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[Federal Register Volume 77, Number 242 (Monday, December 17, 2012)]
[Rules and Regulations]
[Pages 74559-74573]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-30193]

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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EERE-2009-BT-TP-0013]
RIN 1904-AB95

Energy Conservation Program for Consumer Products: Test 
Procedures for Residential Water Heaters, Direct Heating Equipment, and 
Pool Heaters (Standby Mode and Off Mode)

AGENCY:  Office of Energy Efficiency and Renewable Energy, Department 
of Energy.

ACTION: Final rule.

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SUMMARY:  Where appropriate, the U.S. Department of Energy (DOE) is 
amending its test procedures for residential water heaters, direct 
heating equipment (DHE), and pool heaters to include provisions for 
measuring standby mode and off mode energy consumption, as required by 
the Energy Independence and Security Act of 2007 (EISA 2007). DOE has 
concluded that such amendments are necessary for direct heating 
equipment and pool heaters, but test procedure amendments are not 
necessary for residential water heaters, because the existing test 
procedures for those products already address standby mode and off mode 
energy use. These test procedure amendments are primarily based upon 
provisions of the latest version of the International Electrotechnical 
Commission (IEC) Standard 62301 (Second Edition 2011-01), ``Household 
electrical appliances--Measurement of standby power,'' which is 
incorporated by reference. For direct heating equipment and pool 
heaters, this final rule also adds new calculations to determine the 
annual energy consumption associated with product operation in standby 
mode and off mode, and it modifies the existing energy consumption 
equations to integrate standby mode and off mode energy consumption 
into the calculation of overall annual energy consumption of these 
products. For pool heaters only, the standby mode and off mode energy 
consumption is integrated into the efficiency metric. This rulemaking 
also adopts a number of definitions for key terms, as well as clarifies 
the rounding guidance and sampling provisions for the new measurement 
of standby mode and off mode.

DATES:  This rule is effective January 16, 2013. The incorporation by 
reference of certain publications listed in this rule is approved by 
the Director of the Federal Register on January 16, 2013.
    The compliance date for any representations relating to standby 
mode and off mode of residential direct heating equipment and pool 
heaters is June 17, 2013; on and after this date, any such 
representations must be based upon results generated under these test 
procedures and sampling plans. For purposes of compliance with energy 
conservation standards, these test procedure amendments related to 
standby mode and off mode are not required at this time, but their use 
will be required upon the compliance date of the next standards final 
rule which will address standby mode and off mode.

ADDRESSES:  The docket for this rulemaking is available for review at 
www.regulations.gov, including Federal Register notices, public meeting 
attendee lists and transcripts, comments, and other supporting 
documents/materials. All documents in the docket are listed in the 
www.regulations.gov index. However, not all documents listed in the 
index may be publicly available, such as information that is exempt 
from public disclosure.
    A link to the docket Web page can be found at www.regulations.gov. 
This Web page will contain a link to the docket for this notice in the 
www.regulations.gov Web site. The www.regulations.gov Web page contains 
simple instructions on how to access all documents, including public 
comments, in the docket.
    For further information on how to review the docket, contact Ms. 
Brenda Edwards at (202) 586-2945 or by email: 
Brenda.Edwards@ee.doe.gov.

FOR FURTHER INFORMATION CONTACT: Mr. Mohammed Khan, 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) 586-7892. Email: 
Mohammed.Khan@ee.doe.gov.
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC 20585. 
Telephone: (202) 586-9507. Email: Eric.Stas@hq.doe.gov.

SUPPLEMENTARY INFORMATION: This final rule incorporates by reference 
into Part 430 the following standard:
    ANSI Z21.56-2006 (``ANSI Z21.56''), Standard for Gas-Fired Pool 
Heaters, approved December 13, 2005, IBR approved for Appendix P to 
Subpart B.
    Copies of the ANSI Z21.56-2006 can be purchased from the American 
National Standards Institute, 11 West 42nd Street, New York, New York 
10036, (212) 642-4936, or http://webstore.ansi.org.

Table of Contents

I. Background and Authority
II. Summary of the Final Rule
III. Discussion
    A. Determination Not To Amend Test Procedures for Residential 
Water Heaters
    B. Use of IEC Standard 62301 (Second Edition), ``Household 
Electrical Appliances--Measurement of Standby Power''
    C. Requirements for Unvented Heaters and Exclusion From Testing
    D. Technical Feasibility of an Integrated Efficiency Metric for 
Vented Heaters and Pool Heaters
    E. Hearth Products Coverage
    F. Review of Burner Operating Hours Estimates
    G. Other Issues Raised in the Supplemental Notice of Proposed 
Rulemaking
IV. Effective Date and Compliance Date
V. Compliance With Other EPCA Requirements
VI. 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
    M. Congressional Notification
VII. Approval of the Office of the Secretary

I. Background and Authority

    Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291 
et seq.; EPCA or the Act) sets forth a variety of provisions designed 
to improve energy efficiency. Part A \1\ of Title III (42 U.S.C. 6291-
6309) establishes the ``Energy Conservation Program for Consumer 
Products Other Than Automobiles,'' including

[[Page 74560]]

residential water heaters, direct heating equipment, and pool heaters 
(all of which are referenced below as ``covered products'').\2\ (42 
U.S.C. 6292(a)(4), (9), and (11))
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    \1\ This part was originally titled Part B. It was redesignated 
Part A in the United States Code for editorial reasons.
    \2\ All references to EPCA refer to the statute as amended 
through the Energy Independence and Security Act of 2007, Public Law 
110-140.
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    Under the Act, this program consists essentially of four parts: (1) 
Testing; (2) labeling; (3) establishing Federal energy conservation 
standards; and (4) certification and enforcement procedures. 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 making representations about the efficiency of 
those products. (42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) Similarly, DOE 
must use these test procedures to determine whether the products comply 
with standards adopted under EPCA. (42 U.S.C. 6295(s))
    Under 42 U.S.C. 6293, EPCA sets forth criteria and procedures that 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA provides, in relevant part, that any test 
procedures prescribed or amended under this section must 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, and must 
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 the extent to which the proposed test 
procedure would alter the product's measured energy efficiency. (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))
    On December 19, 2007, the Energy Independence and Security Act of 
2007 (EISA 2007), Public Law 110-140, was enacted. The EISA 2007 
amendments to EPCA, in relevant part, require DOE to amend the test 
procedures for all covered products to include measures of standby mode 
and off mode energy consumption. Specifically, section 310 of EISA 2007 
provides definitions of ``active mode,'' ``standby mode,'' and ``off 
mode'' (42 U.S.C. 6295(gg)(1)(A)); however, the statute permits DOE to 
amend these definitions in the context of a given product (42 U.S.C. 
6295(gg)(1)(B)). The statute requires integration of such energy 
consumption into the overall energy efficiency, energy consumption, or 
other energy descriptor for each covered product, unless the Secretary 
determines that: (1) The current test procedures for a covered product 
already fully account for and incorporate the standby mode and off mode 
energy consumption of the covered product; or (2) such an integrated 
test procedure is technically infeasible for a particular covered 
product, in which case the Secretary shall prescribe a separate standby 
mode and off mode energy use test procedure for the covered product, if 
technically feasible. (42 U.S.C. 6295(gg)(2)(A))
    Under the statutory provisions adopted by EISA 2007, any such 
amendment must consider the most current versions of IEC Standard 
62301, Household electrical appliances--Measurement of standby power, 
and IEC Standard 62087, Methods of measurement for the power 
consumption of audio, video, and related equipment .\3\ Id. At the time 
of enactment of EISA 2007, the most current version of the relevant IEC 
standard was IEC Standard 62301 (First Edition 2005-06).\4\
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    \3\ IEC standards are available for purchase at: www.iec.ch.
    \4\ EISA 2007 directs DOE to also consider IEC Standard 62087 
when amending its test procedures to include standby mode and off 
mode energy consumption. See 42 U.S.C. 6295(gg)(2)(A). However, IEC 
Standard 62087 addresses the methods ofmeasuring the power 
consumption of audio, video, and related equipment. Accordingly, the 
narrow scope of this particular IEC standard reduces its relevance 
to today's rule.
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    DOE's test procedures for residential water heaters are found in 
the Code of Federal Regulations (CFR) at 10 CFR 430.23(e) and 10 CFR 
part 430, subpart B, appendix E. The test procedures include provisions 
for determining the energy efficiency (energy factor (EF)), as well as 
the annual energy consumption of these products.
    There are separate test procedures for the two types of direct 
heating equipment (i.e., vented home heating equipment and unvented 
home heating equipment), specifically 10 CFR 430.23(g) and 10 CFR part 
430, subpart B, appendix G for unvented home heating equipment, and 10 
CFR 430.23(o) and 10 CFR part 430, subpart B, appendix O for vented 
home heating equipment. (Hereafter in this notice, the terms ``vented 
heater'' and ``unvented heater'' are used as shorthand to describe the 
two types of direct heating equipment.) The vented heater test 
procedures include provisions for determining energy efficiency (annual 
fuel utilization efficiency (AFUE)), as well as annual energy 
consumption. The unvented heater test procedures currently have no 
provisions for determining energy efficiency, as all unvented heaters 
are considered 100-percent efficient, because there is no opportunity 
for energy loss as is the case for vented heaters. However, for 
unvented heaters that are the primary heating source for the home, 
there is a calculation of annual energy consumption based on a single 
assignment of active mode hours. For unvented heaters that are not the 
primary heating source for the home, there are no calculation 
provisions for either efficiency or annual energy consumption. Given 
that unvented heaters are considered 100-percent efficient, DOE has not 
established a test procedure for determining energy efficiency of these 
products (and thus, has not established energy conservation standards 
for these products), as there would be no energy savings that would 
result from such actions.
    DOE's test procedures for pool heaters are found at 10 CFR 
430.23(p) and 10 CFR part 430, subpart B, appendix P. The test 
procedures include provisions for determining two energy efficiency 
descriptors (i.e., thermal efficiency and pool heater heating seasonal 
efficiency), as well as seasonal energy consumption.
    The test procedures for residential water heaters include a full-
year accounting of energy use, both electricity and fossil fuel as 
applicable to a given water heater. Specifically, the standby loss 
testing in the existing test procedure is synonymous with what EISA 
2007 asks for inclusion in all test procedures, and, the EISA 2007 
definition of ``off mode'' is inapposite to water heater operation. 
Accordingly, it was tentatively concluded that the current test 
procedures for water heaters already fully account for and incorporate 
measurement of standby mode and off mode energy consumption, as 
required by EISA 2007.
    It is important to note that fossil-fueled direct heating equipment 
and pool heaters typically consume both fossil fuel and electricity. 
Electric direct heating equipment only consumes electricity. In the 
existing test procedures for direct heating equipment, fossil-fuel 
energy consumption is accounted for comprehensively over a full-year 
cycle, thereby satisfying EISA 2007

[[Page 74561]]

requirements for fossil-fuel standby mode and off mode energy 
consumption. In the existing test procedures for pool heaters, fossil-
fuel standby mode is included but off mode is not included. Electrical 
energy consumption in standby mode and off mode is not accounted for in 
either the direct heating equipment or pool heater test procedure.
    Proposed amendments to account for the energy consumption in 
standby mode and off mode of the products subject to this rulemaking 
were included in a notice of proposed rulemaking (NOPR) that was 
published in the Federal Register on August 30, 2010. 75 FR 52892. 
DOE's proposal was presented and explained at a public meeting on 
September 24, 2010 at DOE headquarters in Washington, DC. DOE invited 
written comments, data, and information on the NOPR and accepted such 
material through November 15, 2010. Based upon public comments, DOE 
subsequently issued a supplemental notice of proposed rulemaking 
(SNOPR) which would reference the updated second edition of the IEC 
Standard 62301. 76 FR 56347 (Sept. 13, 2011). DOE invited written 
comments, data, and information on the SNOPR through October 13, 
2011.\5\
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    \5\ DOE notes that it is currently considering potential 
revisions to the test procedures for residential water heaters, 
direct heating equipment, and pool heaters in a separate rulemaking. 
This inquiry is more broadly focused and includes consideration of 
active mode operation, in contrast to today's final rule, which is 
limited to standby mode and off mode. DOE published a request for 
information (RFI) for this rulemaking in the Federal Register on 
October 12, 2011. 76 FR 63211.
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II. Summary of the Final Rule

    In general, DOE has retained the approach to incorporate standby 
mode and off mode presented in the August 2010 NOPR, as well as 
incorporation by reference of the latest version of the relevant 
industry standard proposed in the September 2011 SNOPR, with some 
modifications based upon public comment input.
    As proposed in the August 2010 NOPR, DOE is amending its test 
procedures for direct heating equipment and pool heaters to provide for 
the measurement of electrical standby mode and off mode power by using 
the IEC's Standard 62301, ``Household electrical appliances--
Measurement of standby power,'' as well as language to clarify 
application of this IEC standard. In addition, this final rule adds new 
calculations to determine annual energy consumption associated with the 
standby mode and off mode measured power. For pool heaters, the 
calculations are expanded to include an off mode for fossil-fuel energy 
consumption, which was not previously accounted for by the test 
procedure. For vented direct heating equipment, DOE has determined that 
it is not technically feasible to integrate standby mode and off mode 
electrical energy consumption into the calculation of overall energy 
efficiency (annual fuel utilization efficiency (AFUE)). This is 
primarily because the magnitude of the electrical energy for standby 
mode and off mode would be so comparatively small that in most cases, 
no change in the reported AFUE would result from the integration. 
However, the amendments for pool heaters provide for an integrated 
efficiency metric, because, for this product, it is technically 
feasible to integrate standby mode and off mode energy consumption into 
the calculation of overall annual energy efficiency. The amendments for 
unvented heaters only required measurement of standby mode and off mode 
energy consumption and, unlike the amendments for vented heaters, do 
not require this consumption to be integrated into an annual energy 
consumption accounting. This is because a detailed annual energy 
consumption accounting is not deemed appropriate for this product type 
(i.e., no annual accounting at all for supplemental heaters and only a 
simplified assigned value for primary heaters). No amendments are 
prescribed for residential water heaters, because the existing test 
procedure and metric for water heaters already account for standby mode 
and off mode energy consumption.

III. Discussion

    In the August 30, 2010 NOPR and at the subsequent September 24, 
2010 public meeting, DOE sought input from interested parties on the 
proposed amendments to the DOE test procedures to address the standby 
mode and off mode energy consumption of residential water heaters, 
direct heating equipment, and pool heaters. Seven written comments were 
received from interested parties including: Bradford White Corporation 
(BWC), the Hearth, Patio & Barbecue Association (HPBA), the Air-
Conditioning, Heating and Refrigeration Institute (AHRI), the American 
Council for an Energy-Efficient Economy (ACEEE), the Association of 
Home Appliance Manufacturers (AHAM), Natural Resources Defense Council 
(NRDC), and Pacific Gas and Electric Company (PG&E). All comments were 
generally supportive of the proposed amendments but asked for 
clarification and consideration of some specific modifications to 
possibly improve the amendments.
    In addition, three comments were received in response to the 
September 13, 2011 SNOPR to incorporate IEC Standard 62301 (Second 
Edition). Comments were submitted by AHRI, AHAM, and a joint comment 
from Appliance Standards Awareness Project, American Council for an 
Energy-Efficiency Economy, and Northwest Energy Efficiency Alliance 
(ASAP et al). These comments were all supportive of the incorporation 
of IEC Standard 62301 (Second Edition).
    The following discussion addresses the five specific issues that 
were identified in both comment periods and at the public hearing.

A. Determination Not To Amend Test Procedures for Residential Water 
Heaters

    As discussed in the August 2010 NOPR, the test procedures for 
residential water heaters include a full-year accounting of energy use, 
both electricity and fossil fuel as applicable to a given water heater. 
75 FR 52892, 52895 (August 30, 2010). Specifically, the standby loss 
testing in the existing test procedure is synonymous with what EISA 
2007 asks for inclusion in all test procedures, and the EISA 2007 
definition of ``off mode'' is inapposite to water heater operation. 
Accordingly, it was tentatively concluded that the current test 
procedures for water heaters already fully account for and incorporate 
measurement of standby mode and off mode energy consumption, as 
required by EISA 2007. (42 U.S.C. 6295(gg)(2)(A))
    Bradford White and AHRI were supportive of DOE's determination that 
the existing water heater test procedures already fully account for 
standby mode and off mode energy consumption and that no amendments are 
necessary. (Bradford White, No. 7 at p.1, AHRI, No. 13 at p. 2)
    ACEEE also supported the determination, but expressed concern that 
DOE ``does not recognize that some `residential' water heaters now have 
a true `Off' switch and that the future may bring more water heaters 
with `off' modes that are power consuming.'' ACEEE also opined that 
consideration of this issue, now rather than later, would be 
beneficial. (ACEEE, No. 14 at p. 1) DOE agrees that if a more complete 
or accurate measure of energy consumption or energy efficiency can be 
developed, it should be considered for adoption in the DOE test 
procedures as soon as possible. However, there exist a number of 
analytical questions that would need to be investigated and answered 
before DOE could take such

[[Page 74562]]

action for residential water heaters, as explained below.
    The ACEEE comment focuses on adding provisions to measure the power 
that might be consumed during a possible off mode and not on the due 
diligence necessary to develop a consistent and credible basis for 
defining and measuring off mode energy consumption in the water heater 
test procedures. DOE's market research did not identify any residential 
water heater with an ``Off'' switch. Moreover, ACEEE did not identify 
any basic model of water heater with an ``Off'' switch, so DOE is 
unaware of the existence of such products and thus cannot analyze them 
for power consumption in off mode. Consequently, DOE has concluded that 
while ACEEE raises an issue that should be kept in mind, it remains a 
hypothetical concern at this time. The current test procedure 
accounting assumes residential water heaters are in service for the 
entire year and do not have or operate in an off mode. This assumed 
level of service is representative of how residential water heaters are 
used in most households and, therefore, consistent with statutory 
requirements. More specifically, EPCA requires that new or amended test 
procedures 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 and shall not be unduly burdensome to conduct. (42 U.S.C. 
6293(b)(3) (emphasis added)) This is not to say that every residential 
water heater will be used this way in the field, but rather, it is the 
most representative use cycle or period of use. The commenter's 
suggested off mode that might be the subject of a DOE water heater test 
procedure amendment would be best described as ``out of service'' mode. 
Here, it is important to note that all water heaters can be taken out 
of service for various reasons and by various methods (e.g., circuit 
breakers, gas valves). DOE realizes that residential water heaters can 
be taken out of service for various reasons, but DOE is not aware what 
design feature of current residential water heaters would in fact 
produce an out of service mode different (i.e., an off mode) than that 
which would occur normally (e.g., disconnecting the power supply in a 
unoccupied home).
    The ACEEE comment seems to suggest that a more conveniently placed 
``Off'' switch (one which would allow the consumer to disconnect the 
water heater from its electrical power or fossil-fuel source) could be 
a design feature that needs to be addressed in the test procedure. 
Here, it is important to note that the purpose of the test procedures 
is to develop a uniform basis of differentiation in terms of energy 
efficiency or annual consumption that would be associated with any 
design feature. As such, for purposes of a possible test procedure 
amendment, a determination would need to be made regarding the consumer 
behavioral difference that, in fact, may result from an off mode design 
feature and what, if any, energy savings would result. As noted above, 
DOE is not aware of any developments in this area by the water heating 
industry. Further, DOE published a request for information (RFI) which 
initiated a rulemaking and data collection process broadly to consider 
amendments to DOE's test procedures for residential water heaters. 76 
FR 63211 (Oct. 12, 2011). This RFI did identify those portions of the 
test procedure where DOE believes amendments may be warranted, but it 
also invited interested parties to provide comments on any aspect of 
the residential water heater test procedure. DOE did not receive any 
comments asking for adoption of an off period, as suggested by ACEEE.
    This is not to say there may not be some possible energy savings 
potential for this concept eventually, but rather that DOE believes it 
is not appropriate to include such concept in the analytical basis of 
the test procedure at this time.
    In consideration of all of the above, DOE cannot, at this time take 
action to amend the water heater test procedure in the manner suggested 
by the commenter until the off switch concept is more fully developed 
and the need for such amendment has been established. With that said, 
DOE continues to monitor advancements in technologies related to all 
regulated products, including water heaters, and it will consider 
applicable technological improvements in its development of both test 
procedures and energy conservation standards in the context of future 
rulemakings.

B. Use of IEC Standard 62301 (Second Edition), ``Household Electrical 
Appliances--Measurement of Standby Power''

    As noted in the August 2010 NOPR, EPCA, as amended by EISA 2007, 
requires that test procedures be amended to include standby mode and 
off mode energy consumption, taking into consideration the most current 
versions of Standards 62301 and 62087 of the International 
Electrotechnical Commission. 75 FR 52892, 52893-94 (August 30, 2010) 
(citing 42 U.S.C. 6295(gg)(2)(A)). The August 2010 NOPR proposed to 
amend the DOE test procedures for direct heating equipment and pool 
heaters by referencing IEC Standard 62301 (First Edition) to obtain the 
standby mode and off mode measured wattage. Id. at 52895. The amended 
DOE test procedures would use these measured wattages in calculations 
to accomplish the incorporation of standby mode and off mode energy 
consumption into the test procedures. DOE reviewed the IEC Standard 
62301 (First Edition) and tentatively concluded that it would be 
generally applicable to direct heating equipment and pool heaters, 
although some clarification would be needed. Specifically, because 
there is a possible conflict with provisions of the existing 
procedures, the NOPR proposed to clarify where the IEC provisions would 
apply and where the DOE test procedure provisions would apply. Id. at 
52897 and 52900-01. With these clarifications, the NOPR proposed to 
reference IEC Standard 62301 (First Edition) for the wattage 
measurements. It is noted that IEC Standard 62301 (First Edition) had 
been incorporated by reference in 10 CFR 430.3, Materials incorporated 
by reference, as part of the final rule amending the residential 
furnaces and boilers test procedure. 75 FR 64621 (Oct. 20, 2010).
    In written comments on the August 2010 NOPR, AHRI and AHAM asked 
that DOE consider referencing a revised version of the industry 
standard--IEC Standard 62301 (Second Edition). Both commenters cited 
technical improvements in the latter version that they expect would 
enhance repeatability and reproducibility of test results. (AHRI, No. 
13 at p. 1, AHAM, No. 15 at p. 2) AHAM additionally commented that the 
Final Draft International Standard (FDIS) version of IEC Standard 62301 
would be preferable to the Committee Draft for Vote (CDV) version of 
the standard, both of which were available at the time of DOE's NOPR. 
(AHAM, No. 15 at p.2) The CDV of IEC Standard 62301 was released on 
August 28, 2009, and the FDIS of IEC Standard 62301 was released on 
October 29, 2010. On this matter, DOE notes that because IEC has now 
formally adopted IEC Standard 62301 (Second Edition), DOE is no longer 
considering earlier draft versions. In any event, the adopted version 
is consistent with the preference suggested by AHRI and AHAM.
    As mentioned above, since the time of the August 2010 NOPR, the IEC 
Standard 62301 technical committee has officially revised its standard. 
Specifically, a second edition of IEC

[[Page 74563]]

Standard 62301 has been issued by IEC with a final publication date of 
January 27, 2011.
    DOE has conducted a review of the second edition of IEC Standard 
62301, which is consistent with the requirement in EISA 2007 for DOE to 
consider the most current version of that standard. (42 U.S.C. 
6295(gg)(2)(A)) As a result of its investigation, DOE agrees with AHRI 
and AHAM that some improvement to the test procedures may be possible 
with the incorporation of the second edition of the IEC standard as 
applied to the products that are the subject of this rulemaking. 
Specifically, IEC Standard 62301 (Second Edition) revises the 
standard's power measurement accuracy provisions, based on technical 
submissions that showed the inability to achieve the accuracy levels 
required by the first edition for certain operating regimes with the 
use of typical instrumentation. A more comprehensive specification of 
required accuracy is provided in IEC Standard 62301 (Second Edition) 
that depends upon the characteristics of the power being measured. The 
other major change in IEC Standard 62301 (Second Edition) that relates 
to the measurement of standby mode power consumption of covered 
products involves the specification of stability criteria required to 
measure that power. IEC Standard 62301 (Second Edition) contains more 
detailed techniques to evaluate the stability of the power consumption 
and to measure the power consumption for stable loads with less 
burdensome methods such as direct meter reading, if certain clearly 
described conditions are met. DOE believes that the changes 
incorporated in IEC Standard 62301 (Second Edition) would allow for use 
of less burdensome methods when appropriate and would ensure accurate 
measures of standby mode energy consumption over a range of operating 
conditions encountered by typical residential heating products.
    As discussed above, DOE published a supplemental notice of proposed 
rulemaking in the Federal Register on September 13, 2011 (the September 
2011 SNOPR), which proposed to use the second edition of IEC Standard 
62301 in lieu of the first edition. 76 FR 56347. Comments on the SNOPR 
were received from AHAM and AHRI, and a joint comment was submitted by 
the Appliance Standards Awareness Project, American Council for an 
Energy-Efficient Economy, and Northwest Energy Efficiency Alliance 
(ASAP et al). All comments were supportive of the use of IEC Standard 
62301 (Second Edition). (AHAM, No. 22 at p. 1, AHRI, No. 24 at p. 1, 
and ASAP et al, No. 23 at p. 1) In addition, ASAP et al added that 
referencing the most recent version of the IEC Standard 62301 would 
facilitate international harmonization of standby mode and off mode 
test procedures. (ASAP et al, No. 23 at p. 1)
    Accordingly, for the reasons discussed above, DOE is incorporating 
IEC Standard 62301 (Second Edition) into DOE's test procedure 
regulations for residential direct heating equipment and pool heaters. 
To this end, this final rule adds a new reference in 10 CFR 430.3, 
Materials incorporated by reference, for IEC Standard 62301 (Second 
Edition) but does not remove the existing reference to IEC Standard 
62301 (First Edition) at 10 CFR 430.3(m)(1). (Although DOE has 
determined that the provisions of IEC Standard 62301 (Second Edition) 
shall be applicable to residential direct heating equipment and pool 
heaters, the Department is currently maintaining the existing reference 
to IEC Standard 62301 (First Edition), because other covered products 
continue to reference that standard.) In addition, DOE is issuing a 
number of editorial changes in the various appendices (G, O, and P) 
which are necessary for residential direct heating equipment and pool 
heaters to allow for the correct referencing. For example, the 
definition sections of the individual appendices need to define IEC 
Standard 62301 as the second edition instead of the first edition. 
Also, there are some section numbering differences in the second 
edition which impact the text of the measurement provisions of DOE's 
various test procedures. Finally, as an editorial improvement, DOE is 
unifying the standby mode and off mode nomenclature used in the various 
test procedures. Specifically, the uniform nomenclature for electrical 
power consumption in standby mode and off mode will be PW,SB 
and PW,OFF, respectively. All of these changes are reflected 
in the regulatory text which can be found at the end of this final 
rule.

C. Requirements for Unvented Heaters and Exclusion From Testing

    In the August 2010 NOPR, DOE proposed only to add certain 
measurement provisions to the existing test procedures for unvented 
heaters and not to include added or amended calculations to quantify 
annual standby mode and off mode energy consumption. In addition, DOE 
tentatively concluded that for some manually-controlled portable 
heaters, no testing for standby mode or off mode is required, because 
the units are expected to be inoperable during these modes. 75 FR 
52892, 52898-99 (August 30, 2010). AHRI, AHAM, and NRDC were supportive 
of the proposed amendments for unvented heaters, including the 
exclusion from the requirement to conduct standby mode and off mode 
testing when there is a means to disconnect the power source and 
instructions to do so are clearly visible. AHRI and NRDC asked that the 
exclusion provisions be clarified to avoid ambiguity and possible 
operational problems. AHAM fully supported these provisions and offered 
further evidence as to the appropriateness of the exclusion provisions. 
(AHRI, No. 13 at p. 2, AHAM, No. 15 at p. 2-3, and, NRDC, No. 16 at p. 
1-2.) AHAM restated its support for these provisions in its comments on 
the September 2011 SNOPR. (AHAM, No. 22 at p. 2.) AHRI additionally 
questioned the necessity of any amendments for unvented gas space 
heaters. (AHRI, No. 13 at p. 2.)
    The August NOPR proposed for unvented heaters to add separate 
provisions to measure the possible standby mode and off mode energy 
consumption for both fossil fuel and electricity. These added 
provisions would allow for exclusion from the standby mode and off mode 
requirements if there is means to disconnect the electric or gas power 
source when not in use and instructions to do so are clearly visible. 
This exclusion is identical to what is currently in the existing vented 
heater test procedures as applied to pilot lights on manually-
controlled heaters. DOE believes this exclusion should also apply to 
unvented heaters so equipped.
    After carefully considering the public comments and available 
information, DOE reviewed the proposed provisions for unvented heaters, 
particularly the exclusion provisions, and has reached the following 
conclusions. For electric heaters, DOE has decided to adopt the 
regulatory provisions, as proposed. The commenters did not provide 
specific additional clarification, and DOE does not see where such 
additional guidance or information would be beneficial. For gas 
unvented heaters, DOE recognizes the point the commenters make 
regarding clear instructions and the point that AHRI raises concerning 
the unnecessary turning on and off of pilot lights during the heating 
season. (AHRI, No. 13 at p. 2) However, DOE believes this issue is best 
addressed by the industry in its development of instructions and labels 
and not within the scope of this DOE test procedure rulemaking.
    Regarding AHRI's suggestion to not require any amendments for 
unvented heaters (because to AHRI's knowledge,

[[Page 74564]]

there are not any unvented heaters that have electrical standby mode 
and off mode energy consumption), DOE is not convinced there is no 
possibility for these products to experience electrical standby mode or 
off mode energy consumption, either currently or in the future. It is 
important to note, today's final rule does not require any testing for 
the products that AHRI reports as having no possibility of electrical 
standby mode or off mode energy consumption (i.e., unvented heaters 
that have no electrical connection at all). Adopting the amendments as 
proposed will allow DOE to meet its EISA 2007 mandate without adding 
unnecessary burden on the manufacturers of current products of this 
product type.

D. Technical Feasibility of an Integrated Efficiency Metric for Vented 
Heaters and Pool Heaters

    The NOPR proposed an integrated thermal efficiency metric for pool 
heaters, but did not propose an integrated annual fuel utilization 
efficiency for vented heaters. All commenters that provided input on 
this issue were supportive of the proposal not to integrate the standby 
mode and off mode energy consumption into the AFUE metric for vented 
heaters because such integration would not likely change the reported 
AFUE numerical value. AHRI, NRDC, and PG&E all recommended that DOE 
adopt the same approach for pool heaters. AHRI restated its opposition 
to integrating standby mode and off mode energy consumption into the 
efficiency metric for pool heaters when commenting on the September 
2011 SNOPR. These commenters believed that integration would not 
materially affect the reported value generated by the efficiency metric 
for pool heaters. A second objection raised by these commenters 
involved the use of the term ``integrated thermal efficiency,'' who 
argued that this terminology has specific meaning in the pool heater 
industry which is not consistent with the meaning proposed by DOE. 
(AHRI, No. 13 at pp. 2-5, ACEEE, No. 14 at pp. 1-2, NRDC, No. 016 at 
pp. 2-3, PG&G 017 at p. 2, and, AHRI, No. 24 at p. 1)
    DOE considered proposing an integrated AFUE for vented heaters that 
would incorporate the standby mode and off mode energy consumption into 
the existing AFUE metric by adding this additional energy consumption 
to the active energy consumption already captured by the AFUE quotient. 
However, DOE has determined that such integration is technically 
infeasible for vented heaters. This is because the electrical standby 
mode and off mode energy usage would typically be relegated to 
background noise vis-[agrave]-vis the much greater active mode energy 
consumption, due to the fact that most manufacturers' ratings of AFUE 
(as well as the current energy conservation standards) are presented to 
the nearest whole number, and the magnitude of the energy for standby 
mode and off mode would be so comparatively small that it would not 
likely change the reported value. As a result, DOE expects that in most 
cases, no change in the reported AFUE would result from integration. 
For these reasons, DOE believes integrating electrical standby mode and 
off mode energy consumption into the AFUE descriptor for vented heaters 
would not provide useful or meaningful information and is, therefore, 
technically infeasible.
    DOE's proposed approach for vented heaters would allow for the 
measurement of standby mode and off mode electrical \6\ energy 
consumption of all vented heater products. Although the magnitude of 
energy savings may be small for a given unit, it could be substantial 
when aggregated across the full range of this covered product over 
DOE's typical 30-year analysis period for setting standards. As 
required by EPCA, DOE will further address the standby mode and off 
mode electrical energy consumption of vented heaters in the next energy 
conservation standards rulemaking. (42 U.S.C. 6295(gg)(3))
---------------------------------------------------------------------------

    \6\ Fossil-fuel standby mode and off mode energy consumption is 
already accounted for in the AFUE metric.
---------------------------------------------------------------------------

    Unlike the integrated AFUE for vented heaters, DOE tentatively 
concluded in the August 2010 NOPR that an integrated efficiency metric 
for pool heaters is technically feasible and would provide measurable 
performance differentiation. 75 FR 52892, 52900 (August 30, 2010). As 
explained in the NOPR, this is because the standby mode and off mode 
energy consumption for pool heaters is significant relative to the 
active mode energy consumption, as expressed in the original thermal 
efficiency descriptor. There were two contributing factors to this 
conclusion: (1) The standby mode and off mode energy consumption 
includes both fossil fuel and electrical energy consumption (thereby 
contributing to the overall magnitude of such energy consumption), and 
(2) pool heaters have a relatively smaller number of operating hours 
associated with active mode energy consumption. In support of this 
determination of a significant difference, the NOPR maintained that a 
standing pilot light alone could move the efficiency metric a few 
percentage points. Id. Further in support, and realizing that some pool 
heaters do not have standing pilot lights, DOE testing shows a 1 
percentage point difference based solely on the added electrical 
standby mode and off mode consumption of a unit without a standing 
pilot light. Certain commenters argued that although the relative 
magnitude of the effect is larger for pool heaters than direct heating 
equipment, it is still very small and, as a result, would not allow for 
effective consumer information or government regulation. (AHRI, No. 13 
at pp. 3-5, and, PG&G 017 at p. 2) Additional opposition to the 
integration was pointed out in the comments of NRDC, which stated that 
the commingling of electricity and fossil fuels in the integrated 
metric is not preferred, because it does not allow for separate 
analysis of the source energy value of electrical standby mode and off 
mode energy consumption. (NRDC, No. 016 at pp. 2-3.) These commenters 
preferred the separate metric approach for both test procedures and 
energy conservation standards.
    DOE has reviewed this issue, carefully considering the public 
comments, and has determined it must maintain the integrated efficiency 
metric approach for pool heaters because it is technically feasible to 
do so. This is DOE's mandate under EPCA, as amended by EISA 2007. (42 
U.S.C. 6295(gg)(2)(A)) As with vented heaters (and any other future 
energy conservation standards rulemaking for covered consumer 
products), DOE must address the standby mode and off mode energy 
consumption in the next standards rulemaking. The integrated metric 
adopted in this final rule will be the regulating metric for purposes 
of pool heater standards, once the standard is amended to also address 
standby mode and off mode energy consumption.
    Finally, on the matter of the commenters' objection to the 
terminology ``integrated thermal efficiency,'' DOE has retained this 
terminology in this final rule, for the reasons described below. By way 
of background, EPCA's definition of ``efficiency descriptor'' 
specifically states that for pool heaters, the descriptor shall be 
thermal efficiency. (42 U.S.C. 6291(22)(E)) Accordingly, the 
``integrated thermal efficiency'' terminology was proposed to maintain 
consistency with the statute. This approach would allow for the 
integration and incorporation of standby mode and off mode energy 
consumption into the test procedure as called for in 42 U.S.C. 
6295(gg)(2)(A) and eventual incorporation in the energy

[[Page 74565]]

conservation standard as called for in 42 U.S.C. 6295(gg)(3). The 
original ``thermal efficiency'' descriptor would remain in the test 
procedure to provide the regulating basis for the current energy 
conservation standard. Commenters pointed out that the term ``thermal 
efficiency'' has a specific meaning in the industry. Specifically, 
``thermal efficiency'' is based on the industry test methods (ANSI 
Z21.56, ``Standard for Gas-Fired Pool Heaters'') and describes the pool 
heater's performance in terms of heating water and not the unit's 
overall performance, including the energy liability that might be 
associated with standby mode and off mode operation. AHRI suggested 
that the existing test procedure terminology ``heating seasonal 
efficiency'' would be preferable, because it is an extension of thermal 
efficiency that includes the pilot light consumption in standby mode 
and is ideally suited for modification to include the standby mode and 
off mode electrical energy consumption. (However, DOE notes that the 
heating seasonal efficiency descriptor, as suggested by AHRI, does not 
fully account for the standby hours in the non-heating season, unlike 
DOE's integrated thermal efficiency descriptor. Moreover, DOE believes 
that including the non-heating standby hours in a seaonal metric could 
also cause confusion, because the metric would then be a bit of a 
misnomer.)
    Nevertheless, despite commenters' preference for a different metric 
and terminology to measure the performance of pool heaters, one cannot 
lose sight of the fact that EPCA specifically states that the 
efficiency descriptor for pool heaters shall be thermal efficiency (42 
U.S.C. 6291(22)(E)), and the statute also requires DOE to account for 
standby mode and off mode energy consumption in an integrated metric, 
if technically feasible (42 U.S.C. 6295(gg)(2)(A) and (3)). Thus, DOE 
does not have lattitude to adopt other metrics as commenters suggested. 
Instead, the Department is adopting integrated thermal efficiency in 
order to implement both of these statutory requirements. Furthermore, 
DOE also believes that there are advantages to maintaining consistency 
of its terminology related to standby mode and off mode across the test 
procedures for various products. DOE is confident that manufacturers 
and other interested stakeholders will be able to grasp the relevant 
terminology for purposes of the DOE test procedure. Accordingly, DOE 
has today prescribed ``integrated thermal efficiency'' (TEI) 
as the integrated efficiency descriptor for pool heaters.
    To further clarify its test procedure regulations for pool heaters, 
DOE is also prescribing a number of editorial changes to 10 CFR 
430.23(p). These edits are largely housekeeping matters designed to 
correct the references to sections of appendix P that have now changed 
numerically because of today's final rule.

E. Hearth Products Coverage

    HPBA filed two sets of comments on the August 2010 NOPR. In the 
first set of comments, HPBA concluded that the provisions related to 
measurement of standby mode and off mode energy consumption ``will 
probably have a minimal inpact on vented hearth heating products.'' 
However, in its second set of comments, HPBA stated more broadly that 
the test procedures for direct heating equipment are not applicable to 
decorative hearth products, specifically the products covered by ANSI 
Standard Z21.50, ``Vented Gas Fireplaces.'' According to HPBA, 
decorative hearth products are intended to provide ambiance rather than 
heat, so, therefore, HPBA believes decorative hearth products are not 
covered ``direct heating equipment'' and that heating efficiency is not 
an appropriate measure of performance for these products. Further, HPBA 
maintains that even if heating efficiency was desired for these 
appliances, the DOE test method is inapplicable as a means to determine 
heating efficiency, given a number of inappropriate assumptions 
regarding their representative average use. ACEEE recognized this 
concern of HPBA but suggested the matter not be addressed in a test 
method rulemaking. (HPBA, No. 8 at p. 1 and No. 12 at p. 1-4. ACEEE, 
No. 14 at p. 1.)
    In response, DOE notes that the scope of the current test procedure 
rulemaking is limited to provisions related to measurement of standby 
mode and off mode energy consumption of residential water heaters, 
direct heating equipment, and pool heaters. HPBA concedes that the 
specific provisions at issue here would have minimal impact on vented 
hearth heating products. On HPBA's larger question regarding the 
applicability of the DOE test procedure for measuring the AFUE of 
vented hearth heaters, DOE has concluded that the test procedure does 
provide the technical capability to generate AFUE values for all vented 
hearth heaters. If modifications to the test procedure are warranted to 
optimize the testing of such units, such concerns will be addressed in 
a separate test procedure rulemaking for water heaters, direct heating 
equipment, and pool heaters, which is currently underway. As noted 
earlier, DOE published an RFI for that rulemaking in the Federal 
Register on October 12, 2011. 76 FR 63211.
    However, DOE notes that in its November 18, 2011 final rule for 
direct heating equipment energy conservation standards, DOE adopted a 
definition of ``vented hearth heater'' which contains an exclusion for 
decorative hearth products. 76 FR 71836, 71859. Units that fall within 
the exclusion would not be subject to the otherwise applicable energy 
conservation standards, and they would likewise not be required to be 
tested under the DOE test procedure.

F. Review of Burner Operating Hours Estimates

    NRDC suggested that DOE should review the burner operating hours 
(BOH) estimate in the test procedures for each appliance type. (NRDC 
No. 016, pp. 1-2) NRDC further added that these estimates are 
referenced from earlier ANSI standards, some of which are well over ten 
years old. It is noted here that these estimates are relevant to the 
matter of this rulemaking because BOH is used as an approximation of 
the active mode time duration for both direct heating equipment and 
pool heaters. This concept of using the existing test procedures 
assignment of BOH as an approximation of active mode time duration was 
developed in the August 2010 NOPR. 75 FR 52892, 52897 (August 30, 
2010). No comments were received objecting to this assignment. The NRDC 
comment relates to the numerical value of the current test procedure 
estimate and whether there is a need to update the numerical value of 
these assignments in the test procedures.
    DOE has reviewed this matter, and for the reasons explained below, 
DOE has concluded that there is not a need to change the test procedure 
estimates of BOH for direct heating equipment or pool heaters. These 
test procedure estimates are not referenced from old ANSI standards as 
the commenter suggests, but rather independent assignments and 
equations developed within the various rulemakings establishing the DOE 
test procedures. With these representative bases established, the test 
procedures can yield uniform results. The direct heating equipment BOH 
is based primarily on an estimate of heating degree days that would be 
typical of where direct heating equipment is used. For the national 
average case, 2950 heating degree days is assigned. 43 FR 20147, 20182 
(May 10, 1978). The BOH for direct heating equipment is then calculated 
from this heating degree day assignment and a

[[Page 74566]]

number of other factors that can affect the BOH of direct heating 
equipment. Typically, the test procedure yields values of 700-800 BOH 
for DHE. The level of national average heating degree days is 
representative of a southern-tier U.S. location which DOE believes is 
still appropriate for the distribution of direct heating equipment. 
That is, the inherently smaller capacities of DHE, as compared to 
central furnaces would suggest that DHE product types address on 
average a relatively milder or more southern heating requirement. A 
review of the 2009 Residential Energy Consumption Survey (available at 
www.eia.gov) supports this southern tier approach for DHE products. 
Specifically, the RECS 2009 Table HC6.6, ``Space Heating in U.S. Homes, 
By Climate Region,'' reports that a majority of households having this 
type of product (termed in RECS 2009 as ``room heaters'' and ``wall and 
floor pipeless furnaces'') are in the two southernmost of the five 
climate zones used by RECS.
    Further, a review of the 2005 Residential Energy Consumption Survey 
(also available at www.eia.gov) provided more data supporting DOE's 
current approach to BOH. A weighted average of the heating degree days 
using the distribution of room heaters and wall and floor pipeless 
furnaces resulted in an estimate that homes in which direct heating 
equipment is installed are subjected to an annual heating degree day 
number of 2900. Considering the uncertainty in this value, DOE 
considers this estimate to be highly consistent with the existing value 
in the test method, and accordingly, DOE has concluded that there is no 
justification for modifying the heating degree days that form the basis 
of the determination of burner operating hours for direct heating 
equipment. It should be noted that the data released for the 2009 RECS 
do not yet contain sufficient information to determine this weighted 
average more precisely. However, these data are supportive of the 
southern tier assignment for national average heating degree days as 
currently provided in the DOE test procedure. It is important to note 
that the regional calculations in this test procedure allow for other 
assignments based on geographic location.
    Investigating this issue further, DOE looked at another source of 
information to determine if the DHE test procedures' overall 
calculation methodology would need amending. To this end, DOE reviewed 
the estimates of energy consumption contained in the recent analysis 
supporting amended energy conservation standards for DHE. 75 FR 20112 
(April 16, 2010). That analysis reported BOH similar to that estimated 
in the DOE test procedure (700-800 hours) for DHE used as primary 
heating appliances; however, a smaller number is reported for BOH in 
this analysis for some types of DHE that could be used as supplemental 
heaters.\7\ That lower estimate is important to bear in mind in a 
standards analysis in order to avoid overestimating the energy savings 
that might be associated with a given standard level. However, DOE 
believes supplemental use or any non-use of a product should not be 
part of the test procedures' representative use calculations. Rather, a 
better basis of the representative use calculations would be 
calculations that include full use of the product. Given the 
significant portion of DHE products that are used as primary heating 
sources and the product's potential to be used on a regular basis, DOE 
has concluded that the test procedure should assume full use. Moreover, 
persons relying on energy use estimates when making purchasing 
decisions and planning on frequent use of the product would not be 
served by reducing the estimate to account for the marginal use of the 
product by others.
---------------------------------------------------------------------------

    \7\ For more information, see the DHE life-cycle cost and 
payback period spread sheet which is available at: http://www1.eere.energy.gov/buildings/appliance_standards/residential/heating_products_fr_spreadsheets.html.
---------------------------------------------------------------------------

     In sum, DOE has reviewed all aspects of the current BOH 
assignments and calculations for direct heating equipment and has not 
found any potential for systematic error or unrepresentative results. 
More specifically, DOE did not find any research or data that 
contradicts the representativeness of this existing basis of 
determining direct heating equipment BOH.
    Somewhat less complicated than direct heating equipment, the pool 
heater test procedure includes a direct assignment of BOH, without need 
for the complicated suite of calculations found in the DHE test 
procedure. This simplified approach is reasonable because the energy 
consumption of pool heaters is not typically affected by the various 
factors accounted for in the DHE test procedure calculations (e.g., 
oversizing, climatic effects, and the lack of modulating controls). 
Accordingly, the pool heater test procedure assumes a single assignment 
of 104 BOH. This assignment is based on survey data available at the 
time proposed amendments for the test procedure were developed in 1993. 
58 FR 44538, 44548, 44571 (August 23, 1993). On review, this level of 
usage is still deemed representative. Specifically, the 2005 
Residential Energy Conservation Survey (available at www.eia.gov) 
reports similar usage for pool heaters.
    In sum, DOE has reviewed the numerical assignments as well as the 
analytical basis for BOH in both the direct heating equipment and pool 
heaters test procedures and maintains that they are representative of 
the average use cycles that would be encountered by present day 
appliances.

G. Other Issues Raised in the September 2011 SNOPR

    In addition to proposing the use of the second edition of IEC 
Standard 62301, the September 2011 SNOPR clarified rounding guidance 
and sampling provisions applicable to the new measures of energy 
consumption (i.e., PW,SB and PW,OFF).
    For these new values of energy consumption, the September 2011 
SNOPR clarified that the rounding guidance provided in IEC Standard 
62301 (Second Edition) would apply. 76 FR 56347, 56350-51 (Sept. 13, 
2011). Specifically, DOE proposed to add the following sentence to the 
measurement provisions of the proposed regulatory text, where 
appropriate: ``The recorded standby power (PW,SB) (or off 
mode power PW,OFF, where appropriate) shall be rounded to 
the second decimal place, and for loads greater than or equal to 10W, 
at least three significant figures shall be reported.'' Id. at 56353-
54. DOE requested comments as to the adequacy and appropriateness of 
this clarification. AHRI opined that the second decimal place rounding 
represents an unnecessarily stringent level of precision when one 
considers the annualized accounting of total electrical energy 
consumption as represented in the term ESO. (AHRI No. 24 at 
p. 2) DOE believes the IEC rounding provisions for the wattage 
measurements are appropriate and within the capabilities of the 
instrumentation specified in the IEC standard. Specifically, DOE's 
review of IEC Standard 62301--compliant instrumentation has determined 
that one can easily support this level of reporting precision. 
Moreover, the test procedures for other DOE covered products already 
utilize IEC Standard 62301 for the wattage measurements, and DOE 
believes there is benefit in measuring standby mode and off mode energy 
consumption of various covered products in a consistent manner. In sum, 
carrying the IEC level of precision through the annualized consumption 
calculations does not represent any additional burden, because it is 
simply a matter of running a calculation and reporting the results. 
Accordingly, DOE

[[Page 74567]]

has concluded that these comments do not justify a departure from the 
IEC provisions, so DOE is adopting the rounding guidance as proposed.
    The September 2011 SNOPR clarified that the sampling provisions 
already used for the measures of energy consumption in the existing 
test procedures for direct heating equipment and pool heaters would 
also apply to the new measures of energy consumption for standby mode 
and off mode. Id. at 56350-51. No comments were received regarding the 
clarification of applicable sampling provisions for the new measures of 
energy consumption. Accordingly, for the reasons above, DOE has decided 
to adopt the proposed approach presented in the SNOPR in today's final 
rule.

IV. Effective Date and Compliance Date

    The effective date for these amendments is January 16, 2013. At 
that time, representations may be made about residential direct heating 
equipment and pool heaters using the new metrics PW,SB and 
PW,OFF reflecting standby mode and off mode energy use, as 
well as any other measure of energy consumption which depends on 
PW,SB and PW,OFF, which were adopted pursuant to 
these amendments. The compliance date for any representations relating 
to standby mode and off mode of direct heating equipment and pool 
heaters is June 17, 2013; on or after that date, any such 
representations must be based upon results generated under these test 
procedures and sampling plans. However, DOE would clarify that use of 
these proposed test procedure amendments related to standby mode and 
off mode energy consumption would not be required for purposes of 
energy conservation standards compliance, until the compliance date of 
the next standards final rule that addresses standby mode and off mode.
    More specifically, the introductory sentences to 10 CFR part 430, 
subpart B, Appendix O for vented direct heating equipment and Appendix 
P for pool heaters, read as follows: ``The procedures and calculations 
that refer to standby mode and off mode energy consumption * * * need 
not be performed to determine compliance with energy conservation 
standards for these products at this time.'' The above statement will 
be removed as part of a future rulemaking to amend either energy 
conservation standards for direct heating equipment or standards for 
pool heaters to account for standby mode and off mode energy 
consumption, and compliance with the applicable test procedure 
provisions will be required on the compliance date of those amended 
energy conservation standards. A statement has also been added to the 
introductory note to these appendices to clarify that any 
representations pertaining to standby mode and off mode energy 
consumption of these products that are made on or after a date 180 days 
after the date of publication of this test procedure final rule in the 
Federal Register must be based upon results generated under this test 
procedure, consistent with the requirements of 42 U.S.C. 6293(c)(2). 
Although this is a statutory requirement under 42 U.S.C. 6293(c), DOE 
has concluded that it would be useful to explicitly state this 
requirement in DOE's regulations.

V. Compliance With Other EPCA Requirements

    In amending a test procedure, EPCA directs DOE to determine to what 
extent, if any, the test procedure would alter the measured energy 
efficiency or measured energy use of a covered product. (42 U.S.C. 
6293(e)(1)) If the amended test procedure alters the measured energy 
efficiency or measured energy use, the Secretary must amend the 
applicable energy conservation standard to the extent the amended test 
procedure changes the energy efficiency of products that minimally 
comply with the existing standard. (42 U.S.C. 6293(e)(2)) The current 
energy conservation standards for vented direct heating equipment and 
pool heaters are based on existing test procedure metrics--annual fuel 
utilization efficiency (AFUE) and thermal efficiency (Et), 
respectively--neither of which is affected by the inclusion of 
electrical standby mode and off mode energy consumption in other 
metrics adopted as part of today's final rule. There are no energy 
conservation standards for unvented direct heating equipment. As 
explained further below, today's test procedure final rule has no 
effect on any current energy conservation standard.
    As provided by EPCA, amendments to the test procedures to include 
standby mode and off mode energy consumption shall not be used to 
determine compliance with previously established standards. (42 U.S.C. 
6295(gg)(2)(C)) The inclusion of a standby mode and off mode test 
method in this final rule will not affect a manufacturer's ability, 
using existing metrics, to demonstrate compliance with the existing 
energy conservation standards for direct heating equipment or pool 
heaters. The standby mode and off mode tests need not be performed to 
determine compliance with the current energy conservation standards for 
these products, because the current standards do not comprehensively 
account for electrical standby mode and off mode energy consumption. 
(For the reasons stated above, this final rule does not prescribe test 
procedure amendments for residential water heaters. Accordingly, there 
is no effect on water heater compliance.)
    EPCA requires that new or amended test procedures 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 and 
shall not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) For 
the reasons that follow, DOE has determined that incorporation by 
reference of IEC Standard 62301 (Second Edition), along with the other 
modifications and additional calculations described above, satisfy this 
requirement.
    As noted previously, the DOE test procedures, as amended, reference 
provisions from the incorporated IEC Standard 62301 (Second Edition) 
for the measurement of standby mode and off mode energy consumption, 
which is a widely-accepted and used international standard. Based on 
its analysis of IEC Standard 62301 (Second Edition), DOE has determined 
that the test methods and equipment that the amendments require for 
measuring standby mode and off mode power do not differ substantially 
from the test methods and equipment in the current DOE test procedure 
for residential direct heating equipment and pool heaters. Therefore, 
testing of these products pursuant to today's final rule will not 
require any significant investment in new test facilities or equipment. 
For these reasons, DOE does not believe that the standby mode and off 
mode test procedure provisions will add significant costs.

VI. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget 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 
regulatory action was not subject to review under that Executive Order 
by the Office of Information and Regulatory Affairs (OIRA) in the 
Office of Management and Budget (OMB).

[[Page 74568]]

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by 
the Small Business Regulatory Enforcement Fairness Act of 1996) 
requires preparation of an initial regulatory flexibility analysis 
(IRFA) for any rule that, by law, must be proposed for public comment 
and a final regulatory flexibility analysis (FRFA) for any such rule 
that an agency adopts as a final rule, unless the agency certifies that 
the rule, if promulgated, will not have a significant economic impact 
on a substantial number of small entities. A regulatory flexibility 
analysis examines the impact of the rule on small entities and 
considers alternative ways of reducing negative effects. Also, as 
required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site at www.gc.doe.gov/gc/office-general-counsel.
    Today's final rule adopts test procedure provisions to measure 
standby mode and off mode energy consumption of residential direct 
heating equipment and pool heaters, generally through the incorporation 
by reference of IEC Standard 62301 (Second Edition) and the 
modifications and additional calculations described in detail in the 
August 2010 NOPR. DOE reviewed today's final rule under the provisions 
of the Regulatory Flexibility Act and the policies and procedures 
published on February 19, 2003. 68 FR 7990.
    As noted above, the test procedure incorporates by reference 
provisions from IEC Standard 62301 (Second Edition) \8\ for the 
measurement of standby mode and off mode energy consumption. IEC 
Standard 62301 (Second Edition) is widely accepted and used 
internationally to measure electric power in standby mode and off mode. 
Based on its analysis of IEC Standard 62301 (Second Edition), DOE 
determined that the test methods and equipment that the amendments 
require for measuring standby mode and off mode power do not differ 
substantially from the test methods and equipment in the current DOE 
test procedure for direct heating equipment and pool heaters. Even if 
the testing facility decides to upgrade its measurement instrumentation 
to meet today's rule, an applicable meter (i.e., one that complies with 
IEC Standard 62301) would cost $3,000 or less. Therefore, testing of 
direct heating equipment and pool heaters pursuant to today's final 
rule will not require any significant investment in test facilities or 
new equipment. The testing time to conduct the standby mode and off 
mode testing on a single unit is estimated at 15 minutes to 60 minutes. 
Assuming a laboratory technician would be present at a cost of $60 per 
hour, this time represents a labor cost range of $15 to $60. This range 
of cost would be related to the stability of the electrical consumption 
being measured, with a longer testing time being required for unstable 
measurements in order to allow for accurate averaging. It is important 
to note, that the second edition of IEC Standard 62301 sought 
improvement in this area by more clearly defining the stability 
criteria and allowing for less burdensome direct meter reading methods, 
thereby reducing testing time in cases where the criteria are met. In 
the worst case, the impacts of the potential incremental instrument and 
labor costs are still small compared to the overall financial 
investment needed to undertake a business enterprise involving the 
testing of consumer products. For these reasons, DOE has concluded that 
the standby mode and off mode test procedure provisions will not add 
significant costs.
---------------------------------------------------------------------------

    \8\ The August 2010 NOPR review under the Regulatory Flexibly 
Act was regarding IEC Standard 62301 (First Edition). In the 
subsequent September 2011 SNOPR which proposed to adopt the IEC 
Standard 62301 (Second Edition), it was tentatively determined that 
the second edition would be expected to reduce testing burden 
relative to the first edition. 76 FR 56347, 56351 (Sept. 13, 2011). 
DOE hereby confirms that conclusion in today's final rule.
---------------------------------------------------------------------------

    For the manufacturers of the three types of heating products, the 
Small Business Administration (SBA) has set a size threshold, which 
defines those entities classified as ``small businesses'' for the 
purposes of the statute. DOE used the SBA's small business size 
standards to determine whether any small entities would be subject to 
the requirements of the rule. 65 FR 30836, 30848-49 (May 15, 2000), as 
amended at 65 FR 53533, 53544-45 (Sept. 5, 2000) and codified at 13 CFR 
part 121. The size standards are listed by North American Industry 
Classification System (NAICS) code and industry description and are 
available at http://www.sba.gov/sites/default/files/files/Size_Standards_Table(1).pdf. Residential water heater manufacturing is 
classified under NAICS 335228--``Other Major Household Appliance 
Manufacturing.'' DHE and pool heater manufacturing are classified under 
NAICS 333414--``Heating Equipment (except Warm Air Furnaces) 
Manufacturing.'' The SBA sets a threshold of 500 employees or less for 
an entity to be considered as a small business for both of these 
categories. However, since DOE has determined that it is not necessary 
to establish additional standby mode and off mode test procedure 
provisions for water heaters in this rulemaking, there is no need to 
analyze the impact of this rulemaking on water heater manufacturers.
    In a recent review of the residential DHE and pool heater markets, 
DOE identified 10 manufacturers of only vented DHE, 3 manufacturers of 
only unvented DHE, 2 manufacturers of both vented and unvented DHE, and 
1 pool heater manufacturer that can be considered small businesses. 
DOE's research involved reviewing several industry trade association 
membership directories (e.g., AHRI and HPBA), product databases (e.g. 
AHRI, CEC, and ENERGY STAR databases), individual company Web sites, 
and marketing research tools (e.g. Dun and Bradstreet reports) to 
create a list of all domestic small business manufacturers of direct 
heating equipment and gas-fired pool heaters covered by this 
rulemaking. In the August 2010 NOPR, DOE identified a similar number of 
small business manufacturers and tentatively certified that this rule 
would not have a significant impact on a substantial number of small 
entities. 75 FR 52892, 52901-02 (August 30, 2010). Additionally, as 
discussed above, DOE hereby confirms that the IEC Standard 62301 
(Second Edition) would be expected to reduce testing burden relative to 
the first edition and confirms that this rule would not have a 
significant economic impact on a substantial number of small entities. 
Accordingly, DOE has not prepared a regulatory flexibility analysis for 
this rulemaking. DOE's certification and supporting statement of 
factual basis was provided to the Chief Counsel for Advocacy of the SBA 
for review under 5 U.S.C. 605(b). DOE did not receive any comments or 
public testimony regarding a significant economic impact on any small 
entities. Thus, DOE reaffirms and certifies that this rule will not 
have a significant economic impact on a substantial number of small 
entities.

[[Page 74569]]

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of residential direct heating equipment and pool 
heaters must certify to DOE that their products comply with all 
applicable energy conservation standards. In certifying compliance, 
manufacturers must test according to the applicable DOE test 
procedures, including any amendments adopted for those test procedures 
on the date that compliance is required. DOE has established 
regulations for the certification and recordkeeping requirements for 
all covered products and commercial equipment, including residential 
direct heating equipment and pool heaters (76 FR 12422 (March 7, 
2011)). The collection-of-information requirement for certification and 
recordkeeping is subject to review and approval by OMB under the 
Paperwork Reduction Act (PRA). This requirement has been approved by 
OMB under OMB Control Number 1910-1400. 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.
    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

    DOE is establishing a final rule to amend the test procedure for 
residential direct heating equipment and pool heaters to address 
measurement of the standby mode and off mode energy consumption of 
these products. DOE has determined that this final rule falls into a 
class of actions that are categorically excluded from review under the 
National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.), and 
DOE's implementing regulations at 10 CFR part 1021. Specifically, this 
final rule, which adopts an industry standard for measurement of 
standby mode and off mode energy consumption, amends an existing rule 
without affecting the amount, quality, or distribution of energy usage, 
and, therefore, will not result in any environmental impacts. Thus, 
this rulemaking is covered by Categorical Exclusion A5 found in 10 CFR 
part 1021, subpart D, which applies to any rulemaking that interprets 
or amends an existing rule without changing the environmental effect of 
that rule. Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' imposes certain requirements 
on Federal agencies formulating and implementing policies or 
regulations that preempt State law or that have Federalism 
implications. 64 FR 43255 (August 10, 1999). 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 that it will 
follow in the development of such regulations. 65 FR 13735. DOE has 
examined this final rule and determined that it would not have a 
substantial direct effect on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government. EPCA 
governs and prescribes Federal preemption of State regulations as to 
energy conservation for the products that are the subject of today's 
final rule. States can petition DOE for exemption from such preemption 
to the extent, and based on criteria, set forth in EPCA. (42 U.S.C. 
6297(d)) Therefore, Executive Order 13132 requires no further action.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity; (2) write regulations to 
minimize litigation; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) promote simplification 
and burden reduction. Regarding the review required by section 3(a), 
section 3(b) of Executive Order 12988 specifically requires that 
Executive agencies make every reasonable effort to ensure that the 
regulation: (1) Clearly specifies the preemptive effect, if any; (2) 
clearly specifies any effect on existing Federal law or regulation; (3) 
provides a clear legal standard for affected conduct while promoting 
simplification and burden reduction; (4) specifies the retroactive 
effect, if any; (5) adequately defines key terms; and (6) addresses 
other important issues affecting clarity and general draftsmanship 
under any guidelines issued by the Attorney General. Section 3(c) of 
Executive Order 12988 requires Executive agencies to review regulations 
in light of applicable standards in sections 3(a) and 3(b) to determine 
whether they are met or it is unreasonable to meet one or more of them. 
DOE has completed the required review and determined that, to the 
extent permitted by law, this rule meets the relevant standards of 
Executive Order 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. (Pub. L. 104-4, sec. 201 (codified at 2 U.S.C. 1531)) 
For 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 a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a) and (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a ``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 them. 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.) DOE examined today's final rule, which modifies the 
current test procedures for direct heating equipment and pool heaters 
according to UMRA and its statement of policy and determined that the 
rule contains neither an intergovernmental mandate, nor a

[[Page 74570]]

mandate that may result in the expenditure by State, local, and Tribal 
governments, in the aggregate, or by the private sector, of $100 
million or more in any year. Accordingly, no further assessment or 
analysis is required under UMRA.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This rule would not have any impact on the autonomy or integrity of the 
family as an institution. Accordingly, DOE has concluded that it is not 
necessary to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 15, 1988), DOE has determined that this final rule would 
not result in any takings that might require compensation under the 
Fifth Amendment to the United States 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 Federal agencies to review 
most disseminations of information to the public under information 
quality guidelines established by each agency pursuant to general 
guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 
(Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 
(Oct. 7, 2002). DOE has reviewed today's final 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 
at OMB, a Statement of Energy Effects for any significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgates 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 final rule is 
not a significant regulatory action under Executive Order 12866 or any 
successor order; would not have a significant adverse effect on the 
supply, distribution, or use of energy; and has not been designated by 
the Administrator of OIRA as a significant energy action. Therefore, 
DOE has determined that this rule is not a significant energy action. 
Accordingly, DOE has not prepared a Statement of Energy Effects for 
this rulemaking.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101 et seq.), DOE must comply with all laws 
applicable to the former Federal Energy Administration, including 
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 (Pub. L. 95-70). (15 U.S.C. 788) Section 32 provides in 
relevant part that where a proposed rule authorizes or requires use of 
commercial standards, the notice of proposed rulemaking must inform the 
public of the use and background of such standards. In addition, 
section 32(c) requires DOE to consult with the Attorney General and the 
Federal Trade Commission (FTC) concerning the impact of commercial or 
industry standards on competition.
    Certain of the amendments and revisions in this final rule 
incorporate testing methods contained in the following commercial 
standard, the International Electrotechnical Commission (IEC) Standard 
62301, ``Household electrical appliances--Measurement of standby 
power'' (Second Edition, 2011-01). DOE has evaluated this standard and 
is unable to conclude whether it fully complies with the requirements 
of section 32(b) of the Federal Energy Administration Act (i.e., that 
it was developed in a manner that fully provides for public 
participation, comment, and review). DOE has consulted with the 
Attorney General and the Chairman of the FTC concerning the impact on 
competition of requiring manufacturers to use the test methods 
contained in this standard, and neither recommended against 
incorporation of this standard.

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of today's rule before its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804(2).

VII. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
rule.

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Small 
businesses.

    Issued in Washington, DC, on November 16, 2012.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons stated in the preamble, DOE is amending part 430 of 
Chapter II, Subchapter D of Title 10 of the Code of Federal 
Regulations, as set forth below:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
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.

0
2. Section 430.3 is amended by revising paragraphs (d)(16) and (m)(2) 
to read as follows:

Sec.  430.3  Materials incorporated by reference.

* * * * *
    (d) * * *
    (16) ANSI Z21.56-2006, section 2.10 (``ANSI Z21.56''), Standard for 
Gas-Fired Pool Heaters, approved December 13, 2005, IBR approved for 
appendix P to subpart B.
    (m) * * *
    (2) IEC 62301 (``IEC 62301''), Household electrical appliances--
Measurement of standby power, (Edition 2.0, 2011-01), IBR approved for 
appendices C1, G, I, J2, O, P, and X1 to subpart B.
* * * * *

[[Page 74571]]

Sec.  430.23  [Amended]

0
3. Section 430.23 is amended by:
0
a. Removing the words ``section 4.2 of appendix P'' in paragraph 
(p)(1)(i) and adding in their place ``section 5.2 of appendix P''; and
0
b. Removing the words ``section 4.3 of appendix P'' in paragraph 
(p)(1)(ii) and adding in their place ``section 5.3 of appendix P''.

0
4. Appendix G to Subpart B of Part 430 is amended in section 2 by 
adding sections 2.3, 2.3.1, 2.4, and 2.4.1 to read as follows:

Appendix G to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Unvented Home Heating Equipment

* * * * *
    2. * * *
    2.3 Pilot light measurement. Except as provided in section 2.3.1 
of this appendix, measure the energy input rate to the pilot light 
(Qp), with an error no greater than 3 percent, for 
unvented heaters so equipped.
    2.3.1 The measurement of Qp is not required for 
unvented heaters where the pilot light is designed to be turned off 
by the user when the heater is not in use (i.e., for units where 
turning the control to the OFF position will shut off the gas supply 
to the burner(s) and the pilot light). This provision applies only 
if an instruction to turn off the unit is provided on the heater 
near the gas control value (e.g., by label) by the manufacturer.
    2.4 Electrical standby mode power measurement. Except as 
provided in section 2.4.1 of this appendix, for all electric heaters 
and unvented heaters with electrical auxiliaries, measure the 
standby power (PW,SB) in accordance with the procedures 
in IEC 62301 Second Edition (incorporated by reference; see Sec.  
430.3), with all electrical auxiliaries not activated. Voltage shall 
be as specified in section 1.4.1 Electrical supply of this appendix. 
The recorded standby power (PW,SB) shall be rounded to 
the second decimal place, and for loads greater than or equal to 
10W, at least three significant figures shall be reported.
    2.4.1 The measurement of PW,SB is not required for 
heaters designed to be turned off by the user when the heater is not 
in use (i.e., for units where turning the control to the OFF 
position will shut off the electrical supply to the heater). This 
provision applies only if an instruction to turn off the unit is 
provided on the heater (e.g., by label) by the manufacturer.
* * * * *

0
5. Appendix O to Subpart B of Part 430 is amended by:
0
a. Adding a Note after the heading;
0
b. Redesignating sections 1.1 through 1.32 as follows:

------------------------------------------------------------------------
            Old sections                         New sections
------------------------------------------------------------------------
1.1 to 1.14                          1.2 to 1.15
1.15 to 1.19                         1.17 to 1.21
1.20 and 1.21                        1.23 and 1.24
1.22 to 1.25                         1.26 to 1.29
1.26 to 1.32                         1.31 to 1.37
------------------------------------------------------------------------

0
c. Adding new sections 1.1, 1.16, 1.22, 1.25 and 1.30;
0
d. Adding sections 3.7, 3.7.1, and 3.7.2; and
0
e. Revising sections 4.6.3 and 4.6.3.1, and adding section 4.7.

    The additions and revisions read as follows:

Appendix O to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Vented Home Heating Equipment

    NOTE: The procedures and calculations that refer to standby mode 
and off mode energy consumption, (i.e., sections 3.7 and 4.7 of this 
appendix) need not be performed to determine compliance with energy 
conservation standards for vented heaters at this time. However, on 
or after June 17, 2013, any representation related to standby mode 
and off mode energy consumption of these products must be based upon 
results generated under this test procedure, consistent with the 
requirements of 42 U.S.C. 6293(c)(2). For vented home heating 
equipment, the statute requires that after July 1, 2010, any adopted 
energy conservation standard shall incorporate standby mode and off 
mode energy consumption, and upon the compliance date for such 
standards, compliance with the applicable provisions of this test 
procedure will also be required.

    1.0 Definitions.
    1.1 ``Active mode'' means the condition during the heating 
season in which the vented heater is connected to the power source, 
and either the burner or any electrical auxiliary is activated.
* * * * *
    1.16 ``IEC 62301 (Second Edition)'' means the test standard 
published by the International Electrotechnical Commission, titled 
``Household electrical appliances--Measurement of standby power,'' 
Publication 62301 Edition 2.0 2011-01 (incorporated by reference; 
see Sec.  430.3).
* * * * *
    1.22 ``Off mode'' means the condition during the non-heating 
season in which the vented heater is connected to the power source, 
and neither the burner nor any electrical auxiliary is activated.
* * * * *
    1.25 ``Seasonal off switch'' means the control device, such as a 
lever or toggle, on the vented heater that affects a difference in 
off mode energy consumption as compared to standby mode consumption.
* * * * *
    1.30 ``Standby mode'' means the condition during the heating 
season in which the vented heater is connected to the power source, 
and neither the burner nor any electrical auxiliary is activated.
* * * * *
    3.0 * * *
    3.7 Measurement of electrical standby mode and off mode power.
    3.7.1 Standby power measurements. With all electrical 
auxiliaries of the vented heater not activated, measure the standby 
power (PW,SB) in accordance with the procedures in IEC 
62301 (Second Edition) (incorporated by reference, see Sec.  430.3), 
except that section 2.9, Room ambient temperature, and the voltage 
provision of section 2.3.5, Electrical supply, of this appendix 
shall apply in lieu of the IEC 62301 (Second Edition) corresponding 
sections 4.2, Test room, and 4.3, Power supply. Clarifying further, 
the IEC 62301 (Second Edition) sections 4.4, Power measuring 
instruments, and section 5, Measurements, shall apply in lieu of 
section 2.8, Energy flow instrumentation, of this appendix. Measure 
the wattage so that all possible standby mode wattage for the entire 
appliance is recorded, not just the standby mode wattage of a single 
auxiliary. The recorded standby power (PW,SB) shall be 
rounded to the second decimal place, and for loads greater than or 
equal to 10W, at least three significant figures shall be reported.
    3.7.2 Off mode power measurement. If the unit is equipped with a 
seasonal off switch or there is an expected difference between off 
mode power and standby mode power, measure off mode power 
(PW,OFF) in accordance with the standby power procedures 
in IEC 62301 (Second Edition) (incorporated by reference, see Sec.  
430.3), except that section 2.9, Room ambient temperature, and the 
voltage provision of section 2.3.5, Electrical supply, of this 
appendix shall apply in lieu of the IEC 62301 (Second Edition) 
corresponding sections 4.2, Test room, and 4.3, Power supply. 
Clarifying further, the IEC 62301 (Second Edition) sections 4.4, 
Power measuring instruments, and section 5, Measurements, shall 
apply in lieu of section 2.8, Energy flow instrumentation, of this 
appendix. Measure the wattage so that all possible off mode wattage 
for the entire appliance is recorded, not just the off mode wattage 
of a single auxiliary. If there is no expected difference in off 
mode power and standby mode power, let PW,OFF = 
PW,SB, in which case no separate measurement of off mode 
power is necessary. The recorded off mode power (PW,OFF) 
shall be rounded to the second decimal place, and for loads greater 
than or equal to 10W, at least three significant figures shall be 
reported.
    4.0 * * *
    4.6.3 Average annual auxiliary electrical energy consumption for 
vented heaters. For vented heaters with single-stage controls or 
manual controls, the average annual auxiliary electrical consumption 
(EAE) is expressed in kilowatt-hours and defined as:

EAE = BOHSSPE + ESO

Where:

BOHSS = as defined in 4.6.1 of this appendix
PE = as defined in 3.1.3 of this appendix
ESO = as defined in 4.7 of this appendix

    4.6.3.1 For vented heaters with two-stage or modulating 
controls, EAE is defined as:

EAE = (BOHR + BOHH)PE + 
ESO

Where:

BOHR = as defined in 4.6.1 of this appendix
BOHH = as defined in 4.6.1 of this appendix

[[Page 74572]]

PE = as defined in 3.1.3 of this appendix
ESO = as defined in 4.7 of this appendix
* * * * *
    4.7 Average annual electric standby mode and off mode energy 
consumption.
    Calculate the annual electric standby mode and off mode energy 
consumption, ESO, defined as, in kilowatt-hours:

ESO = ((PW,SB * (4160--BOH)) + 
(PW,OFF * 4600)) * K

Where:

PW,SB = vented heater standby mode power, in watts, as 
measured in section 3.7 of this appendix
4160 = average heating season hours per year
PW,OFF = vented heater off mode power, in watts, as 
measured in section 3.7 of this appendix
4600 = average non-heating season hours per year
K = 0.001 kWh/Wh, conversion factor for watt-hours to kilowatt-hours
BOH = burner operating hours as calculated in section 4.6.1 of this 
appendix where for single-stage controls or manual controls vented 
heaters BOH = BOHSS and for vented heaters equipped with 
two-stage or modulating controls BOH = (BOHR + 
BOHH).

0
6. Appendix P to Subpart B of Part 430 is revised to read as follows:

Appendix P to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Pool Heaters

    Note: The procedures and calculations that refer to standby mode 
and off mode energy consumption (i.e., sections 2.2, 2.3, 3.2, 4.2, 
4.3, 5.3 equation (3), and 5.4 of this appendix P) need not be 
performed to determine compliance with energy conservation standards 
for pool heaters at this time. However, on or after June 17, 2013, 
any representations related to standby mode and off mode energy 
consumption of these products must be based upon results generated 
under this test procedure, consistent with the requirements of 42 
U.S.C. 6293(c)(2). For pool heaters, the statute requires that after 
July 1, 2010, any adopted energy conservation standard shall 
incorporate standby mode and off mode energy consumption, and upon 
the compliance date for such standards, compliance with the 
applicable provisions of this test procedure will also be required.

    1. Definitions.
    1.1 Active mode means the condition during the pool heating 
season in which the pool heater is connected to the power source, 
and the main burner, electric resistance element, or heat pump is 
activated to heat pool water.
    1.2 IEC 62301 (Second Edition) means the test standard published 
by the International Electrotechnical Commission, titled ``Household 
electrical appliances--Measurement of standby power,'' Publication 
62301, Edition 2.0 2011-01. (incorporated by reference; see Sec.  
430.3)
    1.3 Off mode means the condition during the pool non-heating 
season in which the pool heater is connected to the power source, 
and neither the main burner, electric resistance elements, nor heat 
pump is activated.
    1.4 Seasonal off switch means a switch present on the pool 
heater that effects a difference in off mode energy consumption as 
compared to standby mode energy consumption.
    1.5 Standby mode means the condition during the pool heating 
season in which the pool heater is connected to the power source, 
and neither the main burner, electric resistance elements, nor heat 
pump is activated.
    2. Test Method.
    2.1 Active mode. The test method for testing pool heaters in 
active mode is as specified in section 2.10 of ANSI Z21.56 
(incorporated by reference; see Sec.  430.3).
    2.2 Standby mode. The test method for testing the energy 
consumption of pool heaters in standby mode is as described in 
sections 3 through 5 of this appendix.
    2.3 Off mode.
    2.3.1 Pool heaters with a seasonal off switch.
    For pool heaters with a seasonal off switch, no off-mode test is 
required.
    2.3.2 Pool heaters without a seasonal off switch.
    For pool heaters without a seasonal off switch, the test method 
for testing the energy consumption of the pool heater is as 
described in sections 3 through 5 of this appendix.
    3. Test conditions.
    3.1 Active mode. Establish the test conditions specified in 
section 2.10 of ANSI Z21.56 (incorporated by reference; see Sec.  
430.3).
    3.2 Standby mode and off mode. Following the conclusion of the 
30-minute active mode test described in section 2.10 of ANSI Z21.56 
(incorporated by reference; see Sec.  430.3), reduce the thermostat 
setting to a low enough temperature to put the pool heater into 
standby mode. Operate the pool heater in standby mode for 60 
minutes.
    4. Measurements.
    4.1 Active mode. Measure the quantities delineated in section 
2.10 of ANSI Z21.56 (incorporated by reference; see Sec.  430.3). 
The measurement of energy consumption for oil-fired pool heaters in 
Btu is to be carried out in appropriate units (e.g., gallons).
    4.2 Standby mode. Record the average electric power consumption 
during the standby mode test, PW,SB, in W, in accordance 
with section 5 of IEC 62301 (Second Edition) (incorporated by 
reference; see Sec.  430.3) and the fossil fuel energy consumption 
during the standby test, Qp, in Btu. Ambient temperature 
and voltage specifications of ANSI Z21.56 (incorporated by 
reference; see Sec.  430.3) shall apply to this standby mode 
testing. The recorded standby power (PW,SB) shall be 
rounded to the second decimal place, and for loads greater than or 
equal to 10W, at least three significant figures shall be reported.
    4.3 Off mode.
    4.3.1 Pool heaters with a seasonal off switch. For pool heaters 
with a seasonal off switch, the average electric power consumption 
during the off mode, PW,OFF = 0, and the fossil fuel 
energy consumed during the off mode, Qoff = 0.
    4.3.2 Pool heaters without a seasonal off switch. Record the 
average electric power consumption during the standby/off mode test, 
PW,OFF (= PW,SB), in W, in accordance with 
section 5 of IEC 62301 (Second Edition) (incorporated by reference; 
see Sec.  430.3), and the fossil fuel energy consumption during the 
off mode test, Qoff (= Qp), in Btu. Ambient 
temperature and voltage specifications of ANSI Z21.56 (incorporated 
by reference; see Sec.  430.3) shall apply to this off mode testing. 
The recorded off mode power (PW,OFF) shall be rounded to 
the second decimal place, and for loads greater than or equal to 
10W, at least three significant figures shall be reported.
    5. Calculations.
    5.1 Thermal efficiency. Calculate the thermal efficiency, 
Et (expressed as a percent), as specified in section 2.10 
of ANSI Z21.56 (incorporated by reference; see Sec.  430.3). The 
expression of fuel consumption for oil-fired pool heaters shall be 
in Btu.
    5.2 Average annual fossil fuel energy for pool heaters. The 
average annual fuel energy for pool heaters, EF, is 
defined as:

EF = BOH QIN + (POH - BOH)QPR + 
(8760 - POH) Qoff,R

Where:

BOH = average number of burner operating hours = 104 h
POH = average number of pool operating hours = 4464 h
QIN = rated fuel energy input as defined according to 
section 2.10.1 or section 2.10.2 of ANSI Z21.56, as appropriate.
QPR = average energy consumption rate of continuously 
operating pilot light, if employed, = (QP/1 h)
QP = energy consumption of continuously operating pilot 
light, if employed, as measured in section 4.2 of this appendix, in 
Btu
8760 = number of hours in one year
Qoff,R = average off mode fossil fuel energy consumption 
rate = Qoff/(1 h)
Qoff = off mode energy consumption as defined in section 
4.3 of this appendix

    5.3 Average annual auxiliary electrical energy consumption for 
pool heaters. The average annual auxiliary electrical energy 
consumption for pool heaters, EAE, is expressed in Btu 
and defined as:

(1) EAE = EAE,active + 
EAE,standby,off
(2) EAE,active = BOH * PE
(3) EAE,standby,off = (POH - BOH) PW,SB(Btu/h) 
+ (8760 - POH) PW,OFF(Btu/h)

Where:

EAE,active = auxiliary electrical consumption in the 
active mode
EAE,standby,off = auxiliary electrical consumption in the 
standby mode and off mode
PE = 2Ec, if heater is tested according to section 2.10.1 
of ANSI Z21.56, in Btu/h = 3.412 PErated, if heater is 
tested according to section 2.10.2 of ANSI Z21.56, in Btu/h
Ec = electrical consumption of the heater (converted to 
equivalent unit of Btu), including the electrical energy to the 
recirculating pump if used, during the 30-minute thermal efficiency 
test, as defined in section 2.10.1 of ANSI Z21.56, in Btu per 30 
min.

[[Page 74573]]

2 = conversion factor to convert unit from per 30 min. to per h.
PErated = nameplate rating of auxiliary electrical 
equipment of heater, in Watts
BOH = as defined in 5.2 of this appendix
POH = as defined in 5.2 of this appendix
PW,SB (Btu/h) = electrical energy consumption rate during 
standby mode expressed in Btu/h = 3.412 PW,SB, Btu/h
PW,SB = as defined in 4.2 of this appendix
PW,OFF (Btu/h) = electrical energy consumption rate 
during off mode expressed in Btu/h = 3.412 PW,OFF, Btu/h
PW,OFF = as defined in 4.3 of this appendix

    5.4 Integrated thermal efficiency.
    5.4.1 Calculate the seasonal useful output of the pool heater 
as:

    EOUT = BOH[(Et/100)(QIN + PE)]

Where:

BOH = as defined in 5.2 of this appendix
Et = thermal efficiency as defined in 5.1 of this 
appendix
QIN = as defined in 5.2 of this appendix
PE = as defined in 5.3 of this appendix
100 = conversion factor, from percent to fraction

    5.4.2 Calculate the annual input to the pool heater as:

EIN = EF + EAE

Where:

EF = as defined in 5.2 of this appendix
EAE = as defined in 5.3 of this appendix

    5.4.3 Calculate the pool heater integrated thermal efficiency 
(TEI) (in percent).

TEI = 100(EOUT/EIN)

Where:

EOUT = as defined in 5.4.1 of this appendix
EIN = as defined in 5.4.2 of this appendix
100 = conversion factor, from fraction to percent

[FR Doc. 2012-30193 Filed 12-14-12; 8:45 a.m.]
BILLING CODE 6450-01-P
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