This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

7681 

Vol. 78, No. 23 

Monday, February 4, 2013 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket No. EERE–2013–BT–TP–0008] 

RIN 1904–AC96 

Energy Conservation Program for 

Consumer Products: Test Procedures 

for Residential Furnaces and Boilers 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking 

and announcement of public meeting. 

SUMMARY: The U.S. Department of 

Energy (DOE) proposes to revise its test 

procedure for residential furnaces and 

boilers established under the Energy 

Policy and Conservation Act. This 

rulemaking would adopt needed 

equations, applicable to certain classes 

of these products, which were omitted 

from the relevant industry standard 

incorporated by reference in the DOE 

test procedure. 

DATES: Meeting: DOE will hold a public 

meeting on Wednesday, March 13, 2013, 

from 9:00 a.m. to 12:00 p.m., in 

Washington, DC. The meeting will also 

be broadcast as a webinar. See section 

V, ‘‘Public Participation,’’ for webinar 

registration information, participant 

instructions, and information about the 

capabilities available to webinar 

participants. 

Comments: DOE will accept 

comments, data, and information 

regarding this notice of proposed 

rulemaking (NOPR) before and after the 

public meeting, but no later than April 

22, 2013. See section V, ‘‘Public 

Participation,’’ for details. 

ADDRESSES: The public meeting will be 

held at the U.S. Department of Energy, 

Forrestal Building, Room 8E–089, 1000 

Independence Avenue SW., 

Washington, DC 20585. To attend, 

please notify Ms. Brenda Edwards at 

(202) 586–2945. Please note that foreign 

nationals visiting DOE Headquarters are 

subject to advance security screening 

procedures. Any foreign national 

wishing to participate in the meeting 

should advise DOE as soon as possible 

by contacting Ms. Edwards at the phone 

number above to initiate the necessary 

procedures. Please also note that any 

person wishing to bring a laptop 

computer into the Forrestal Building 

will be required to obtain a property 

pass. Visitors should avoid bringing 

laptops, or allow an extra 45 minutes. 

Persons may also attend the public 

meeting via webinar. For more 

information, refer to section V, ‘‘Public 

Participation,’’ section near the end of 

this notice. 

Interested parties are encouraged to 

submit comments using the Federal 

eRulemaking Portal at 

www.regulations.gov. Follow the 

instructions for submitting comments. 

Alternatively, interested parties may 

submit comments, identified by docket 

number EERE–2013–BT–TP–0008 and/ 

or regulatory information number (RIN) 

number 1904–AC96, by any of the 

following methods: 

• Email: 

ResFurnBoilers2013TP0008@ee.doe.gov 

Include the docket number EERE–2013– 

BT–TP–0008 and/or RIN 1904–AC96 in 

the subject line of the message. Submit 

electronic comments in WordPerfect, 

Microsoft Word, PDF, or ASCII file 

format, and avoid the use of special 

characters or any form of encryption. 

• Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue SW., 

Washington, DC, 20585–0121. If 

possible, please submit all items on a 

compact disc (CD), in which case it is 

not necessary to include printed copies. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza SW., Suite 600, 

Washington, DC, 20024. Telephone: 

(202) 586–2945. If possible, please 

submit all items on a CD, in which case 

it is not necessary to include printed 

copies. 

Instructions: All submissions received 

must include the agency name and 

docket number and/or RIN for this 

rulemaking. No telefacsimilies (faxes) 

will be accepted. For detailed 

instructions on submitting comments 

and additional information on the 

rulemaking process, see section V of this 

document (Public Participation). 

Docket: The docket 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: http://www.regulations.gov/ 

#!docketDetail;D=EERE-2013-BT-TP0008. This web page contains a link to 

the docket for this notice on the 

www.regulations.gov site. The 

www.regulations.gov web page contains 

simple instructions on how to access all 

documents, including public comments, 

in the docket. See section V, ‘‘Public 

Participation,’’ for information on how 

to submit comments through 

www.regulations.gov. 

For further information on how to 

submit a comment, review other public 

comments and the docket, or participate 

in the public meeting, contact Ms. 

Brenda Edwards at (202) 586–2945 or by 

email: Brenda.Edwards@ee.doe.gov. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Ashley Armstrong, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue SW., 

Washington, DC, 20585–0121. 

Telephone: (202) 586–6590. Email: 

Ashley.Armstrong@ee.doe.gov. 

Mr. Eric Stas, U.S. Department of 

Energy, Office of the General Counsel, 

GC–71, 1000 Independence Avenue 

SW., Washington, DC, 20585–0121. 

Telephone: (202) 586–9507. Email: 

Eric.Stas@hq.doe.gov. 

For information on how to submit or 

review public comments, contact Ms. 

Brenda Edwards, 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) 586–2945. Email: 

Brenda.Edwards@ee.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Authority and Background 

II. Summary of the Notice of Proposed 

Rulemaking 

III. Discussion 


sroberts on DSK5SPTVN1PROD with PROPOSALS
7682 Federal Register / Vol. 78, No. 23 / Monday, February 4, 2013 / Proposed Rules 

1For editorial reasons, upon codification in the 

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

2All references to EPCA in this document refer 

to the statute as amended through the American 

Energy Manufacturing Technical Corrections Act 

(AEMTCA), Public Law 112–210 (Dec. 18, 2012). 

3Under 42 U.S.C. 6292(a)(5), the statute 

establishes ‘‘furnaces’’ as covered products. 

Originally, boilers were considered a class of 

furnaces. However, amendments to EPCA in the 

Energy Independence and Security Act of 2007 

(EISA 2007), Public Law 110–140 (Dec. 19, 2007), 

distinguished between furnaces and boilers in 42 

U.S.C. 6295(f) by adding the text ‘‘and boilers’’ to 

the title of that section and by prescribing standards 

for boiler products. Although EISA 2007 did not 

similarly update 42 U.S.C. 6292(a)(5), it is implicit 

that this coverage continues to include boilers. 

A. Description of AFUE Inflation Issues 

Associated with Omitting Cool-Down 

and Heat-Up Testing for Two-Stage and 

Modulating Condensing Furnaces and 

Boilers 

B. Options To Correct Existing Test 

Procedure 

1. Suspend the Use of Section 9.10 for 

Two-Stage and Modulating Condensing 

Furnaces and Boilers 

2. Develop Additional Equations to Correct 

Existing Test Procedure 

C. Results of Preliminary DOE Testing 

D. Proposed Corrective Action 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

V. Public Participation 

A. Attendance at Public Meeting 

B. Procedure for Submitting Requests To 

Speak and Prepared General Statements 

for Distribution 

C. Conduct of Public Meeting 

D. Submission of Comments 

E. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

Title III, Part B1 of the Energy Policy 

and Conservation Act of 1975 (‘‘EPCA’’ 

or ‘‘the Act’’), Public Law 94–163 (42 

U.S.C. 6291–6309, as codified) sets forth 

a variety of provisions designed to 

improve energy efficiency and 

established the Energy Conservation 

Program for Consumer Products Other 

Than Automobiles.2 These include 

residential furnaces and boilers, the 

subject of today’s notice. (42 U.S.C. 

6292(a)(5)) 3

Under EPCA, this program consists 

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

labeling; (3) Federal energy conservation 

standards; and (4) certification and 

enforcement procedures. The testing 

requirements consist of test procedures 

that manufacturers of covered products 

must use as the basis for: (1) Certifying 

to DOE that their products comply with 

the applicable energy conservation 

standards adopted pursuant to EPCA, 

and (2) 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 

requirements when determining 

whether the products comply with any 

relevant standards promulgated under 

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

Under 42 U.S.C. 6293, EPCA sets forth 

the 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, DOE has tentatively 

concluded that any test procedure 

changes arising from this rulemaking 

would not impact existing energy 

conservation standards for residential 

furnaces and boilers, because such 

changes would simply allow for the 

generation of accurate information 

reflecting the energy efficiency of 

affected basic models, which are 

typically comfortably above the existing 

minimum standard level. 

DOE’s current energy conservation 

standards for residential furnaces and 

boilers are expressed as minimum 

annual fuel utilization efficiency 

(AFUE). AFUE is an annualized fuel 

efficiency metric that fully accounts for 

fuel consumption in active, standby, 

and off modes. The existing DOE test 

procedure for determining the AFUE of 

residential furnaces and boilers is 

located at 10 CFR part 430, subpart B, 

Appendix N, Uniform Test Method for 

Measuring the Energy Consumption of 

Furnaces and Boilers. The current DOE 

test procedure for residential furnaces 

and boilers was originally established 

by a final rule published in the Federal 

Register on May 12, 1997, and it 

incorporates by reference American 

National Standards Institute (ANSI)/ 

American Society of Heating, 

Refrigerating, and Air-conditioning 

Engineers (ASHRAE) Standard 103– 

1993, Method of Testing for Annual Fuel 

Utilization Efficiency of Residential 

Central Furnaces and Boilers (ASHRAE 

103–1993). 62 FR 26140, 26157 

(incorporated by reference at 10 CFR 

430.3(f)(9)). On October 14, 1997, DOE 

published an interim final rule in the 

Federal Register to revise a provision 

concerning the insulation of the flue 

collector box in order to ensure the 

updated test procedure would not affect 

the measured AFUE of existing furnaces 

and boilers. (62 FR 53508.) This interim 

final rule was subsequently adopted 

without change in a final rule published 

in the Federal Register on February 24, 

1998. 63 FR 9390. 

On October 20, 2010, DOE amended 

its test procedure for furnaces and 

boilers to establish a method for 

measuring the electrical energy use in 

standby mode and off mode for gas and 

oil-fired furnaces and boilers pursuant 

to requirements established by EISA 

2007. 75 FR 64621. These test procedure 

amendments were primarily based on 

and incorporated by reference 

provisions of the International 

Electrotechnical Commission (IEC) 

Standard 62301 (First Edition), 

‘‘Household electrical appliances— 

Measurement of standby power.’’ On 

December 31, 2012, DOE published a 

final rule in the Federal Register that 

updated the incorporation by reference 

of the standby mode and off mode test 

procedure provisions to refer to the 

latest edition of IEC Standard 62301 

(Second Edition). 77 FR 76831. 

On January 4, 2013, DOE published a 

request for information (RFI) in the 

Federal Register that requested 

comment and information on a variety 

of issues relating to the residential 

furnace and boiler AFUE test method. 

78 FR 675. Key issues discussed in the 

RFI include avenues for reducing test 

burden and the addition of a 

performance test for automatic means of 

adjusting water temperature in hot 

water boilers. 

II. Summary of the Notice of Proposed 

Rulemaking 

In this notice of proposed rulemaking 

(NOPR), DOE proposes to modify the 

existing DOE testing procedures for 

residential furnaces and boilers to 

address an omission in the current test 

procedure regarding the calculation of 

AFUE for two-stage and modulating 

condensing furnaces and boilers that 

employ the optional procedure to skip 


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Federal Register / Vol. 78, No. 23 / Monday, February 4, 2013 / Proposed Rules 7683 

the heat-up and cool-down tests, as 

described in section 9.10 (Optional Test 

Procedure for Condensing Furnaces and 

Boilers That Have No Off-Period Flue 

Losses) of ASHRAE 103–1993. Section 

9.10 of ASHRAE 103–1993, which is 

incorporated by reference into the DOE 

test procedure for use at Appendix N to 

subpart B of 10 CFR part 430, allows 

certain condensing furnaces and boilers 

to omit the heat-up and cool-down tests 

provided that the model: (1) Has no 

measurable airflow through the 

combustion chamber and heat 

exchanger during the burner off-period, 

and (2) has post-purge period(s) of less 

than 5 seconds. Specifically, section 

9.10 of ASHRAE 103–1993 reads as 

follows: 

For units designed with no measurable 

airflow through the combustion chamber and 

heat exchanger during the burner off-period 

and having post-purge periods of less than 5 

seconds, DF and DP may be set equal to 0.05. 

At the discretion of the one testing, the cooldown and heat-up tests specified in 9.5 and 

9.6 may be omitted on such units. In lieu of 

conducting the cool-down and heat-up tests, 

the tester may use the losses determined 

during the steady-state test described in 9.1 

when calculating heating seasonal efficiency, 

EffyHS. 

For single-stage condensing furnaces 

and boilers, section 11.3.11.3 of 

ASHRAE 103–1993 provides two 

separate equations to calculate the 

heating seasonal efficiency (which 

contributes to the ultimate calculation 

of AFUE). One equation is based on the 

results of the heat-up and cool-down 

tests described in sections 9.5 and 9.6 

and is to be used if these tests were 

conducted, and the other equation is 

based on the results of the steady-state 

test described in section 9.1 and is to be 

used if these tests were not conducted 

and the option in section 9.10 was 

employed instead. Having two separate 

equations for this section adequately 

addresses the difference in the data 

collected depending on whether the 

option in section 9.10 is employed. 

Therefore, for single-stage condensing 

boilers and furnaces, the necessary 

equations are already present for the 

calculation of AFUE when the optional 

procedure described in section 9.10 is 

utilized. 

However, for two-stage and 

modulating condensing furnaces and 

boilers, there are no corresponding 

equations provided in ASHRAE 103– 

1993 to calculate the heating seasonal 

efficiency (which contributes to the 

ultimate calculation of AFUE) if the 

option in section 9.10 is selected. The 

only equation provided in the test 

procedure to calculate the heating 

seasonal efficiency for two-stage and 

modulating condensing furnaces and 

boilers requires values for the part-load 

efficiencies, which are based on the 

results of the heat-up and cool-down 

tests. Therefore, if two-stage and 

modulating condensing furnaces or 

boilers were tested and the heat-up and 

cool-down tests were omitted in 

accordance with section 9.10, the partload efficiencies, heating seasonal 

efficiency, and resulting AFUE would 

all be erroneous if calculated using the 

DOE test method. DOE is aware that 

many boiler manufacturers have utilized 

the optional section 9.10 provisions for 

two-stage and modulating condensing 

boilers, regardless of the fact that no 

equations exist in section 11.5.11 that 

would provide for the calculation of the 

part-load efficiencies for such 

equipment. In calculating the AFUE, 

manufacturers have used ‘‘0’’ for the 

temperatures that would be taken 

during the heat-up and cool-down tests. 

Research into this issue conducted by 

the Air-conditioning, Heating, and 

Refrigeration Institute (AHRI) revealed 

that AFUE values calculated for boilers 

using this approach are inflated from 

one to four percent above their true 

values. (AHRI, No. 1 at p. 6) 

DOE has considered two options to 

correct this issue for two-stage and 

modulating condensing furnaces and 

boilers, including: (1) suspend the use 

of the option in section 9.10 and require 

heat-up and cool-down tests be 

performed; and (2) develop or adopt a 

new set of equations to address the use 

of the option in section 9.10. 

DOE has tentatively determined that 

the best course of action is to proceed 

with adopting equations to address the 

use of the option in section 9.10. 

Accordingly, DOE is proposing in 

today’s NOPR to amend the test 

procedure to include equations that 

would allow for the calculation of the 

part-load efficiencies at the maximum 

input rate and reduced input rates (and 

ultimately AFUE) of two-stage and 

modulating condensing furnaces and 

boilers when utilizing the option to skip 

the heat-up and cool-down tests, as 

provided under section 9.10 of ASHRAE 

103–1993. 

In any rulemaking to amend a test 

procedure, DOE must determine to what 

extent, if any, the proposed test 

procedure would alter the measured 

energy efficiency or measured energy 

use of any covered product as 

determined under the existing test 

procedure. (42 U.S.C. 6293(e)(1)) If DOE 

determines that the amended test 

procedure would alter the measured 

efficiency or measured energy use of a 

covered product, DOE must amend the 

applicable energy conservation standard 

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

The proposed test procedure 

amendments include a revised method 

for calculating the AFUE for two-stage 

and modulating condensing furnaces 

and boilers. While this change may lead 

to a revised AFUE rating for certain 

residential furnaces or boilers, DOE 

does not believe that the resulting 

changes in AFUE would require 

amending the applicable energy 

conservation standard or affect 

compliance with the standard by the 

models at issue here. As noted, the error 

applies only to two-stage and 

modulating condensing models, which 

test well above the current minimum 

standards. The current minimum energy 

conservation standards are based on 

AFUE ratings that correspond to noncondensing furnaces and boilers, and 

those values would not change as a 

result of today’s proposal to remedy the 

omission of necessary equations 

pertaining to condensing models. DOE 

does not foresee that a model that would 

need to be re-rated using the equation 

proposed in today’s notice would have 

a resulting AFUE below the minimum 

required efficiency. 

III. Discussion 

A. Description of AFUE Inflation Issues 

Associated With Omitting Cool-Down 

and Heat-Up Testing for Two-Stage and 

Modulating Condensing Furnaces and 

Boilers 

Recent investigation by AHRI has 

demonstrated that the DOE test 

procedure erroneously omits an 

equation needed to calculate the AFUE 

rating of two-stage and modulating 

condensing furnaces or boilers that 

utilize an optional procedure allowing 

the tester to skip the heat-up and cooldown tests. This error carries through to 

the software commonly used in the 

heating industry to rate and verify the 

energy efficiency of residential furnaces 

and boilers, and, thus, the software 

produces an erroneously high energy 

efficiency rating for some types of 

product under certain conditions. DOE 

has since independently confirmed 

these findings. 

The Federal test procedure for 

determining the energy efficiency of 

residential furnaces and boilers in 

Appendix N to Subpart B of 10 CFR part 

430 is based largely upon ASHRAE 103– 

1993, which the DOE test procedure 

incorporates by reference. A product’s 

energy efficiency rating is expressed in 

terms of AFUE, which is an estimate of 

the product’s fuel consumption during 

the heating season when operating 

under a set of standard conditions. 


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7684 Federal Register / Vol. 78, No. 23 / Monday, February 4, 2013 / Proposed Rules 

4 ‘‘Sensible heat’’ is heat exchanged by a body or 

thermodynamic system that is the result of a change 

of temperature. The term is used in contrast to 

‘‘latent heat,’’ which is the amount of heat 

exchanged without change of temperature. 

5For more information on the ongoing test 

procedure rulemaking for residential furnaces and 

boilers, see: http://www1.eere.energy.gov/buildings/ 

appliance_standards/rulemaking.aspx/ruleid/55 

6 DOE notes that the software voluntarily used by 

manufacturers to streamline the calculations in 

Appendix N to Subpart B of Part 430 is not DOEissued or approved. It is the manufacturer’s 

responsibility to ensure that any software employed 

to automate the DOE test procedure equations is 

consistent with the exact methods in the test 

procedure. 

Energy lost during a product’s transient 

heat-up and cool-down stages and 

during steady-state operation reduces 

the product’s AFUE rating, which can 

be no higher than 100 percent. 

ASHRAE 103–1993 requires 

consideration of several sources of 

energy loss when determining a 

product’s energy efficiency rating. For 

non-weatherized residential boilers, 

which DOE requires be rated as indoor 

units (10 CFR part 430, subpart B, 

Appendix N, section 10.1 in the 

definition of EffyHS), all energy loss is in 

the form of heat exhausted from the 

product’s vent system. During the 

burner’s on-cycle, losses consist of 

residual heat in the flue gases and flue 

gas condensate. During the burner offcycle, losses include heat transferred 

from the product’s heat exchanger to 

any air that moves through the heat 

exchanger when the combustion air fan 

is running to purge combustible gases 

from the boiler and/or naturally due to 

residual draft in the vent system. If the 

product draws combustion air from 

inside the heated space, losses also 

include the heat contained in the warm 

room air vented during the on-cycle and 

off-cycle (i.e., infiltration loss). Since 

boilers are rated as indoor units, offcycle infiltration losses can be 

significant, therefore most midefficiency boilers are equipped with 

vent dampers to minimize the loss of 

room air in the off cycle. Also, because 

boiler heat exchangers retain a 

significant amount of heat in the form 

of hot water, off-cycle sensible heat 

losses 4 can be significant. 

In contrast to residential boilers, DOE 

requires that non-weatherized 

residential furnaces be rated as isolated 

combustion systems (ICS) (10 CFR 430, 

subpart B, Appendix N, section 10.1 in 

the definition of EffyHS). This means 

that furnaces are assumed to draw all 

combustion air from outside the 

building. Since no indoor air is used for 

the combustion process, there is no 

efficiency penalty related to heating the 

unconditioned air which would 

infiltrate the house. Moreover, furnace 

heat exchangers have lower residual 

thermal mass than boiler heat 

exchangers, so off-cycle sensible losses 

are less significant. 

Off-cycle infiltration and sensible heat 

losses are quantified by the heat-up and 

cool-down tests contained in ASHRAE 

103–1993. In these tests, the test 

engineer measures the temperature and 

mass flow of the vent gases as the flue 

gases rise to steady-state temperature 

and after the burner is turned off. 

However, the test engineer is allowed to 

omit the heat-up and cool-down tests for 

condensing furnaces and boilers that are 

‘‘units designed with no measurable 

airflow through the combustion 

chamber and heat exchanger during the 

burner off-period and having post-purge 

periods of less than 5 seconds.’’ (See 

ASHRAE 103–1993, section 9.10, 

‘‘Optional Test Procedures for 

Condensing Furnaces and Boilers That 

Have No Off-Period Flue Losses.’’) Since 

air movement through the heat 

exchanger in the off-cycle is responsible 

for any off-cycle AFUE penalties for 

boilers, when no air can flow through 

the heat exchanger in the off-cycle, there 

is no AFUE penalty to be calculated. 

Thus, ASHRAE 103–1993 reasonably 

disregards infiltration and sensible heat 

losses in the off-cycle for condensing 

products when air cannot flow through 

the heat exchanger by allowing the 

manufacturer the option to omit the 

heat-up and cool-down tests. This 

reduces the testing burden and would 

have a negligible effect on a product’s 

AFUE rating. 

At the present time, the judgment of 

whether a unit is designed with no 

measurable off-cycle airflow typically 

has been determined at the discretion of 

the testing engineer and/or the 

manufacturer who is responsible for 

testing. DOE plans to investigate 

objective methods for determining 

whether units have no measurable offcycle airflow in a separate, ongoing test 

procedure rulemaking for furnaces and 

boilers.5 Should the test engineer elect 

to omit the heat-up and cool-down tests, 

ASHRAE 103–1993 provides an 

alternate calculation that omits the 

results of those tests for single-stage 

condensing products (section 11.3.11.3). 

However, the alternate calculation 

applies only to products having a single 

firing rate—there is no counterpart in 

section 11.5.11 for two-stage and 

modulating condensing products. Thus, 

ASHRAE 103–1993 and the Federal test 

procedure do not provide a method of 

calculating AFUE for two-stage and 

modulating condensing products when 

the heat-up and cool-down tests are 

omitted, even though the test procedure 

explicitly provides for such an option. 

This ambiguity has worked its way into 

the AFUE calculation software 6

commonly employed by industry in 

testing and rating residential furnaces 

and boilers. The software was originally 

developed by the National Institute of 

Science and Technology (NIST), before 

being reprogrammed for use with 

Microsoft Windows and offered for sale 

by the Gas Appliance Manufacturers 

Association (GAMA), which is now 

AHRI. AHRI is the trade association for 

manufacturers of heating equipment, 

and it also administers an industry 

energy efficiency verification program. 

As noted above, when calculating the 

AFUE of a product for which the heatup and cool-down tests have been 

omitted, test engineers have been 

substituting 0 °F for various 

temperatures ordinarily measured 

during the omitted tests. For single-stage 

condensing equipment, these zeros 

trigger the AFUE calculator to use the 

correct alternate equation. However, for 

two-stage and modulating condensing 

equipment, the AFUE calculator 

erroneously uses those zeros in the 

ordinary efficiency calculation as if the 

heat-up and cool-down tests were 

actually performed. The calculated 

results indicate that the boiler seems to 

be recovering heat during heat-up and 

cool-down instead of losing it, which 

inflates its AFUE rating, and according 

to AHRI, the error results in the overrating of AFUE in two-stage and 

modulating condensing products by one 

to four percent. (AHRI, No. 1 at p. 6) 

The error applies to any two-stage or 

modulating condensing product for 

which the heat-up and cool-down tests 

have been omitted. Based on assertions 

from AHRI, such over-rating appears to 

be common for high-efficiency 

condensing boilers and no other product 

type. (AHRI, No. 1 at p. 2) 

B. Options To Correct Existing Test 

Procedure 

In considering how to address the 

omitted calculation for two-stage and 

modulating condensing furnaces and 

boilers, DOE considered two potential 

options: (1) Suspending the use of 

section 9.10 for those models; and (2) 

developing or adopting a new set of 

equations to address the use of the 

option in section 9.10 with those 

models. Each of these potential options 

is discussed in detail below. 

1. Suspend the Use of Section 9.10 for 

Two-Stage and Modulating Condensing 

Furnaces and Boilers 

The existing DOE test procedure 

currently does not provide the necessary 


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equations to accommodate the use of the 

option in section 9.10 of ASHRAE 103– 

1993 for two-stage and modulating 

condensing equipment in the 

calculations provided in section 11.5.11. 

If DOE were simply to suspend the use 

of section 9.10 for two-stage and 

modulating products, manufacturers 

and test engineers would need to 

conduct heat-up and cool-down tests for 

all two-stage and modulating furnaces 

and boilers, both condensing and noncondensing. 

DOE considered this option as a 

straightforward approach that could be 

implemented quickly, would eliminate 

confusion, and would resolve this issue. 

Requiring the heat-up and cool-down 

tests would also ensure more accurate 

AFUE ratings than those developed 

using the optional method in section 

9.10. However, this approach would 

also increase test burden on 

manufacturers and industry. Not only 

would this be an issue for 

manufacturers rating equipment 

efficiency in the future, but initially, it 

would require a significant amount of 

re-rating of existing equipment through 

additional testing, which could 

significantly burden test labs. Upon 

considering these concerns and the 

potential alternatives discussed later in 

this section, DOE has tentatively 

decided not to pursue this option. 

2. Develop Additional Equations To 

Correct Existing Test Procedure 

ASHRAE 103–1993 lacks equations 

for determining heating seasonal 

efficiency for two-stage and modulating 

condensing furnace and boiler products 

when the heat-up and cool-down tests 

are omitted. For single-stage equipment, 

when the heat-up and cool-down tests 

are omitted, an alternate equation is 

provided in which cyclic sensible and 

infiltration loss factors are replaced with 

the steady-state sensible heat loss factor, 

corrected for outdoor air temperature if 

applicable. More specifically, in section 

11.3.11.3, ‘‘Heating Seasonal 

Efficiency,’’ the alternate equation 

substitutes the steady-state sensible heat 

loss adjusted for outdoor air 

temperature when applicable, in place 

of the sum of the sensible and 

infiltration heat losses during the on 

and off cycles. 

If the option in section 9.10 of 

ASHRAE 103–1993 is not employed: 

If the option in section 9.10 of 

ASHRAE 103–1993 is employed: 

So, under the option in section 9.10 

of ASHRAE 103–1993, (CS)(LS,SS) is 

substituted for (LS,ON + LS,OFF + LI,ON + 

LI,OFF). 

This concept of replacing cyclic 

infiltration and sensible heat losses with 

steady-state infiltration and sensible 

heat losses also applies when dealing 

with two-stage and modulating 

condensing furnaces and boilers. DOE 

proposes the following equations for use 

in testing two-stage and modulating 

condensing furnaces and boilers when 

employing the option in section 9.10 of 

ASHRAE 103–1993: 

11.5.11.1 Part-Load Efficiency at 

Reduced Fuel Input Rate 

Where: 

LS,SS = value as defined in section 11.5.6 at 

reduced input rate 

CS = value as defined in section 11.5.10.1 at 

reduced input rate 

11.5.11.2 Part-Load Efficiency at 

Maximum Fuel Input Rate 

Where: 

LS,SS = value as defined in section 11.5.6 at 

maximum input rate 

CS = value as defined in section 11.5.10.1 at 

maximum input rate 

In its investigation of the issue, AHRI 

developed identical equations to 

accommodate the option of omitting the 


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heat-up and cool-down tests, as they 

pertain to two-stage and modulating 

condensing furnaces and boilers. (AHRI, 

No. 2 at p. 1) 

C. Results of Preliminary DOE Testing 

DOE conducted testing on two 

modulating condensing residential 

boilers to validate the equations 

discussed above. The test results 

showed that the AFUEs calculated by 

omitting the heat-up and cool-down 

tests and using of the equations 

discussed in section III.B.2 were within 

0.04 percent AFUE of the AFUE 

determined using the heat-up and cooldown tests. Tables III.1 and III.2 show 

the results of the testing and various 

intermediate values for the two boilers, 

labeled boilers ‘‘A’’ and ‘‘B.’’ 


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As shown in the tables above, the 

difference between the AFUE values 

calculated using section 9.10 of 

ASHRAE 103–1993 with the proposed 

equations and the AFUE values 

calculated using the heat-up and cooldown tests is 0.03 percent AFUE for 

boiler ‘‘A’’ and 0.04 percent AFUE for 

boiler ‘‘B.’’ DOE believes that the 

difference between the two calculation 

methods is small enough that the AFUE 

values using the new equations are 

representative of the actual performance 

of the models. Thus, the resulting values 

are an accurate representation of the 

product’s energy efficiency for 

consumer information purposes and 

would result in minimal additional test 

burden. 

D. Proposed Corrective Action 

DOE is proposing to amend the DOE 

test procedure for residential furnaces 

and boilers in Appendix N to subpart B 

of 10 CFR part 430 by adopting the 

alternate equations that were developed 

by DOE and also independently 

proposed by AHRI, as described in 

section III.B.2 above. 

IV. 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 the Executive Order by the 

Office of Information and Regulatory 

Affairs (OIRA) in the Office of 

Management and Budget (OMB). 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (‘‘Act’’) 

(5 U.S.C. 601 et seq., as amended) 

requires preparation of an initial 

regulatory flexibility analysis (IFRA) 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 amines 

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: http://energy.gov/

gc/office-general-counsel. 

DOE reviewed today’s proposed rule 

under the provisions of the Regulatory 

Flexibility Act and the procedures and 

policies published on February 19, 

2003. DOE has concluded that the rule 

would not have a significant impact on 

a substantial number of small entities. 

The factual basis for this certification is 

as follows: 

For manufacturers of residential 

furnaces and boilers, the Small Business 

Administration (SBA) has set a size 

threshold, which defines those entities 

classified as ‘‘small businesses’’ for the 

purposes of the Act. DOE used the 

SBA’s small business size standards to 

determine whether any small entities 

would be subject to the requirements of 

the rule. 13 CFR part 121. These size 

standards and codes are established by 


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7For more information see: http:// 

www.hoovers.com/. 

the North American Industry 

Classification System (NAICS) and are 

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

default/files/files/

Size_Standards_Table(1).pdf. 

Residential boiler manufacturing is 

classified under NAICS 333414, 

‘‘Heating equipment (except warm air 

furnaces) manufacturing,’’ for which the 

size threshold is 500 employees. 

Residential furnace manufacturing is 

classified under NAICS 333415, ‘‘Airconditioning and warm air heating 

equipment and commercial and 

industrial refrigeration equipment 

manufacturing’’ for which the size 

threshold is 750 employees. DOE 

surveyed the AHRI certification 

directories for furnaces and boilers, as 

well as the SBA database and market 

research tools (e.g., Hoovers 7), to 

identify manufacturers of residential 

furnaces and boilers. DOE then 

consulted publically-available data or 

contacted companies, as necessary, to 

determine if they meet the SBA’s 

definition of a ‘‘small business’’ 

manufacturer, and have their 

manufacturing facilities located within 

the United States. Based on this 

analysis, DOE identified 11 small 

businesses that manufacture residential 

furnaces, and 14 small businesses that 

manufacture residential boilers (one of 

which also manufactures residential 

furnaces), for a total of 24 small 

businesses potentially impacted by this 

rulemaking. 

Today’s notice of proposed 

rulemaking would amend DOE’s test 

procedure by incorporating additional 

equations to account for the use of 

section 9.10 of ASHRAE 103–1993 (the 

relevant industry standard incorporated 

by reference) for two-stage and 

modulating condensing furnaces and 

boilers. As explained earlier in this 

notice, section 9.10 permits a 

manufacturer of condensing furnaces 

and boilers the option of omitting the 

specified heat-up and cool-down tests if 

the model has no measurable airflow 

through the combustion chamber and 

heat exchanger during the burner off 

period and has post-purge period(s) of 

less than 5 seconds. However, under the 

current DOE test procedure, the 

equations needed to use section 9.10 do 

not exist for two-stage and modulating 

condensing models, and, thus, DOE 

assumes that manufacturers are 

currently conducting the heat-up and 

cool-down tests in order to properly rate 

the performance of their two-stage and 

modulating condensing furnaces and 

boilers. Therefore, DOE believes the 

equations proposed for adoption today 

would lessen manufacturer burden in 

comparison to application of the current 

test procedure. To the extent that any 

manufacturers have applied the option 

in section 9.10, even in absence of the 

equations needed to use that section, to 

rate the AFUE of their two-stage and 

modulating condensing furnace and 

boiler models, those manufacturers 

would be required to re-rate their 

models using either today’s proposed 

equations, if adopted in a final rule, or 

by conducting the heat-up and cooldown tests. The estimated costs of rerating using the proposed equations is 

discussed below, along with the 

estimated costs of conducting the heatup and cool-down tests. 

DOE believes that manufacturers are 

likely to choose one of two approaches 

to use the proposed equations to 

recalculate the efficiency of two-stage 

and modulating condensing models for 

which section 9.10 has been employed: 

(1) Manufacturers may recalculate the 

efficiency for each model individually 

by doing the calculations manually; or 

(2) manufacturers may update the AFUE 

calculation computer program to 

account for the new equations. 

DOE estimates that recalculating the 

AFUE manually using the new equation 

would take between 30 minutes and 1 

hour per basic model. At an hourly rate 

of $60 for a test lab technician, DOE 

believes that each model that is re-rated 

in this manner would cost 

approximately $30 to $60. 

Alternatively, an individual 

manufacturer may decide to reprogram 

its software for calculating AFUE to 

account for the new equation. DOE 

estimates that a programmer would 

need between 16 and 40 hours to 

rewrite the program code to account for 

this new equation. At an hourly rate of 

$80 for a programmer, the resulting cost 

would be a one-time expenditure of 

$1280 to $3200 to update the automatic 

AFUE calculation program. DOE notes 

that given the role AHRI has 

traditionally played and the potential 

for cost savings for AHRI members 

AHRI may decide to reprogram its 

software, In this case, the effort required 

to recalculate AFUE for individual 

manufacturers, would be much less than 

the cost AHRI would incur to modify 

the program, as described in the 

following paragraph. 

DOE notes that at the time of this 

publication, the AHRI certification 

directories for residential furnaces and 

boilers contain a combined total of over 

1800 active condensing models for 

which recalculation could potentially be 

required, although only a fraction of the 

total condensing models would be twostage and modulating products which 

might need to be re-rated using the new 

equations. Further, DOE notes that 

AHRI required member manufacturers 

of condensing two-stage or condensing 

modulating boilers to either: (1) Re-rate 

their products at 90 percent AFUE; (2) 

discontinue the model; or (3) 

substantiate the model’s efficiency 

rating by providing data from the heat 

up and cool down tests. (AHRI, No. 1 at 

p. 2) DOE examined the number of 

models in the AHRI certified directory 

for boilers that are rated at 90 percent 

AFUE (the majority of which are likely 

to be re-rated models that used option 

9.10) and found that there are 210 

models rated at 90 percent AFUE. If all 

of these models were to be re-rated 

through the use of the updated 

computer program, the per-model cost 

would be $6 to $15. 

In comparison to re-rating product 

efficiency using the proposed equations, 

DOE estimates that conducting the heatup and cool-down tests generally 

requires 2 hours combined for two-stage 

and modulating condensing products. In 

contrast, at $60 per hour for a lab 

technician, the cost to perform the heatup and cool-down tests is 

approximately $120 per model. 

When considering the costs discussed 

above, DOE believes they are small 

relative to the overall cost of 

manufacturing, testing, and certifying 

residential furnace and boiler products. 

DOE seeks comment on its conclusion. 

For the reasons stated above, DOE 

certifies that the proposed rule, if 

promulgated, would not have a 

significant economic impact on a 

substantial number of small entities. 

Therefore, DOE did not prepare an 

initial regulatory flexibility analysis for 

the proposed rule. DOE will transmit its 

certification and a supporting statement 

of factual basis to the Chief Counsel for 

Advocacy of the SBA for review 

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

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of residential furnaces 

and boilers must certify to DOE that 

their products comply with all 

applicable energy conservation 

standards. In certifying compliance, 

manufacturers must test their products 

according to the DOE test procedures for 

residential furnaces and boilers, 

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 consumer 

products and commercial equipment, 

including residential furnaces and 


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boilers. 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 of 1969 

In this proposed rule, DOE proposes 

test procedure amendments that it 

expects will be used to develop and 

implement future energy conservation 

standards for residential furnaces and 

boilers. DOE has determined that this 

rule falls into a class of actions that are 

categorically excluded from review 

under the National Environmental 

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

seq.) and DOE’s implementing 

regulations at 10 CFR part 1021. 

Specifically, this proposed rule would 

amend the existing test procedures 

without affecting the amount, quality, or 

distribution of energy usage, and, 

therefore, would not result in any 

environmental impacts. Thus, this 

rulemaking is covered by Categorical 

Exclusion A5 under 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,’’ 

64 FR 43255 (August 10, 1999) imposes 

certain requirements on Federal 

agencies formulating and implementing 

policies or regulations that preempt 

State law or that have Federalism 

implications. The Executive Order 

requires agencies to examine the 

constitutional and statutory authority 

supporting any action that would limit 

the policymaking discretion of the 

States, and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in the development of 

such regulations. 65 FR 13735. DOE has 

examined this proposed rule and has 

tentatively determined that it would not 

have a substantial direct effect on the 

States, on the relationship between the 

national government and the States, or 

on the distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subject of 

today’s proposed rule. States can 

petition DOE for exemption from such 

preemption to the extent, and based on 

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

6297(d)) No further action is required by 

Executive Order 13132. 

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 tentatively determined that, 

to the extent permitted by law, the 

proposed rule meets the relevant 

standards of Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

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

regulatory actions likely to result in a 

rule that may cause the expenditure by 

State, local, and Tribal governments, in 

the aggregate, or by the private sector of 

$100 million or more in any one year 

(adjusted annually for inflation), section 

202 of UMRA requires a Federal agency 

to publish a written statement that 

estimates the resulting costs, benefits, 

and other effects on the national 

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

UMRA also requires a Federal agency to 

develop an effective process to permit 

timely input by elected officers of State, 

local, and Tribal governments on a 

‘‘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://energy.gov/gc/ 

office-general-counsel.) DOE examined 

today’s proposed rule according to 

UMRA and its statement of policy and 

has tentatively determined that the rule 

contains neither an intergovernmental 

mandate, nor a 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. 


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I. Review Under Executive Order 12630 

Pursuant to Executive Order 12630, 

‘‘Governmental Actions and Interference 

with Constitutionally Protected Property 

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

DOE has determined that this proposed 

rule would not result in any takings that 

might require compensation under the 

Fifth Amendment to the U.S. 

Constitution. 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

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

for 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 proposed rule under 

the OMB and DOE guidelines and has 

concluded that it is consistent with 

applicable policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

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

22, 2001), requires Federal agencies to 

prepare and submit to OIRA 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 regulatory action to amend 

the test procedure for measuring the 

energy efficiency of residential furnaces 

and boilers is not a significant 

regulatory action under Executive Order 

12866 or any successor order. Moreover, 

it would not have a significant adverse 

effect on the supply, distribution, or use 

of energy, nor has it been designated as 

a significant energy action by the 

Administrator of OIRA. Therefore, it is 

not a significant energy action, and, 

accordingly, DOE has not prepared a 

Statement of Energy Effects 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; FEAA) Section 32 

essentially provides in relevant part 

that, where a proposed rule authorizes 

or requires use of commercial standards, 

the notice of proposed rulemaking must 

inform the public of the use and 

background of such standards. In 

addition, section 32(c) requires DOE to 

consult with the Attorney General and 

the Chairman of the Federal Trade 

Commission (FTC) concerning the 

impact of the commercial or industry 

standards on competition. 

Today’s proposed rule incorporates 

testing methods contained in the 

following commercial standard: 

ASHRAE 103–1993 (Method of Testing 

for Annual Fuel Utilization Efficiency of 

Residential Central Furnaces and 

Boilers). Today’s NOPR proposes to 

continue the use of ASHRAE 103–1993 

as the basis for the DOE test procedure, 

albeit with changes to certain equations. 

The Department has evaluated this 

standard and is unable to conclude 

whether it fully complies with the 

requirements of section 32(b) of the 

FEAA, (i.e., that it was developed in a 

manner that fully provides for public 

participation, comment, and review). 

DOE will consult 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 

prior to prescribing a final rule. 

V. Public Participation 

A. Attendance at Public Meeting 

The time, date and location of the 

public meeting are listed in the DATES

and ADDRESSES sections at the beginning 

of this document. If you plan to attend 

the public meeting, please notify Ms. 

Brenda Edwards at (202) 586–2945 or 

Brenda.Edwards@ee.doe.gov. As 

explained in the ADDRESSES section, 

foreign nationals visiting DOE 

Headquarters are subject to advance 

security screening procedures. Any 

foreign national wishing to participate 

in the meeting should advise DOE of 

this fact as soon as possible by 

contacting Ms. Brenda Edwards to 

initiate the necessary procedures. 

In addition, you can attend the public 

meeting via webinar. Webinar 

registration information, participant 

instructions, and information about the 

capabilities available to webinar 

participants will be published on DOE’s 

Web site at: http:// 

www1.eere.energy.gov/buildings/ 

appliance_standards/product.aspx/ 

productid/72. Participants are 

responsible for ensuring their systems 

are compatible with the webinar 

software. 

B. Procedure for Submitting Requests To 

Speak and Prepared General Statements 

for Distribution 

Any person who has an interest in the 

topics addressed in this notice, or who 

is representative of a group or class of 

persons that has an interest in these 

issues, may request an opportunity to 

make an oral presentation at the public 

meeting. Such persons may handdeliver requests to speak to the address 

show in the ADDRESSES section at the 

beginning of this notice between 9:00 

a.m. and 4:00 p.m., Monday through 

Friday, except Federal holidays. 

Requests may also be sent by mail or 

email to Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue SW., 

Washington, DC 20585–0121, or 

Brenda.Edwards@ee.doe.gov. Persons 

who wish to speak should include in 

their request a computer diskette or CD– 

ROM in WordPerfect, Microsoft Word, 

PDF, or text (ASCII) file format that 

briefly describes the nature of their 

interest in this rulemaking and the 

topics they wish to discuss. Such 

persons should also provide a daytime 

telephone number where they can be 

reached. 

DOE requests persons selected to 

make an oral presentation to submit an 

advance copy of their statements at least 

one week before the public meeting. 

DOE may permit persons who cannot 

supply an advance copy of their 

statement to participate, if those persons 

have made advance alternative 

arrangements with the Building 

Technologies Program. As necessary, 

request to give an oral presentation 

should ask for such alternative 

arrangements. 

Any person who has plans to present 

a prepared general statement may 

request that copies of his or her 

statement be made available at the 


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Federal Register / Vol. 78, No. 23 / Monday, February 4, 2013 / Proposed Rules 7693 

public meeting. Such persons may 

submit requests, along with an advance 

electronic copy of their statement in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format, to the appropriate address 

shown in the ADDRESSES section at the 

beginning of this notice. The request 

and advance copy of statements must be 

received at least one week before the 

public meeting and may be emailed, 

hand-delivered, or sent by mail. DOE 

prefers to receive requests and advance 

copies via email. Please include a 

telephone number to enable DOE staff to 

make follow-up contact, if needed. 

C. Conduct of Public Meeting 

DOE will designate a DOE official to 

preside at the public meeting and may 

also use a professional facilitator to aid 

discussion. The meeting will not be a 

judicial or evidentiary-type public 

hearing, but DOE will conduct it in 

accordance with section 336 of EPCA 

(42 U.S.C. 6306). A court reporter will 

be present to record the proceedings and 

prepare a transcript. DOE reserves the 

right to schedule the order of 

presentations and to establish the 

procedures governing the conduct of the 

public meeting. There shall not be 

discussion of proprietary information, 

costs or prices, market share, or other 

commercial matters regulated by U.S. 

anti-trust laws. After the public meeting, 

interested parties may submit further 

comments on the proceedings, as well 

as on any aspect of the rulemaking, until 

the end of the comment period. 

The public meeting will be conducted 

in an informal, conference style. DOE 

will present summaries of comments 

received before the public meeting, 

allow time for prepared general 

statements by participants, and 

encourage all interested parties to share 

their views on issues affecting this 

rulemaking. Each participant will be 

allowed to make a general statement 

(within time limits determined by DOE), 

before the discussion of specific topics. 

DOE will allow, as time permits, other 

participants to comment briefly on any 

general statements. 

At the end of all prepared statements 

on a topic, DOE will permit participants 

to clarify their statements briefly and 

comment on statements made by others. 

Participants should be prepared to 

answer questions by DOE and by other 

participants concerning these issues. 

DOE representatives may also ask 

questions of participants concerning 

other matters relevant to this 

rulemaking. The official conducting the 

public meeting will accept additional 

comments or questions from those 

attending, as time permits. The 

presiding official will announce any 

further procedural rules or modification 

of the above procedures that may be 

needed for the proper conduct of the 

public meeting. 

A transcript of the public meeting will 

be included in the docket, which can be 

viewed as described in the Docket 

section at the beginning of this notice, 

and will be accessible on the DOE Web 

site. In addition, any person may buy a 

copy of the transcript from the 

transcribing reporter. 

D. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule before or after the public meeting, 

but no later than the date provided in 

the DATES section at the beginning of 

this proposed rule. Interested parties 

may submit comments using any of the 

methods described in the ADDRESSES

section at the beginning of this notice. 

Submitting comments via 

regulations.gov. The 

www.regulations.gov web page will 

require you to provide your name and 

contact information. Your contact 

information will be viewable to DOE 

Building Technologies staff only. Your 

contact information will not be publicly 

viewable except for your first and last 

names, organization name (if any), and 

submitter representative name (if any). 

If your comment is not processed 

properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment itself or in any 

documents attached to your comment. 

Any information that you do not want 

to be publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Otherwise, persons viewing comments 

will see only first and last names, 

organization names, correspondence 

containing comments, and any 

documents submitted with the 

comments. 

Do not submit to www.regulations.gov 

information for which disclosure is 

restricted by statute, such as trade 

secrets and commercial or financial 

information (hereinafter referred to as 

Confidential Business Information 

(CBI)). Comments submitted through 

www.regulations.gov cannot be claimed 

as CBI. Comments received through the 

Web site will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through www.regulations.gov before 

posting. Normally, comments will be 

posted within a few days of being 

submitted. However, if large volumes of 

comments are being processed 

simultaneously, your comment may not 

be viewable for up to several weeks. 

Please keep the comment tracking 

number that www.regulations.gov 

provides after you have successfully 

uploaded your comment. 

Submitting comments via email, hand 

delivery/courier, or mail. Comments and 

documents submitted via email, hand 

delivery/courier, or mail also will be 

posted to www.regulations.gov. If you 

do not want your personal contact 

information to be publicly viewable, do 

not include it in your comment or any 

accompanying documents. Instead, 

provide your contact information on a 

cover letter. Include your first and last 

names, email address, telephone 

number, and optional mailing address. 

The cover letter will not be publicly 

viewable as long as it does not include 

any comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. If you 

submit via mail or hand delivery/ 

courier, please provide all items on a 

CD, if feasible, in which case it is not 

necessary to submit printed copies. No 

telefacsimiles (faxes) will be accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are not 

secured, written in English, and are free 

of any defects or viruses. Documents 

should not contain special characters or 

any form of encryption and, if possible, 

they should carry the electronic 

signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 to 

500 form letters per PDF or as one form 

letter with a list of supporters’ names 

compiled into one or more PDFs. This 

reduces comment processing and 

posting time. 

Confidential Business Information. 

Pursuant to 10 CFR 1004.11, any person 

submitting information that he or she 

believes to be confidential and exempt 

by law from public disclosure should 

submit via email, postal mail, or hand 

delivery/courier two well-marked 

copies: one copy of the document 

marked ‘‘confidential’’ including all the 

information believed to be confidential, 

and one copy of the document marked 


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‘‘non-confidential’’ with the information 

believed to be confidential deleted. 

Submit these documents via email or on 

a CD, if feasible. DOE will make its own 

determination about the confidential 

status of the information and treat it 

according to its determination. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include: (1) 

A description of the items; (2) whether 

and why such items are customarily 

treated as confidential within the 

industry; (3) whether the information is 

generally known by or available from 

other sources; (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality; (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure; (6) when 

such information might lose its 

confidential character due to the 

passage of time; and (7) why disclosure 

of the information would be contrary to 

the public interest. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

E. Issues on Which DOE Seeks Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties concerning the following issues: 

1. The proposed equations for 

determining the heating seasonal 

efficiency (which contributes to the 

ultimate calculation of AFUE) of twostage and modulating condensing 

furnaces and boilers that are tested 

under option 9.10 of ASHRAE 103– 

1993. 

2. DOE’s conclusion that the costs of 

complying with the proposed test 

procedure changes are small relative to 

the overall cost of manufacturing, 

testing, and certifying residential 

furnace and boiler products, along with 

any additional information regarding 

average annual revenues for 

manufacturers of these products. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of today’s notice of 

proposed rulemaking. 

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 January 25, 

2013. 

Kathleen B. Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency, Energy Efficiency and Renewable 

Energy. 

For the reasons stated in the 

preamble, DOE is proposing to amend 

part 430 of Chapter II, subchapter D of 

Title 10, Code of Federal Regulations as 

set forth below: 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

■ 1. The authority citation for part 430 

continues to read as follows: 

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

2461 note. 

■ 2. Appendix N to subpart B of part 

430 is amended by: 

■ a. Redesignating sections 10.2 through 

10.9 as sections 10.4 through 10.11; 

■ b. Revising sections 10.0 and 10.1; and 

■ c. Adding sections 10.2 and 10.3. 

The revisions and additions read as 

follows: 

Appendix N to Subpart B of Part 430— 

Uniform Test Method for Measuring the 

Energy Consumption of Furnaces and 

Boilers 

* * * * * 

10.0 Calculation of derived results from 

test measurements. Calculations shall be as 

specified in section 11 of ANSI/ASHRAE 

103–1993 (incorporated by reference, see 

§ 430.3) and the October 24, 1996, Errata 

Sheet for ASHRAE 103–1993, except for 

sections 11.5.11.1, 11.5.11.2, and appendices 

B and C; and as specified in sections 10.1 

through 10.10 and Figure 1 of this appendix. 

10.1 Annual fuel utilization efficiency. 

The annual fuel utilization efficiency (AFUE) 

is as defined in sections 11.2.12 (noncondensing systems), 11.3.12 (condensing 

systems), 11.4.12 (non-condensing 

modulating systems) and 11.5.12 (condensing 

modulating systems) of ANSI/ASHRAE 103– 

1993 (incorporated by reference, see § 430.3), 

except for the definition for the term EffyHS

in the defining equation for AFUE. EffyHS is 

defined as: 

EffyHS = heating seasonal efficiency as 

defined in sections 11.2.11 (non-condensing 

systems), 11.3.11 (condensing systems), 

11.4.11 (non-condensing modulating 

systems) and 11.5.11 (condensing modulating 

systems) of ANSI/ASHRAE 103–1993, except 

that for condensing modulating systems 

sections 11.5.11.1 and 11.5.11.2 are replaced 

by sections 10.2 and 10.3 of this appendix. 

EffyHS is based on the assumptions that all 

weatherized warm air furnaces or boilers are 

located out-of-doors, that warm air furnaces 

which are not weatherized are installed as 

isolated combustion systems, and that boilers 

which are not weatherized are installed 

indoors. 

10.2 Part-Load Efficiency at Reduced Fuel 

Input Rate. Calculate the part-load efficiency 

at the reduced fuel input rate, EffyU,R, for 

condensing furnaces and boilers equipped 

with either step modulating or two-stage 

controls, expressed as a percent and defined 

as 

If the option in section 9.10 of ASHRAE 

103–1993 (incorporated by reference, see 

§ 430.3) is employed: 


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Where: 

LL,A = value as defined in section 11.2.7 of 

ASHRAE 103–1993 

LG = value as defined in section 11.3.11.1 of 

ASHRAE 103–1993 at reduced input 

rate, 

LC = value as defined in section 11.3.11.2 of 

ASHRAE 103–1993 at reduced input 

rate, 

LJ = value as defined in section 11.4.8.1.1 of 

ASHRAE 103–1993 at maximum input 

rate, 

tON = value as defined in section 11.4.9.11 of 

ASHRAE 103–1993, 

QP = pilot flame fuel input rate determined 

in accordance with section 9.2 of 

ASHRAE 103–1993 in Btu/h 

QIN = value as defined in section 11.4.8.1.1 

of ASHRAE 103–1993, 

tOFF = value as defined in section 11.4.9.12 

of ASHRAE 103–1993 at reduced input 

rate, 

LS,ON = value as defined in section 11.4.10.5 

of ASHRAE 103–1993 at reduced input 

rate, 

LS,OFF = value as defined in section 11.4.10.6 

of ASHRAE 103–1993 at reduced input 

rate, 

LI,ON = value as defined in section 11.4.10.7 

of ASHRAE 103–1993 at reduced input 

rate, 

LI,OFF = value as defined in section 11.4.10.8 

of ASHRAE 103–1993 at reduced input 

rate, 

CJ = jacket loss factor and equal to: 

= 0.0 for furnaces or boilers intended to be 

installed indoors 

= 1.7 for furnaces intended to be installed 

as isolated combustion systems 

= 2.4 for boilers (other than finned-tube 

boilers) intended to be installed as 

isolated combustion systems 

= 3.3 for furnaces intended to be installed 

outdoors 

= 4.7 for boilers (other than finned-tube 

boilers) intended to be installed outdoors 

= 1.0 for finned-tube boilers intended to be 

installed outdoors 

= 0.5 for finned-tube boilers intended to be 

installed in ICS applications 

LS,SS = value as defined in section 11.5.6 of 

ASHRAE 103–1993 at reduced input 

rate, 

CS = value as defined in section 11.5.10.1 of 

ASHRAE 103–1993 at reduced input 

rate. 

10. 3 Part-Load Efficiency at Maximum 

Fuel Input Rate. Calculate the part-load 

efficiency at maximum fuel input rate, 

EffyU,H, for condensing furnace and boilers 

equipped with two-stage controls, expressed 

as a percent and defined as: 

If the option in section 9.10 of ASHRAE 

103–1993 (incorporated by reference, see 

§ 430.3) is employed: 

Where: 

LL,A = value as defined in section 11.2.7 of 

ASHRAE 103–1993, 

LG = value as defined in section 11.3.11.1 of 

ASHRAE 103–1993 at maximum input 

rate, 

LC = value as defined in section 11.3.11.2 of 

ASHRAE 103–1993 at maximum input 

rate, 

LJ = value as defined in section 11.4.8.1.1 of 

ASHRAE 103–1993 at maximum input 

rate, 

tON = value as defined in section 11.4.9.11 of 

ASHRAE 103–1993 of ASHRAE 103– 

1993, 

QP = pilot flame fuel input rate determined 

in accordance with section 9.2 of 

ASHRAE 103–1993 in Btu/h, 

QIN = value as defined in section 11.4.8.1.1 

of ASHRAE 103–1993, 

tOFF = value as defined in section 11.4.9.12 

of ASHRAE 103–1993 at maximum input 

rate, 

LS,ON = value as defined in section 11.4.10.5 

of ASHRAE 103–1993 at maximum input 

rate, 

LS,OFF = value as defined in section 11.4.10.6 

of ASHRAE 103–1993 at maximum input 

rate, 

LI,ON = value as defined in section 11.4.10.7 

of ASHRAE 103–1993 at maximum input 

rate, 

LI,OFF = value as defined in section 11.4.10.8 

of ASHRAE 103–1993 at maximum input 

rate, 

CJ = value as defined in section 10.2 of this 

appendix, 

LS,SS = value as defined in section 11.5.6 of 

ASHRAE 103–1993 at maximum input 

rate, 

CS = value as defined in section 11.5.10.1 of 

ASHRAE 103–1993 at maximum input 

rate. 

* * * * * 

[FR Doc. 2013–02168 Filed 2–1–13; 8:45 am] 

BILLING CODE 6450–01–P 

SOCIAL SECURITY ADMINISTRATION 

20 CFR Part 404 

[Docket No. SSA–2009–0038] 

RIN 0960–AH03 

Revised Medical Criteria for Evaluating 

Genitourinary Disorders 

AGENCY: Social Security Administration. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: We propose to revise the 

criteria in the Listing of Impairments 

(listings) that we use to evaluate claims 

involving genitourinary disorders in 

adults and children under titles II and 

XVI of the Social Security Act (Act). The 

proposed revisions reflect our program 

experience, advances in methods of 

evaluating genitourinary disorders, and 

comments we received in response to an 

advance notice of proposed rulemaking 

(ANPRM). 

DATES: To ensure that your comments 

are considered, we must receive them 

by no later than April 5, 2013. 

ADDRESSES: You may submit comments 

by any one of three methods—Internet, 

fax, or mail. Do not submit the same 

comments multiple times or by more 

than one method. Regardless of which 

method you choose, please state that 

your comments refer to Docket No. 

SSA–2009–0038 so that we may 

associate your comments with the 

correct regulation. 

Caution: You should be careful to 

include in your comments only 

information that you wish to make 

publicly available. We strongly urge you 

not to include in your comments any 

personal information, such as Social 

Security numbers or medical 

information. 


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