less than 

75 °F, verify or determine T00 and T100 as 

specified in section 3.13.4. 4. 

3.13.7.5 If T100 is less than 55 °F, 

calculate the off-mode power consumption as 

designated for a heat pump not having a 

crankcase heater, as per Section 3.13.3. 

Otherwise, for crankcase heaters that are the 

fixed output type, conduct the average power 

consumption measurement(s) described in 

3.13.7.5.1. For crankcase heaters that are the 

self-regulating type, conduct the average 

power consumption measurements described 

in 3.13.7.5.2. 

3.13.7.5.1 If the crankcase heater is a 

fixed output type, integrate the power 

consumption of the heat pump over a 

5-minute interval when the crankcase heater 

is on continuously. The temperature in the 

outdoor test room may need to be lowered to 

activate the heater for this test. This 

integration period may be conducted in 

combination with the steps described in 

section 3.13.4.4. The temperature of the 

outdoor test room is allowed to vary during 

the 5-minute data collection interval. 

Calculate the average power from the 

integration interval and record it as P5N. 

3.13.7.5.2 If the crankcase heater is a selfregulating type, maintain the outdoor room 

temperature at a nominally steady value that 

is between 70 °F and 75 °F or between 

T100¥3 °F and T100¥8 °F, whichever is 

lower, for at least 15 minutes prior to 

beginning a data collection interval. Also, for 

at least 5 minutes prior to the start of a data 

collection interval, operate with the 

crankcase heater on. Then, with the 

crankcase heater remaining on continuously, 

record the power consumption of the heat 

pump and the outdoor room temperature at 

equal time intervals that each span 5 minutes 

or less. Discontinue the data collection when 

the outdoor room temperature varies 2 °F or 

less over at least a 3-hour interval; do not 

collect data for more than 24 hours. From 

power data recorded during the last 15 

minutes of the data collection interval, 

calculate an average value and record it as 

P15. 

If the data collection interval is 20 hours 

or longer, set P241 equal to P15. Otherwise, 

curve fit the collected data, determine the 

curve fit constants, and evaluate the power 

quantity P241 and the average outdoor room 

temperature TCC1 as specified in section 

3.13.4.5.2. Repeat these steps, only now at an 

outdoor test room temperature that is 7 °F to 

12 °F lower than TCC1. Record the power 

quantity as P242 and the average outdoor 

temperature as TCC2. 

3.13.7.6 Integrate the power consumption 

of the heat pump over a 5-minute interval 

where the crankcase heater is off for the 

entire interval. The temperature in the 

outdoor test room may need to be increased 

to deactivate the heater for this test. 

Disconnecting the power to the heater to 

temporarily disable it is also permitted. The 

integration period may be conducted in 

combination with the steps described in 

section 3.13.4.4. The temperature of the 

outdoor test room is allowed to vary during 

this 5-minute data collection interval. 

Calculate the average power from the 

integration interval and record it as P5FC. 

Reconfigure the controls of the heat pump 

to mimic the operating mode if connected to 

a building thermostat that is set to the HEAT 

mode but whose temperature setpoint is 

satisfied. Wait at least 2 minutes. Then 

integrate the power consumption of the heat 

pump over a 5-minute interval where the 

crankcase heater is off for the entire interval. 

Calculate the average power from the 

integration interval and record it as P5FH. 

Calculate the mean of the two average power 

measurements where the crankcase heater 

was off and designate the average value as 

P5F = ([P5FC + P5FH]/2). 

3.13.7.7 The integrated power 

consumption measurements must include the 

power consumed by the low-voltage 

transformer and the low-voltage components 

connected to it. 

3.13.7.8 For coil-only heat pumps tested 

without an indoor blower installed and for 

heat pumps tested with a specific furnace or 

modular blower, reduce the overall system 

off-mode power measurements—P5N, P5FC, 

and P5F or P241, P242, P5FC, and P5F—by power 

supplied to the components not part of the 

heat pump. If tested without an indoor 

blower, disconnect all low-voltage wiring 

from the low-voltage transformer and 

integrate the power consumption of the fully 

unloaded transformer over a 5-minute 

interval. If tested with a specific furnace or 

specific modular blower, measure only the 

power supplied to the furnace or modular 

blower while idle (e.g., disconnect the lowvoltage wiring for the components housed in 

the heat pump parts of the system) and 

integrate this power over a 5-minute interval. 

Calculate the average power consumption of 

the fully unloaded transformer, idle furnace, 

or idle modular blower for the integration 

interval and designate it as PX. Subtract this 

average power consumption from the 

previously calculated overall system average 

power values to obtain the adjusted values. 

For heat pumps having a fixed-output type 

crankcase heater, calculate: 


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For heat pumps having a self-regulating 

type crankcase heater, calculate: 

3.13.7.9 For blower-coil heat pumps 

having a fixed output type crankcase heater, 

set PCC = P5N, PCNC = P5FC, and PNC = P5F. 

For blower-coil heat pumps having a selfregulating type crankcase heater, set PCC1 = 

P241, PCC2 = P242, PCNC = P5FC, and PNC = P5F. 

3.13.8 For heat pumps having a 

compressor crankcase heater that is regulated 

using only local control, conduct the 

following off-mode test. 

3.13.8.1 Configure the controls of the heat 

pump to mimic the operating mode if 

connected to a building thermostat that is set 

to the COOL mode with its temperature 

setpoint satisfied. 

3.13.8.2 Obtain and maintain an outdoor 

room temperature that is between 64 °F and 

66 °F. Collect data over each complete ON + 

OFF cycles of the crankcase heater, from 

heater initiation to heater initiation. Integrate 

the power consumption of the heat pump 

and record outdoor room temperature during 

each complete cycle. Calculate the average 

power and average outdoor room temperature 

from each ON + OFF complete cycle and 

record them as PLC and TCC, respectively. 

The elapsed time between the start of the first 

crankcase heater ON cycle and the test 

termination must be a minimum of 3 hours. 

Terminate the test when: (1) PLC changes 1 

watt or less for consecutive cycles, (2) the 

TCC for each of the final two complete cycles 

is between 64 °F and 66 °F, and (3) the 

outdoor temperature changes 2 °F or less over 

the entire interval required for the final two 

ON + OFF cycles. As an alternative to 

waiting until these test termination criteria 

are satisfied, the manufacturer may choose to 

terminate the test when: (1) at least three 

consecutive ON + OFF cycles occur where 

the average power from each cycle is less 

than the average power from the prior cycle, 

(2) the TCC for each of the final three 

complete cycles is between 64 °F and 66 °F, 

and (3) the outdoor temperature changes 2 °F 

or less over the entire interval required for 

the final three ON + OFF cycles. Save the PLC

from the final cycle. 

3.13.8.3 Next, integrate the power 

consumption of the heat pump over a 5- 

minute interval where the crankcase heater is 

off for the entire interval. Take whatever 

steps are needed to deactivate the heater for 

this test. Disconnecting the power to the 

heater is permitted. The temperature of the 

outdoor test room is allowed to vary during 

this 5-minute data collection interval. 

Calculate the average power from the 

integration interval and record it as P5FC. 

Reconfigure the controls of the heat pump 

to mimic the operating mode as if connected 

to a building thermostat that is set to the 

HEAT mode but whose temperature setpoint 

is satisfied. Wait at least 2 minutes. Then, 

integrate the power consumption of the heat 

pump over a 5-minute interval where the 

crankcase heater is off for the entire interval. 

Calculate the average power from the 

integration interval and record it as P5FH. 

Calculate the mean of the two average power 

measurements where the crankcase heater 

was off and designate this mean value as P5F

= [(P5FC + P5FH)/2]. 

3.13.8.4 The integrated power 

consumption measurements specified in 

sections 3.13.8.2 and 3.13.8.3 must include 

the power consumed by the low-voltage 

transformer and the low-voltage components 

connected to it. 

3.13.8.5 For coil-only heat pumps tested 

without an indoor blower installed and for 

heat pumps tested with a specific furnace or 

modular blower, reduce the overall system 

off-mode power measurements—PLC, P5FC, 

and P5F—by power supplied to the 

components that are not part of the heat 

pump. If tested without an indoor blower, 

disconnect all low-voltage wiring from the 

low-voltage transformer and integrate the 

power consumption of the fully unloaded 

transformer over a 5-minute interval. If tested 

with a specific furnace or specific modular 

blower, measure only the power supplied to 

the furnace or modular blower while idle 

(e.g., disconnect the low-voltage wiring for 

the components housed in the heat pump 

parts of the system) and integrate this power 

over a 5-minute interval. Calculate the 

average power consumption of the fully 

unloaded transformer, idle furnace, or idle 

modular blower for the integration interval 

and designate it as PX. Subtract this average 

power consumption from the previously 

calculated overall system average power 

values to obtain the adjusted values. 

Calculate: 

3.13.8.6 For blower-coil heat pumps, set 

PCC = PLC, PCNC = P5FC, and PNC = P5F. 

3.13.9 For heat pumps having a 

compressor crankcase heater that is regulated 

using both local and global control, conduct 

the following off-mode test. 

3.13.9.1 Configure the controls of the heat 

pump to mimic the operating mode as if 

connected to a building thermostat that is set 

to the COOL mode and its temperature 

setpoint is satisfied. 

3.13.9.2 If the manufacturer-provided T00 

is greater than or equal to 75 °F, T00 and 

T100 are deemed verified; conduct the 

testing specified in section 3.13.8 to 

determine PCC, PCNC, and PNC. Otherwise, 

first evaluate T00 and T100 as described in 

section 3.13.7.4. In conducting the procedure 

specified in section 3.13.7.4, take steps to 

either temporarily disable the local control or 

to confirm that the lab-derived values for T00 

and T100 correspond to the global 

thermostatic control and not the local 

thermostatic control. Thereafter, determine 

PCC, PCNC, and PNC as specified in section 

3.13.8, only now conducting the ON + OFF 

complete cyclic test at an average outdoor 

temperature that is within ±1 °F of the 

quantity 1⁄2 × [55 °F + (T00 + T100)/2], rather 

than a value that is between 64 °F and 66 °F. 

* * * * * 

4. * * * 

* * * * * 

4.2.6 Off-mode seasonal power and 

energy consumption calculations. 

4.2.6.1 Off-mode seasonal power 

consumption for the shoulder season, P1. For 

residential central air conditioners and heat 

pumps, the off-mode power consumption for 

the shoulder seasons is a single value that 

applies for all locations. Calculate P1 as 

specified in 4.2.6.1.1 to 4.2.6.1.3.4. 

4.2.6.1.1 Residential central air 

conditioners and heat pumps that do not 

have a compressor crankcase heater. For 

residential central air conditioners and heat 

pumps not having a compressor crankcase 

heater, assign P1 as specified in sections 

3.13.2 and 3.13.3, respectively. 

4.2.6.1.2 Residential central air 

conditioners that have a compressor 

crankcase heater. Evaluate P1 using 

where the off-mode power values for the 

four outdoor temperatures depend on 

whether the heater is thermostatically 

controlled and, in some cases, whether the 

crankcase heater is a fixed output type or a 

self-regulating type. The thermostatic control 

may qualify as global, local, or both—see 

definitions 1.53 and 1.54. The most common 

example of global control is a crankcase 

heater that is regulated by an outdoor 

temperature thermostat. 

4.2.6.1.2.1 Residential central air 

conditioner crankcase heater is unregulated. 

For fixed-output type crankcase heaters, set 

P1 = PCC, as determined in section 3.13.4.5.1 

and its subsections, and round to the nearest 


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18122 Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 

integer watt. For self-regulating type 

crankcase heaters, evaluate: 

PCC1, PCC2, TCC1, and TCC2 are determined 

as specified in section 3.13.4.5.2 and its 

subsections. 

4.2.6.1.2.2 Residential central air 

conditioner crankcase heater is regulated 

using only global control. 

If the residential central air conditioner’s 

T00 is greater than or equal to 75 °F, 

determine the shoulder season off-mode 

power consumption as specified in sections 

4.2.6.1.2 and 4.2.6.1.2.1. If T00 is less than 

75 °F, use the following. For fixed-output 

type crankcase heaters, calculate 

PCC and PNC are determined as specified in 

section 3.13.4.5.1 and its subsections, and 

T00 and T100 are determined as specified 

in 3.13.4.3 or 3.13.4.4. 

For self-regulating type crankcase heaters, 

calculate: 

PCC1, PCC2, PNC, TCC1, and TCC2 are 

determined as specified in section 3.13.4.5.2 

and its subsections, and FCC(Tj) is calculated 

as shown above. 

4.2.6.1.2.3 Residential central air 

conditioner crankcase heater is regulated 

using only local control. 

For both fixed-output type and selfregulating type crankcase heaters, calculate 

PCC1, PCC2, TCC1, and TCC2 are determined 

as specified in section 3.13.5. 

4.2.6.1.2.4 Residential central air 

conditioner crankcase heater is regulated 

using both global and local control. If the 

heat pump’s T00 is greater than or equal to 

75 °F, determine the off-mode power 

consumption as specified in sections 

4.2.6.1.2 and 4.2.6.1.2.3. If T00 is less than 

75 °F, use the following. For both fixedoutput type and self-regulating type 

crankcase heaters, calculate 


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Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 18123 

PCC1, PCC2, PNC, TCC1, and TCC2 are 

determined as specified in section 3.13.6 and 

FCC(Tj) is calculated as shown in section 

4.2.6.1.2.2. 

4.2.6.1.3 Heat pumps that have a 

compressor crankcase heater. The 

calculations for the heat pump’s shoulder 

season off-mode power value depends on 

whether the heater is thermostatically 

controlled and, in some cases, whether the 

crankcase heater is a fixed-output type or a 

self-regulating type. The thermostatic control 

may qualify as global, local, or both—see 

definitions 1.53 and 1.54. 

4.2.6.1.3.1 Heat pump crankcase heater is 

unregulated. For fixed-output type crankcase 

heaters, evaluate: 

PCC, PCNC, and PNC are determined as 

specified in section 3.13.7 and its 

subsections. 

For self-regulating type crankcase heaters, 

evaluate: 

PCC1, PCC2, PCNC, PNC, TCC1, and TCC2 are 

determined as specified in section 3.13.7 and 

its subsections. 

4.2.6.1.3.2 Heat pump crankcase heater is 

regulated using only global control. If the 

heat pump’s T00 is greater than or equal to 

75 °F, determine the shoulder season offmode power consumption as specified in 

section 4.2.6.1.3.1. If the heat pump’s T100 

is less than 55 °F, determine the shoulder 

season off-mode power consumption as 

designated for a heat pump not having a 

crankcase heater, as per section 4.2.6.1.1. If 

T00 is less than 75 °F and T100 is greater 

than 55 °F, use the following: 

For fixed-output type crankcase heaters, 

calculate 

PCC, PCNC, and PNC are determined as 

specified in Section 3.13.7 and its 

subsections, and 


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18124 Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 

T00 and T100 are determined as specified 

in 3.13.7.3 or 3.13.7.4. 

For self-regulating type crankcase heaters, 

calculate: 

PCC1, PCC2, PCNC, PNC, TCC1, and TCC2 are 

determined as specified in section 3.13.7 and 

its subsections, and FCC(Tj) is calculated as 

shown above. 

4.2.6.1.3.3 Heat pump crankcase heater is 

regulated using local control. For both fixedoutput type and self-regulating type 

crankcase heaters, calculate 

PCC, PCNC, and PNC are determined as 

specified in section 3.13.8 and its 

subsections. 

4.2.6.1.3.4 Heat pump crankcase heater is 

regulated using both global and local control. 

If the heat pump’s T00 is greater than or 

equal to 75 °F, determine the shoulder season 

off-mode power consumption as specified in 

section 4.2.6.1.3.1. If the heat pump’s T100 

is less than 55 °F, determine the shoulder 

season off-mode power consumption as 

designated for a heat pump not having a 

crankcase heater, as per section 4.2.6.1.1. If 

T00 is less than 75 °F and T100 is greater 

than 55 °F, use the following. For both fixedoutput type and self-regulating type 

crankcase heaters, calculate 

PCC, PCNC, and PNC are determined as 

specified in section 3.13.9 and its 

subsections, and FCC(Tj) is calculated as 

shown in section 4.2.6.1.3.2. 

4.2.6.2 Off-mode seasonal power 

consumption for residential central air 

conditioners during the heating season, P2. 

For residential central air conditioners, the 

off-mode seasonal power consumption for 

the heating season is calculated as a single 

value that depends on the bin weather 

distribution. Refer to Table 18 for the 

fractional bin hour distribution, nj/N, for the 

six generalized climatic regions depicted in 

Figure 2. The calculation of P2, in addition, 

varies for different types of systems. For 

residential central air conditioners having a 

compressor crankcase heater, for example, 

the off-mode power consumption depends on 

whether the heater is thermostatically 

controlled and, in some cases, whether the 

crankcase heater is a fixed-output type or a 

self-regulating type. The thermostatic control 

may qualify as global, local, or both—see 

definitions 1.53 and 1.54. The most common 

example of global control is a crankcase 

heater that is regulated by an outdoor 

temperature thermostat. In all cases, round 

P2 to the nearest integer watt. 

Heat pumps do not have a P2 rating 

because they are either in an active mode or 

a standby mode during the heating season, 

with their seasonal heating performance 

being represented by their HSPF rating. 

4.2.6.2.1 Residential central air 

conditioners that do not have a compressor 

crankcase heater. For residential central air 

conditioners and heat pumps not having a 

compressor crankcase heater, assign P2 as 

specified in section 3.13.2. 

4.2.6.2.2 Residential central air 

conditioners that have a compressor 

crankcase heater that is unregulated. For 

fixed-output type crankcase heaters, set P2 = 

PCC, as determined in sections 3.13.4.2 and 

3.13.4.5 and their subsections. For selfregulating type crankcase heaters, evaluate: 

PCC1, PCC2, TCC1, and TCC2 are determined 

as specified in section 3.13.4.5 and its 

subsections. 

4.2.6.2.3 Residential central air 

conditioners that have a compressor 

crankcase heater that is regulated using 

global control. If the residential central air 

conditioner’s T00 is greater than or equal to 

65 °F, determine the heating season off-mode 

power consumption as specified in section 

4.2.6.2.2. If T00 is less than 65 °F, use the 

following: 


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Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 18125 

For fixed-output type crankcase heaters, 

PCC and PNC are determined as specified in 

section 3.13.4.5 and its subsections, and 

T00 and T100 are determined as specified 

in 3.13.4.3 or 3.13.4.4. 

For self-regulating type crankcase heaters, 

PCC1, PCC2, PNC, TCC1, and TCC2 are 

determined as specified in section 3.13.4.5 

and its subsections, and FCC(Tj) is calculated 

as shown above. 

4.2.6.2.4 Residential central air 

conditioners that have a compressor 

crankcase heater that is regulated using local 

control. For both fixed-output type and selfregulating type crankcase heaters, calculate: 

PCC1, PCC2, TCC1, and TCC2 are determined 

as specified in section 3.13.5 and its 

subsections. 

4.2.6.2.5 Residential central air 

conditioners that have a compressor 

crankcase heater that is regulated using both 

global and local control. If the heat pump’s 

T00 is greater than or equal to 65 °F, 

determine the off-mode power consumption 

as specified in section 4.2.6.2.4. If T00 is less 

than 65 °F, use the following. For both fixedoutput type and self-regulating type 

crankcase heaters, 


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18126 Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 

PCC1, PCC2, PNC, TCC1, and TCC2 are 

determined as specified in section 3.13.6 and 

its subsections, and FCC(Tj) is calculated as 

shown in section 4.2.6.2.3. 

4.2.6.3 National-average off-mode power 

rating. For residential central air 

conditioners, combine the off-mode power 

rating for the shoulder season, P1, with the 

off-mode seasonal power rating for the 

heating season, P2, by weighting these ratings 

with respect to the lengths of respective 

national average seasons: 739 hours for the 

shoulder seasons and 5,216 hours for the 

heating season. 

For residential central air conditioners: 

PWOFF = PWOFF = 0.124 × P1 + 0.876 × P2 

For heat pumps, assign PWOFF = P1 

4.2.6.4 Off-mode seasonal energy 

consumption. 

4.2.6.4.1 For the shoulder seasons. 

Calculate the off-mode energy consumption 

for the shoulder season, E1, using 

E1 = P1 · SSH 

where P1 is determined as specified in 

section 4.2.8.1 and the SSH are provided in 

Table 19 for the six generalized climatic 

regions along with the national average rating 

values. 

TABLE 20—REPRESENTATIVE COOLING AND HEATING LOAD HOURS AND THE CORRESPONDING SET OF SEASONAL HOURS

FOR EACH GENERALIZED CLIMATIC REGION

Climatic region 

Cooling load 

hours 

CLHR

Heating load 

hours 

HLHR

Cooling season hours 

CSHR

Heating season hours 

HSHR

Shoulder season hours 

SSHR

I ............................................................................................ 2400 750 6731 1826 203 

II ........................................................................................... 1800 1250 5048 3148 564 

III .......................................................................................... 1200 1750 3365 4453 942 

IV .......................................................................................... 800 2250 2244 5643 873 

Rating Values ....................................................................... 1000 2080 2805 5216 739 

V ........................................................................................... 400 2750 1122 6956 682 

VI .......................................................................................... 200 2750 561 6258 1941 

4.2.6.4.2 For the heating season— 

residential central air conditioners only. 

Calculate the off-mode energy consumption 

of a residential central air conditioner during 

the heating season, E2, using 

E2 = P2 · HSH 

where P2 is determined as specified in 

section 4.2.6.2 and the HSH are provided in 

Table 19 for the six generalized climatic 

regions along with the national average rating 

values. 

* * * * * 

4.3.1 Calculation of actual regional 

annual performance factors (APFA) for a 

particular location and for each standardized 

design heating requirement. 

where, 

CLHA = the actual cooling hours for a 

particular location as determined using 

the map given in Figure 3, hr. 

= the space cooling capacity of the unit 

as determined from the A or A2 Test, 

whichever applies, Btu/h. 

HLHA = the actual heating hours for a 

particular location as determined using 

the map given in Figure 2, hr. 

DHR = the design heating requirement used 

in determining the HSPF; refer to section 

4.2 and definition 1.22, Btu/h. 

C = defined in section 4.2 following Equation 

4.2–2, dimensionless. 

SEER = the seasonal energy efficiency ratio 

calculated as specified in section 4.1, 

Btu/W · h. 

HSPF = the heating seasonal performance 

factor calculated as specified in section 

4.2 for the generalized climatic region 

that includes the particular location of 

interest (see Figure 2), Btu/W·h. The 

HSPF should correspond to the actual 

design heating requirement (DHR), if 

known. If it does not, it may correspond 

to one of the standardized design heating 

requirements referenced in section 4.2. 

P1 = the off-mode seasonal power 

consumption for the shoulder season, as 

determined in section 4.2.6.1, W, and 

P2 = the off-mode seasonal power 

consumption for the heating season, as 

determined in section 4.2.6.2, W. 

Evaluate the HSH using 

Where TOD and nj/N are listed in Table 19 

and depend on the location of interest 

relative to Figure 2. For the six generalized 

climatic regions, this equation simplifies to 

the following set of equations: 

Region I HSH = 2.4348 × HLH 

Region II HSH = 2.5182 × HLH 

Region III HSH = 2.5444 × HLH 

Region IV HSH = 2.5078 × HLH 

Region V HSH = 2.5295 × HLH 

Region VI HSH = 2.2757 × HLH 

Evaluate the shoulder season hours using 

SSH = 8760 ¥ (CSH + HSH) 

where, 

CSH = the cooling season hours calculated 

using CSH = 2.8045 × CLH. 

* * * * * 

4.5 Energy Efficiency Ratio (EER) 

Calculations. 

Calculate the energy efficiency ratio using, 


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Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Proposed Rules 18127 

* * * * * 

[FR Doc. 2011–7437 Filed 3–31–11; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF ENERGY 

10 CFR Part 431 

[Docket No. EERE–2009–BT–STD–0018] 

RIN 1904–AC00 

Energy Conservation Standards for 

Metal Halide Lamp Fixtures: Public 

Meeting and Availability of the 

Preliminary Technical Support 

Document 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of public meeting and 

availability of preliminary technical 

support document. 

SUMMARY: The U.S. Department of 

Energy (DOE) will hold a public meeting 

to discuss and receive comments on: the 

equipment classes that DOE plans to 

analyze for purposes of establishing 

energy conservation standards for metal 

halide lamp fixtures (MHLFs); the 

analytical framework, models, and tools 

that DOE is using to evaluate standards 

for this equipment; the results of 

preliminary analyses DOE performed for 

this equipment; and potential energy 

conservation standard levels derived 

from these analyses that DOE could 

consider for this equipment. DOE 

encourages written comments on these 

subjects. To inform interested parties 

and facilitate this process, DOE has 

prepared an agenda, a preliminary 

technical support document (TSD), and 

briefing materials, which are available at 

http://www1.eere.energy.gov/buildings/

appliance_standards/commercial/

metal_halide_lamp_fixtures.html. 

DATES: DOE will hold a public meeting 

on Monday, April 18, 2011 beginning at 

9 a.m. in Washington, DC. The agenda 

for the public meeting will cover this 

energy conservation standards 

rulemaking for MHLFs. Any person 

requesting to speak at the public 

meeting should submit such a request, 

along with an electronic copy of the 

statement to be given at the public 

meeting, before Monday, April 11, 2011. 

Written comments are welcome, 

especially following the public meeting, 

and should be submitted by May 16, 

2011. 

In addition, you can attend the public 

meeting via webinar. Webinar 

registration information, participant 

instructions, and information about the 

capabilities available to webinar 

participants will be published on DOE’s 

Web site at: http://www1.eere.energy.

gov/buildings/appliance_standards/

commercial/metal_halide_lamp_

fixtures.html. Participants are 

responsible for ensuring their systems 

are compatible with the webinar 

software. 

ADDRESSES: The public meeting will be 

held at the U.S. Department of Energy, 

Forrestal Building, Room 8E–089, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. Please 

note that foreign nationals participating 

in the public meeting are subject to 

advance security screening procedures. 

If a foreign national wishes to 

participate in the public meeting, please 

inform DOE of this fact as soon as 

possible by contacting Ms. Brenda 

Edwards at (202) 586–2945 so that the 

necessary procedures can be completed. 

Interested persons may submit 

comments, identified by docket number 

EERE–2009–BT–STD–0018, by any of 

the following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

• E-mail: MHLF-2009-STD0018@ee.doe.gov. Include EERE–2009– 

BT–STD–0018 and/or RIN 1904–AC00 

in the subject line of the message. 

• Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

Public Meeting for Metal Halide Lamp 

Fixtures, EERE–2009–BT–STD–0018, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone (202) 586–2945. Please 

submit one signed paper original. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, Sixth 

Floor, 950 L’Enfant Plaza, SW., 

Washington, DC 20024. Telephone (202) 

586–2945. Please submit one signed 

paper original. 

Instructions: All submissions received 

must include the agency name and 

docket number. 

Docket: Access to the docket to review 

background documents, the transcript of 

the public meeting, or comments 

received is available at the U.S. 

Department of Energy, Sixth Floor, 950 

L’Enfant Plaza, SW., Washington, DC 

20024, (202) 586–2945, between 9 a.m. 

and 4 p.m., Monday through Friday, 


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