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

2340 

Vol. 78, No. 8 

Friday, January 11, 2013 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket Number EERE–2011–BT–TP–0042] 

RIN 1904–AC53 

Energy Conservation Program: Test 

Procedures for Residential Water 

Heaters and Commercial Water 

Heaters 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Request for Information. 

SUMMARY: Through this Request for 

Information (RFI), the U.S. Department 

of Energy (DOE) is initiating the 

rulemaking and data collection process 

to develop a uniform efficiency 

descriptor and accompanying test 

method for residential water heaters and 

commercial water heaters. This test 

procedure rulemaking is intended to 

fulfill DOE’s statutory obligation to 

develop a uniform efficiency descriptor 

for residential and commercial water 

heaters pursuant to the amendments to 

the Energy Policy and Conservation Act 

(EPCA) brought about by the American 

Energy Manufacturing Technical 

Corrections Act (AEMTCA; H.R. 6582), 

which was signed into law on December 

18, 2012 (Pub. L. 112–210). To inform 

interested parties and to facilitate this 

process, DOE has identified several 

issues in this RFI on which DOE is 

particularly interested in receiving 

comment from interested parties. In 

overview, the issues outlined in this 

document are mainly associated with: 

Currently available efficiency metrics 

and test procedures for rating the 

efficiency of residential and commercial 

water heaters; the requirements for a 

uniform metric set forth in the 

AEMTCA; and available options for 

DOE to address those statutory 

requirements. DOE welcomes written 

comments from the public on any 

subject within the scope of this 

rulemaking (including relevant topics 

not specifically raised in this RFI). 

DATES: Written comments and 

information are requested on or before 

February 11, 2013. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

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

instructions for submitting comments. 

Alternatively, interested persons may 

submit comments, identified by docket 

number EERE–2011–BT–TP–0042 and/ 

or regulatory identification number 

(RIN) 1904–AC53, by any of the 

following methods: 

• Email: HeatingProducts-2011-TP0042@ee.doe.gov. Include EERE–2011– 

BT–TP–0042 and/or RIN 1904–AC53 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. 

Telephone: (202) 586–2945. 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, 6th 

Floor, 950 L’Enfant Plaza SW., 

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 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 III of 

this document (Public Participation). 

Docket: For access to the docket to 

read background documents or 

comments received, go to the Federal 

eRulemaking Portal at http:// 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Requests for additional information may 

be sent to Mr. Mohammed Khan, U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Program, 

Mailstop 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 20585–0121. 

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. Introduction 

A. Authority and Background 

1. Residential Water Heaters 

2. Commercial Water Heaters 

B. The American Energy Manufacturing 

Technical Corrections Act (AEMTCA) 

II. Discussion 

A. Implications of the AEMTCA 

B. Potential Approaches To Address the 

Requirements of the AEMTCA 

1. Revised Energy Factor Metric 

2. Existing Thermal Efficiency and Standby 

Loss Metrics 

3. Revised Thermal Efficiency and Standby 

Loss Metrics 

4. Hybrid Efficiency Metric 

5. New Approach 

C. Conversion Factor 

D. Exclusions 

E. Other Concerns 

1. Representative Test Procedures 

2. Measures of Delivery Capacity 

3. Implications for Current Energy 

Conservation Standards 

III. Public Participation 

I. Introduction 

The American Energy Manufacturing 

Technical Corrections Act (AEMTCA), 

Public Law 112–210, amended the 

Energy Policy and Conservation Act of 

1975 (EPCA or the Act), Public Law 94– 

163, to require that the U.S. Department 

of Energy (DOE or the Department) 

publish a final rule establishing a 

uniform efficiency descriptor and 

accompanying test methods for covered 

residential water heaters and 

commercial water heating equipment 

within one year of the enactment of the 


erowe on DSK2VPTVN1PROD with 
Federal Register / Vol. 78, No. 8 / Friday, January 11, 2013 / Proposed Rules 2341 

1The AEMTCA was signed into law on December 

18, 2012, so accordingly, DOE must complete the 

required rulemaking by December 18, 2013. 

2 In a final rule published in the Federal Register 

on April 16, 2010, DOE determined that heat pump 

type water heaters with an integrated storage tank 

are a type of electric storage water heater, but that 

heat pump type water heaters without an integrated 

storage tank do not meet the definition of a ‘‘water 

heater’’ and are, therefore, not covered equipment 

under EPCA. 75 FR 20112, 20126 and 20135. 

3This part was originally titled Part B. It was 

redesignated as Part A in the United States Code for 

editorial reasons. 

AEMTCA.1 (42 U.S.C. 6295(e)(5)) 

Historically, DOE has administered its 

energy conservation standards (and 

specified the requisite test procedures) 

for residential water heaters and 

commercial water heaters separately. 

Thus, the historical background and 

statutory authority for these products 

are divided along those lines in the 

discussion that follows (i.e., sections 

I.A.1 and I.A.2). In addition, background 

information on the AEMTCA is 

presented in section I.B. 

A. Authority and Background 

1. Residential Water Heaters 

Residential water heaters are products 

that use oil, gas, or electricity to heat 

potable water for use outside the heater 

upon demand. These include storage 

type units, instantaneous type units, 

and heat pump type units.2 (42 U.S.C. 

6291(27)) 

Title III, Part B3 of EPCA (42 U.S.C. 

6291–6309, as codified) sets forth a 

variety of provisions designed to 

improve energy efficiency and 

establishes the Energy Conservation 

Program for Consumer Products Other 

Than Automobiles, which includes the 

residential water heaters that are, in 

part, the subject of today’s notice. (42 

U.S.C. 6291(1)–(2) and 6292(a)(4)) 

This program authorizes DOE to 

establish technologically feasible, 

economically justified energy efficiency 

regulations for certain products and 

equipment that would be likely to result 

in substantial national energy savings. 

(42 U.S.C. 6295(o)(2)–(3)) Under EPCA, 

this program generally consists 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 both the basis for certifying to 

DOE that their products comply with 

the 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 

requirements to determine whether the 

products comply with any relevant 

standards promulgated under EPCA. (42 

U.S.C. 6295(s)) 

Under 42 U.S.C. 6293 and 6314, EPCA 

sets forth criteria and procedures that 

DOE must follow when prescribing or 

amending test procedures for covered 

products and equipment. 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) and 

6314(a)(2)) 

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) and 6314(b)) Also, 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)) 

Further, the Energy Independence and 

Security Act of 2007 (EISA 2007), Public 

Law 110–140, amended EPCA to require 

that at least once every 7 years, DOE 

must review test procedures for all 

covered products and equipment and 

either amend the test procedures (if the 

Secretary determines that amended test 

procedures would more accurately or 

fully comply with the requirements of 

42 U.S.C. 6293(b)(3) or 6314(a)(2)) or 

publish notice in the Federal Register of 

any determination not to amend a test 

procedure. (42 U.S.C. 6293(b)(1)(A) and 

6314(a)(1)) 

The National Appliance Energy 

Conservation Act of 1987 (NAECA), 

Public Law 100–12, amended EPCA and 

established energy conservation 

standards for residential water heaters, 

as well as requirements for determining 

whether these standards should be 

amended. (42 U.S.C. 6295(e)) 

Specifically, NAECA set minimum 

standards for residential water heaters 

in terms of the energy factor (EF) and 

required that DOE publish a final rule 

to determine whether the standard 

should be amended no later than 

January 1, 1992. (42 U.S.C. 6295(e)(1) 

and (4)(A)) It also required that DOE 

publish another final rule by January 1, 

2000 to determine whether standards in 

effect for such products should again be 

amended. (42 U.S.C. 6295(e)(4)(B)) 

Pursuant to 42 U.S.C. 6295(e)(4)(A), 

DOE published a final rule in the 

Federal Register on January 17, 2001 

(hereafter referred to as the ‘‘January 

2001 final rule’’), amending statutorilyprescribed energy conservation 

standards for residential water heaters. 

66 FR 4474. Compliance with the 

standards in the January 2001 final rule 

was required by January 20, 2004. 

Pursuant to 42 U.S.C. 6295(e)(4)(B), 

DOE published a final rule in the 

Federal Register on April 16, 2010, 

amending the energy conservation 

standards for residential water heaters 

for a second time. 75 FR 20112. 

Compliance with the standards in the 

April 2010 final rule will be required 

beginning on April 16, 2015. The 

current and future energy conservation 

standards for residential water heaters 

are presented in Table I.1 immediately 

below. 

TABLE I.1—ENERGY CONSERVATION STANDARDS FOR RESIDENTIAL WATER HEATERS (10 CFR 430.32(d)) 

Product class Energy factor (EF) as of January 20, 2004 Energy factor (EF) as of April 16, 2015 

Gas-fired Storage ................. EF = 0.67 ¥ (0.0019 × Rated Storage Volume in gallons).For tanks with a Rated Storage Volume at or below 55 

gallons: EF = 0.675 ¥ (0.0015 × Rated Storage Volume in gallons). For tanks with a Rated Storage Volume above 55 gallons: EF = 0.8012 ¥ (0.00078 × 

Rated Storage Volume in gallons). 


erowe on DSK2VPTVN1PROD with 
2342 Federal Register / Vol. 78, No. 8 / Friday, January 11, 2013 / Proposed Rules 

4For editorial reasons, upon codification in the 

U.S. Code, Part C was redesignated Part A–1. 

TABLE I.1—ENERGY CONSERVATION STANDARDS FOR RESIDENTIAL WATER HEATERS (10 CFR 430.32(d))—Continued 

Product class Energy factor (EF) as of January 20, 2004 Energy factor (EF) as of April 16, 2015 

Electric Storage .................... EF = 0.97 ¥ (0.00132 × Rated Storage Volume in gallons).For tanks with a Rated Storage Volume at or below 55 

gallons: EF = 0.960 ¥ (0.0003 × Rated Storage Volume in gallons). For tanks with a Rated Storage Volume above 55 gallons: EF = 2.057 ¥ (0.00113 × 

Rated Storage Volume in gallons). 

Oil-fired Storage ................... EF = 0.59 ¥ (0.0019 × Rated Storage Volume in gallons).EF = 0.68 ¥ (0.0019 × Rated Storage Volume in gallons). 

Gas-fired Instantaneous ....... EF = 0.62 ¥ (0.0019 × Rated Storage Volume in gallons).EF = 0.82 ¥ (0.0019 × Rated Storage Volume in gallons). 

Electric Instantaneous .......... EF = 0.93 ¥ (0.00132 × Rated Storage Volume in gallons). 

Tabletop ............................... EF = 0.93 ¥ (0.00132 × Rated Storage Volume in gallons). 

Note: The Rated Storage Volume equals the water storage capacity of a water heater, in gallons, as specified by the manufacturer. 

DOE’s test procedures for residential 

water heaters are found at 10 CFR 

430.23(e) and 10 CFR part 430, subpart 

B, appendix E, Uniform Test Method for 

Measuring the Energy Consumption of 

Water Heaters. The test procedures 

include provisions for determining the 

energy efficiency (EF), as well as the 

annual energy consumption of these 

products. 

The following provides a brief history 

of DOE’s more recent test procedure 

rulemakings related to residential water 

heaters. The current DOE test 

procedures for residential water heaters 

were established by a final rule 

published in the Federal Register on 

May 11, 1998 (63 FR 25996), and 

subsequently updated through final 

rules published in July 1998 and 

January 2001. (63 FR 38737 (July 20, 

1998); 66 FR 4474 (Jan. 17, 2001)) The 

July 1998 final rule was a technical 

correction that added figures to the test 

procedure, and the January 2001 

amendments added a definition to the 

test procedure, although the bulk of that 

final rule was dedicated to amended 

energy conservation standards for 

residential water heaters. On December 

17, 2012, DOE published a final rule in 

the Federal Register, as required under 

42 U.S.C. 6295(gg)(2), that concluded 

that no modifications were needed to 

the residential water heater test 

procedure to account for standby mode 

and off mode energy consumption, as 

the existing test procedure already 

accounted for those modes of energy 

consumption. 77 FR 74559. DOE 

initiated a rulemaking to consider 

updates to the water heater test 

procedure by publishing an RFI in the 

Federal Register on October 12, 2011 

(hereafter referred to as the October 

2011 RFI). 76 FR 63211. 

2. Commercial Water Heaters 

DOE’s regulations include the 

following types of commercial water 

heating equipment: (1) Gas-fired, 

electric, and oil-fired commercial 

storage water heaters; (2) gas-fired and 

oil-fired instantaneous water heaters; (3) 

hot water supply boilers; and (4) unfired 

hot water storage tanks. 10 CFR 431.2. 

Commercial storage type water heaters 

heat and store water within the 

appliance at a thermostaticallycontrolled temperature for delivery on 

demand; commercial storage type water 

heaters do not include units with an 

input rating of 4,000 Btu per hour or 

more per gallon of stored water. 10 CFR 

431.102. Commercial instantaneous type 

waters heater include water heaters that 

have an input rating of at least 4,000 Btu 

per hour per gallon of stored water, 

including products meeting this 

description that are designed to heat 

water to temperatures of 180 °F or 

higher. Id. An unfired hot water storage 

tank is a tank used to store water that 

is heated externally. Id. DOE’s 

regulations further clarify that all such 

units are industrial equipment. Id. 

DOE’s regulations for commercial 

water heating equipment at 10 CFR 

431.102 also include hot water supply 

boilers, which are a type of packaged 

boiler that is industrial equipment and 

that: 

(1) Has an input rating from 300,000 

Btu/h to 12,500,000 Btu/h and of at least 

4,000 Btu/h per gallon of stored water, 

(2) Is suitable for heating potable 

water, and 

(3) Meets either or both of the 

following conditions: 

(i) It has the temperature and pressure 

controls necessary for heating potable 

water for purposes other than space 

heating, or 

(ii) The manufacturer’s product 

literature, product markings, product 

marketing, or product installation and 

operation instructions indicate that the 

boiler’s intended uses include heating 

potable water for purposes other than 

space heating. 

Title III, Part C4 of EPCA (42 U.S.C. 

6311–6317, as codified), added by 

Public Law 95–619, Title IV, § 441(a), 

established the Energy Conservation 

Program for Certain Industrial 

Equipment, a program which addresses 

the energy efficiency of certain types of 

commercial and industrial equipment, 

including the commercial water-heating 

equipment that is, in part, the subject of 

this rulemaking. Relevant provisions of 

the Act specifically include definitions 

(42 U.S.C. 6311), energy conservation 

standards (42 U.S.C. 6313), test 

procedures (42 U.S.C. 6314), labelling 

provisions (42 U.S.C. 6315), and the 

authority to require information and 

reports from manufacturers (42 U.S.C. 

6316). 

The Energy Policy and Conservation 

Act of 1992 (EPACT 1992), Public Law 

102–486, amended EPCA and 

established energy conservation 

standards for commercial storage water 

heaters, instantaneous water heaters, 

and unfired water storage tanks. (42 

U.S.C. 6313(a)(5)) Specifically, EPACT 

1992 set standards for various types of 

commercial water heating equipment in 

terms of minimum thermal efficiency 

(Et) and maximum standby loss (SL), 

based on the type of fuel used, the type 

of unit (e.g., storage type or 

instantaneous type), and the input 

capacity. The standard levels generally 

corresponded to the levels in the 

American Society of Heating, 

Refrigerating and Air Conditioning 

Engineers (ASHRAE) Standard 90.1, 

Energy Standard for Buildings Except 

Low-Rise Residential Buildings, as in 

effect on October 24, 1992 (i.e., 

ASHRAE Standard 90.1–1989). In 

acknowledgement of technological 

changes that yield energy efficiency 

benefits, Congress further directed DOE 

through EPCA to consider amending the 

existing Federal energy conservation 


erowe on DSK2VPTVN1PROD with 
Federal Register / Vol. 78, No. 8 / Friday, January 11, 2013 / Proposed Rules 2343 

standard for commercial water heating 

equipment, each time ASHRAE 

Standard 90.1 is amended with respect 

to such equipment. (42 U.S.C. 

6313(a)(6)(A)) EPCA also requires that if 

a test procedure referenced in ASHRAE 

Standard 90.1 is updated, DOE must 

update its test procedure to be 

consistent with the amended test 

procedure, unless DOE determines that 

the amended test procedure is not 

reasonably designed to produce test 

results which reflect the energy 

efficiency, energy use, or estimated 

operating costs of the ASHRAE 

equipment during a representative 

average use cycle. In addition, DOE 

must determine that the amended test 

procedure is not unduly burdensome to 

conduct. (42 U.S.C. 6314(a)(2) and (4)) 

Pursuant to the requirements of 

EPCA, DOE last amended the energy 

conservation standards for commercial 

water heating equipment in a final rule 

published in the Federal Register on 

January 12, 2001. 66 FR 3336. The 

amended energy conservation standards 

largely corresponded to the levels 

contained in ASHRAE Standard 90.1– 

1999. In a direct final rule published in 

the Federal Register on October 21, 

2004, DOE prescribed test procedures to 

rate the energy efficiency of commercial 

water heaters and hot water supply 

boilers, specifying definitions for these 

products as well as unfired hot water 

storage tanks. 69 FR 61974. The rule 

also recodified existing energy 

conservation standards to locate them in 

closer proximity in the CFR to the test 

procedures that DOE promulgated. The 

current standards for commercial water 

heating equipment are set forth at 10 

CFR 431.110 and shown in Table I.2 

below. 

TABLE I.2—ENERGY CONSERVATION STANDARDS FOR COMMERCIAL WATER HEATING EQUIPMENT (10 CFR 431.110) 

Product Size 

Energy conservation standard* (products manufactured on and after 

October 29, 2003) ** 

Minimum thermal 

efficiency Maximum standby loss *** 

Electric storage water heaters .................... All .................................... N/A .................................. 0.30 + 27/Vm(%/hr) 

Gas-fired storage water heaters ................. ≤155,000 Btu/hr .............. 80% ................................. Q/800 + 110(Vr) 1/2(Btu/hr) 

>155,000 Btu/hr .............. 80% ................................. Q/800 + 110(Vr) 1/2(Btu/hr) 

Oil-fired storage water heaters .................... ≤155,000 Btu/hr .............. 78% ................................. Q/800 + 110(Vr) 1/2(Btu/hr) 

>155,000 Btu/hr .............. 78% ................................. Q/800 + 110(Vr) 1/2(Btu/hr) 

Gas-fired instantaneous water heaters and 

hot water supply boilers.

<10 gal ............................ 80% ................................. N/A 

≥10 gal ............................ 80% ................................. Q/800 + 110(Vr) 1/2(Btu/hr) 

Oil-fired instantaneous water heaters and 

hot water supply boilers.

<10 gal ............................ 80% ................................. N/A 

≥10 gal ............................ 78% ................................. Q/800 + 110(Vr) 1/2(Btu/hr) 

Product Size Minimum thermal insulation 

Unfired hot water storage tank ................................................................. All .................................... R–12.5 

*Vm is the measured storage volume and Vr is the rated volume, both in gallons. Q is the nameplate input rate in Btu/h. 

** For hot water supply boilers with a capacity of less than 10 gallons: (1) The standards are mandatory for products manufactured on and 

after October 21, 2005, and (2) products manufactured prior to that date, and on or after October 23, 2003, must meet either the standards listed 

in this table or the applicable standards in subpart E of this part for a ‘‘commercial packaged boiler.’’ 

*** Water heaters and hot water supply boilers having more than 140 gallons of storage capacity need not meet the standby loss requirement 

if: (1) The tank surface area is thermally insulated to R–12.5 or more, (2) a standing pilot light is not used and (3) for gas or oil-fired storage 

water heaters, they have a fire damper or fan-assisted combustion. 

DOE’s test procedures for commercial 

water heaters (other than commercial 

heat pump water heaters) are found at 

10 CFR 431.106 and as noted 

previously, were established in an 

October 21, 2004 direct final rule. 69 FR 

61974. The test procedures for 

commercial water heating equipment 

are currently largely based on American 

National Standards Institute (ANSI) 

Z21.10.3–1998, Gas Water Heaters— 

Volume III, Storage Water Heaters with 

Input Ratings Above 75,000 Btu Per 

Hour, Circulating and Instantaneous. 

The test procedures include provisions 

for determining thermal efficiency and 

standby loss. DOE published a final rule 

in the Federal Register on May 16, 2012 

that amended the test procedures for 

commercial water heating equipment to 

reference the most current industry 

standard (i.e., ANSI Z21.10.3–2011). 77 

FR 28928. Compliance with the 

amended test procedures is required 

beginning on May 13, 2013. 

B. The American Energy Manufacturing 

Technical Corrections Act (AEMTCA) 

The AEMTCA amended EPCA to 

require that DOE publish a final rule 

establishing a uniform efficiency 

descriptor and accompanying test 

methods for covered water heaters (both 

residential and commercial) not later 

than one year after the enactment of the 

AEMTCA. (42 U.S.C. 6295(e)(5)(B)) The 

final rule must replace the current EF, 

Et, and SL metrics with a uniform 

efficiency descriptor. (42 U.S.C. 

6295(e)(5)(C)) Further, the AEMTCA 

requires that beginning one year after 

the date of publication of DOE’s final 

rule establishing the uniform descriptor, 

the efficiency standards for covered 

water heaters must be denominated 

according to the uniform efficiency 

descriptor established in the final rule 

(42 U.S.C. 6295(e)(5)(D)), and that DOE 

must develop a mathematical 

conversion factor for converting the 

measurement of efficiency for covered 

water heaters from the test procedures 

and metrics currently in effect (i.e., EF 

for residential water heaters and Et and 

SL for commercial water heaters) to the 

new uniform energy descriptor. (42 

U.S.C. 6295(e)(5)(E)(ii)) Such conversion 

factor would apply to affected water 

heaters that are tested prior to the 

establishment of the final rule. The 

AEMTCA requires that the conversion 

factor not affect the minimum efficiency 

requirements for covered water heaters. 

(42 U.S.C. 6295(e)(5)(E)(iii)) Covered 

water heaters shall be considered to 

comply with the final rule on and after 

the effective date of the final rule and 

with any revised labeling requirements 

established by the Federal Trade 

Commission to carry out the final rule 

if the covered water heater was 


erowe on DSK2VPTVN1PROD with 
2344 Federal Register / Vol. 78, No. 8 / Friday, January 11, 2013 / Proposed Rules 

manufactured prior to the effective date 

of the final rule and complied with the 

efficiency standards and labeling 

requirements in effect prior to the final 

rule. (42 U.S.C. 6295(e)(5)(K)) 

The AEMTCA requires that the 

uniform efficiency descriptor and 

accompanying test method apply, to the 

maximum extent practicable, to all 

water heating technologies currently in 

use and to future water heating 

technologies. (42 U.S.C. 6295(e)(5)(H)) 

However, the AEMTCA allows DOE to 

provide an exclusion from the uniform 

efficiency descriptor for any specific 

category of otherwise covered water 

heaters that do not have a residential 

use, that can be clearly described, and 

that are effectively rated using the 

current thermal efficiency and standby 

loss descriptors. (42 U.S.C. 

6295(e)(5)(F)) 

The AEMTCA also outlines DOE’s 

options in terms of establishing a new 

uniform efficiency descriptor for water 

heaters. Specifically, the options 

provided to DOE for a uniform 

descriptor include: (1) A revised version 

of the energy factor descriptor currently 

in use; (2) the thermal efficiency and 

standby loss descriptors currently in 

use; (3) a revised version of the thermal 

efficiency and standby loss descriptors; 

(4) a hybrid of descriptors; or (5) a new 

approach. (42 U.S.C. 6295(e)(5)(G)) Each 

of these options is discussed in further 

detail in section II.B. 

Lastly, the AEMTCA also requires that 

DOE invite interested stakeholders to 

participate in the rulemaking process 

used to establish the final rule (42 

U.S.C. 6295(e)(5)(I)), and that DOE 

contract with the National Institute of 

Standards and Technology (NIST), as 

necessary, to conduct testing and 

simulation of alternative descriptors 

identified for consideration (42 U.S.C. 

6295(e)(5)(J)) 

In response to the statutory provisions 

of the AEMTCA, DOE envisions 

developing an energy efficiency metric 

(or metrics) that covers all residential 

and commercial water heaters. Such 

metric (or metrics) would be determined 

through a test method that is as uniform 

as possible while still producing a rating 

that is representative of performance 

under conditions that approximate 

actual usage. Additionally, DOE will 

strive to develop a uniform test method 

that would minimize incremental test 

burdens on manufacturers to the extent 

possible. 

II. Discussion 

A. Implications of the AEMTCA 

DOE tentatively interprets the 

relevant provisions of the AEMTCA to 

mean that a single efficiency metric and 

test method should apply to all water 

heaters currently covered under 

residential and commercial test methods 

unless circumstances justify use of the 

exclusion provided under 42 U.S.C. 

6295(e)(5)(F). This interpretation means 

that water heaters from the smallest 

capacity and size rating used in 

residential applications all the way up 

to the largest capacity covered under 

DOE’s commercial water heater program 

should be subject to the same rating 

metric and testing procedures. These 

test methods and the resulting uniform 

rating metric should cover all fuel types 

and technologies, including storage 

water heaters, instantaneous water 

heaters, integral heat pump water 

heaters, non-integral heat pump water 

heaters, unfired hot water storage tanks, 

and hot water supply boilers. In 

addition, DOE believes it may be 

appropriate for the uniform descriptor 

and test methods to also address hot 

water supply boilers, which are 

included with other types of 

commercial water heating equipment in 

DOE’s regulations at 10 CFR 431.110, 

although they are not explicitly called 

out among the covered products in 42 

U.S.C. 6295(e)(5)(A). DOE is interested 

in receiving comment on whether the 

uniform efficiency descriptor should 

apply to all types of residential and 

commercial water heaters covered by 

EPCA, hot water supply boilers, and 

unfired hot water storage tanks. Lastly, 

DOE acknowledges that the AEMTCA 

provides for the possibility of an 

exclusion for certain water heaters from 

the uniform efficiency metric and 

accompanying test method (42 U.S.C. 

6295(e)(5)(F) and further discusses this 

exclusion below in section II.D. 

B. Potential Approaches To Address the 

Requirements of the AEMTCA 

As noted previously, the AEMTCA 

provides five options by which DOE can 

meet the relevant requirements related 

to water heaters. (42 U.S.C. 

6295(e)(5)(G)) Each of these options is 

discussed for comment in the sections 

that immediately follow. 

1. Revised Energy Factor Metric 

Energy factor is currently the 

regulating metric for residential water 

heaters. Energy factor is a measure of 

the overall efficiency of the water heater 

and accounts for efficiency during 

active, standby, and cyclical operation. 

DOE’s test method for determining 

energy factor currently includes a 24- 

hour simulated use test consisting of six 

hot water draws followed by a standby 

period. 10 CFR part 430, subpart B, 

appendix E. 

DOE has tentatively decided that the 

revised energy factor approach would 

follow the general technique for 

determining energy factor that is 

currently in place for residential water 

heaters. The current approach provides 

the efficiency of the water heater over a 

defined period of time (currently 24 

hours) subject to a specified usage 

profile and ambient conditions. Based 

on comments received in response to 

the October 2011 RFI (76 FR 63211), 

DOE believes that a 24-hour simulateduse test is the most viable method for 

obtaining the energy factor for 

residential water heaters. 

Advantages of such an approach are 

that it results in a single descriptor that 

is clear and concise for evaluating the 

efficiency of a water heater and that it 

is applicable across all fuel types, sizes, 

and technologies. All water heaters 

would be subject to a simulated-use test 

that is similar to the test currently 

required for residential water heaters. 

The simulated-use test provides a means 

by which the water heater’s efficiency is 

determined under a pattern of 

representative usage. A properly 

designed simulated-use test can also be 

technologically agnostic, meaning that 

the test applies to water heaters utilizing 

any water heating technology and that it 

would properly represent the efficiency 

of one technology versus another for a 

particular application. 

A disadvantage of the current 

simulated-use test is that it requires 

assumptions of in-field usage, and a 

single use pattern as currently applied 

in the residential test procedure would 

not be appropriate for the wide range of 

water heaters covered under this 

legislation. The October 2011 RFI 

requested comments on the 

appropriateness of the draw pattern. 76 

FR 63211, 63214 (Oct. 12, 2011). Among 

the comments, some mentioned the 

need to implement multiple draw 

patterns appropriate for different size 

classes. This technique may provide 

more appropriate demands for a range of 

water heaters, and allow for an accurate 

representation of efficiency of a wide 

range of different water heaters, 

including those that are currently rated 

as commercial units. However, one 

potential disadvantage of using 

multiple, differing draw patterns would 

be the increased complexity of a 

simulated-use test and the added test 

time. 

In addition to comments on the 

appropriateness of a simulated-use test 

approach, DOE also seeks comment on 

draw patterns that could be used in 

extending such an approach to water 

heaters intended for the commercial 

market. 


erowe on DSK2VPTVN1PROD with 
Federal Register / Vol. 78, No. 8 / Friday, January 11, 2013 / Proposed Rules 2345 

2. Existing Thermal Efficiency and 

Standby Loss Metrics 

Thermal efficiency and standby loss 

are currently the regulating metrics for 

commercial water heating equipment, 

with the exception of unfired storage 

tanks which are regulated by minimum 

thermal insulation. Thermal efficiency 

accounts for the efficiency of a water 

heater during active operation, while 

standby loss accounts for efficiency 

during standby periods. DOE’s test 

methods for determining thermal 

efficiency and standby loss reference the 

industry standard, ANSI Z21.10.3, and 

are specified at 10 CFR 431.106. 

DOE has tentatively decided that this 

option would use the thermal efficiency 

and standby loss metrics and test 

methods that are currently in place for 

the commercial water heating 

equipment for all covered water heaters, 

including residential units that are 

currently rated using energy factor. 

The key advantage of this approach is 

that the tests would be simpler to 

implement. No changes would be 

needed to the commercial water heaters 

test method, because that same test 

procedure, as it exists today, could be 

applied to both residential and 

commercial models. While this may be 

true from a technical perspective, there 

may be disadvantages in terms of 

characterizing representative use, as 

explained below. 

A disadvantage of this approach is 

that it does not account for energy 

efficiency performance during cyclical 

portions of water heater operation. 

Comments to the October 2011 RFI (76 

FR 63211) indicated that field data show 

lower efficiency in the actual use 

compared to the rating obtained using 

the current DOE simulated use test 

because of cycling of the units between 

warm and cold states under usage 

typically seen in residences. The 

thermal efficiency is a measure of 

efficiency during the water delivery 

stage, and the standby loss factor is a 

measure of efficiency during the 

standby mode stage. Neither of these 

metrics would capture the losses 

associated with cyclical warm-up and 

cool-down of water heaters. It is also 

questionable whether thermal efficiency 

is an appropriate metric for smaller 

storage water heaters, because they are 

not designed to provide a large supply 

of hot water continuously. It should also 

be noted that the test procedure for 

residential water heaters utilized the 

thermal efficiency and standby loss tests 

up until 1990, when a simulated use test 

was adopted to make the test uniform 

across technologies, particularly for heat 

pump water heaters and gas 

instantaneous water heaters. 

3. Revised Thermal Efficiency and 

Standby Loss Metrics 

DOE has tentatively decided that this 

approach would be a modified version 

of the current commercial water heater 

test procedure that results in the same 

descriptors, albeit with potentially 

modified meanings, as those currently 

used to rate commercial water heaters. 

One option would be to use a metric 

similar to the recovery efficiency and 

standby heat loss coefficient as 

computed in the current residential 

water heater test procedure. 

The advantage of such an approach is 

that simpler laboratory tests that are 

more repeatable could theoretically be 

used to rate efficiency. Revisions to the 

original metrics and test methods, such 

as changes to account for cycling effects, 

changes to the water delivery 

temperature, and ambient conditions, 

could make them more suitable for 

residential water heaters compared to 

the existing metrics. 

Disadvantages with this approach are 

the same as those discussed above in 

section II.B.2 for the existing thermal 

efficiency and standby loss metrics. 

Most notably, it is not clear that these 

metrics would capture efficiency effects 

of cycling water heaters on and off. 

Additionally, DOE is not aware of any 

proposed approaches other than those 

discussed related to the residential 

water heater test method incorporating 

revised thermal efficiency and standby 

loss descriptors, nor is it aware of what 

specifically can be done to revise or 

improve thermal efficiency and standby 

loss to accomplish the intent of the 

AEMTCA. 

4. Hybrid Efficiency Metric 

DOE has tentatively decided that this 

approach would involve a combination 

of the current energy factor, thermal 

efficiency, and standby loss metrics into 

a new single uniform descriptor. DOE 

anticipates that such a metric would 

utilize some combination of the existing 

test procedures and aspects of the 

existing metrics to obtain information 

for the new hybrid metric. 

The advantage of such an approach is 

that parts or all of existing test methods 

could be utilized, thereby decreasing the 

effort for manufacturers and testing 

agencies in developing test programs 

even if certain portions of those test 

methods had not been previously 

applied to all models of water heaters. 

The disadvantage of such an approach 

could be that it would require more tests 

on each water heater if each water 

heater should need to undergo a test to 

determine multiple individual metrics 

that ultimately result in a single, hybrid 

metric, resulting in a higher burden on 

manufacturers. The testing method to 

obtain a uniform ‘‘hybrid’’ metric may 

lead to biases between different water 

heating technologies if the performance 

model fails to capture critical aspects of 

a particular technology’s operation. This 

model may also require adjustment as 

new technologies emerge. Furthermore, 

DOE is not aware of any proposed 

approaches towards developing a hybrid 

metric, nor what specifically could be 

done by a hybrid metric to accomplish 

the intent of the AEMTCA. 

5. New Approach 

DOE seeks comment on any other 

approach or descriptor that it should 

consider that has not previously been 

discussed. 

C. Conversion Factor 

The AEMTCA requires that DOE 

develop a temporary mathematical 

conversion factor for converting the 

measurement of efficiency for covered 

water heaters from the existing test 

procedures to the new energy descriptor 

established under the final rule. (42 

U.S.C. 6295(e)(5)(E)) The allowance to 

use the conversion factor will expire 1 

year after publication of such 

conversion factor or December 31, 2015, 

whichever is later. (42 U.S.C. 

6295(e)(5)(E)(v)) The form and 

magnitude of this mathematical 

conversion factor would depend on 

which option is chosen, and on the 

extent of accompanying test procedure 

modifications. Thus, particularly for 

comments related to new or adjusted 

metrics, DOE seeks comment on ways to 

convert from the existing metrics for the 

different types of residential and 

commercial water heaters to the uniform 

metric, as discussed above. 

D. Exclusions 

The AEMTCA indicates that the final 

rule may exclude a specific category of 

covered water heaters from the uniform 

efficiency descriptor, if such category of 

water heaters: (1) Does not have a 

residential use and can be clearly 

described in the final rule; and (2) can 

be effectively rated using the existing 

thermal efficiency and standby loss 

descriptors. (42 U.S.C. 6295(e)(5)(F)) 

Tentatively, DOE does not view the 

exclusion as applying to all models that 

are solely offered for non-residential 

applications, and the Department notes 

that the statute states that DOE’s final 

rule may exclude certain types of water 

heaters. Moreover, under 42 U.S.C. 

6295(e)(5)(H), the AEMTCA states that 

‘‘[t]he efficiency descriptor and 


erowe on DSK2VPTVN1PROD with 
2346 Federal Register / Vol. 78, No. 8 / Friday, January 11, 2013 / Proposed Rules 

accompanying test method established 

under the final rule shall apply, to the 

maximum extent practicable, to all 

water heater technologies in use * * * 

and to future water heater 

technologies.’’ If DOE were to review 

the exclusion in a broad manner, it 

would apply to a large subset of models 

that currently are characterized as 

commercial water heaters under DOE’s 

regulatory scheme. In addition, it is 

unclear how the Department could 

create an equitable distinction for 

application of the exclusion based on a 

manufacturer’s claim of intended use of 

its product. DOE also notes that no other 

statutory section specifically indicates 

that the uniform descriptor should only 

apply to water heaters intended for 

residential use, and thus, DOE believes 

the uniform descriptor should apply to 

all covered water heaters, unless a clear 

need exists and the statutory criteria for 

using the exclusion are met. It is DOE’s 

position that an expansive view of the 

above-referenced exclusion authority 

would largely undermine the purposes 

of AEMTCA in terms of achieving a 

uniform efficiency metric and test 

method for all water heaters. 

With the above understanding in 

mind, DOE has tentatively concluded 

that a uniform efficiency descriptor and 

test method would be possible for all 

water heaters covered by the statute, but 

DOE seeks comment on the types of 

water heaters, if any, that should be 

excluded, along with a rationale to 

support such exclusion. (42 U.S.C. 

6295(e)(5)(F)) As an example, DOE notes 

that unfired storage tanks and 

commercial ‘‘add-on’’ heat pump water 

heaters (which are typically shipped 

without tanks and the paired with a 

storage tank or storage water heater) are 

not completely contained water heating 

systems, and are required to be paired 

with other water heating equipment in 

the field to operate as intended. As 

such, these types of equipment have 

specific characteristics that may not be 

conducive to a uniform efficiency 

metric, and certain efficiency metrics 

may not be applicable to these types of 

equipment depending on the testing 

requirements for that metric. DOE 

requests comment on whether these 

types of equipment should be excluded 

from the uniform efficiency descriptor 

requirement. 

If stakeholders were to suggest that 

DOE exclude certain heaters that do not 

have a residential use, comments are 

sought as to how to distinguish those 

water heaters based on characteristics of 

the products. DOE would be interested 

in comments regarding whether the 

storage volume, energy input capacity, 

output capacity as determined through 

testing, or another means would be 

appropriate for indicating which water 

heaters clearly do not have a residential 

use and are effectively rated under 

current procedures. 

At this point, the Department 

tentatively expects the exclusions, if 

any, to be limited in number. DOE seeks 

comments on the characteristics of any 

types of water heaters that should be 

excluded from this uniform efficiency 

descriptor, as well as the rationale for 

doing so. 

E. Other Concerns 

DOE seeks comments on any other 

issues that may relate to the 

development of a uniform efficiency 

descriptor and test methods, and the 

requirements of the AEMTCA. In 

particular, DOE has identified several 

additional issues below for discussion. 

1. Representative Test Procedures 

As noted above, under 42 U.S.C. 6293 

and 6314, EPCA sets forth the criteria 

and procedures DOE must follow when 

prescribing or amending test procedures 

for covered products and equipment. 

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) and 6314(a)(2)) Usage 

patterns between water heaters intended 

for residential applications and those 

intended for commercial applications, 

however, are vastly different, as dictated 

by factors such as water delivery 

temperature, flow rate, total volume of 

water delivered per day, and draw 

pattern. In addition, environmental 

factors that could affect performance 

(e.g., such as ambient air temperature, 

ambient relative humidity, and inlet 

water temperature) may also vary. DOE 

seeks comments on the best approaches 

to managing these wide ranges of 

conditions for testing purposes, while 

still meeting the requirements of EPCA 

to produce energy efficiency results 

during a representative period of use 

and not be unduly burdensome to 

conduct. 

2. Measures of Delivery Capacity 

The current DOE residential water 

heater test procedure requires a test to 

measure the delivery capacity of the 

water heater, resulting in either a firsthour rating for storage water heaters or 

a maximum gallons-per-minute rating 

for instantaneous water heaters. No 

equivalent test for delivery capacity is 

present for commercial water heaters. 

DOE seeks comments on the need for 

this metric for water heaters intended 

for non-residential applications. 

Additionally, DOE seeks comments 

regarding the applicability of the 

metrics and test methods currently 

present in the residential water heater 

test procedure (first-hour rating, 

maximum gallons-per-minute) for 

commercial water heaters. 

3. Implications for Current Energy 

Conservation Standards 

In developing the uniform efficiency 

descriptor, the AEMTCA requires that 

DOE develop a mathematical conversion 

factor (discussed in section II.C) for 

converting the measurement of 

efficiency for covered water heaters 

under the current test procedures to the 

uniform descriptor. The AEMTCA 

stipulates that the conversion factor 

shall not affect the minimum efficiency 

requirements for covered water heaters. 

To address this requirement, DOE 

plans to develop a conversion factor as 

discussed in section II.C and apply it to 

the current energy conservation 

standards to equate the standards under 

the existing metric and test procedures 

to the standards using the new uniform 

efficiency metric and test procedures. 

DOE requests comment on this 

approach to maintaining equivalent 

efficiency standards, and on the 

appropriate approach to develop the 

mathematical conversion. 

III. Public Participation 

DOE invites all interested parties to 

submit in writing by February 11, 2013, 

comments and information on matters 

addressed in this notice and on other 

matters relevant to DOE’s consideration 

of a uniform efficiency descriptor and 

accompanying test methods for 

residential and commercial water 

heaters. 

After the close of the comment period, 

DOE will begin collecting data, 

conducting the relevant analyses, and 

reviewing the public comments. These 

actions will be taken to aid in the 

development of a test procedure NOPR 

for residential and commercial water 

heaters that establishes a uniform 

efficiency descriptor and accompanying 

test method. 

DOE considers public participation to 

be a very important part of the process 

for developing the uniform energy 

descriptor and developing updates to 

the test procedure, if necessary, to 

accommodate the new metric. DOE 

actively encourages the participation 

and interaction of the public during the 

comment period in each stage of the 


erowe on DSK2VPTVN1PROD with 
Federal Register / Vol. 78, No. 8 / Friday, January 11, 2013 / Proposed Rules 2347 

rulemaking process. Interactions with 

and between members of the public 

provide a balanced discussion of the 

issues and assist DOE in the rulemaking 

process. Anyone who wishes to be 

added to the DOE mailing list to receive 

future notices and information about 

this rulemaking should contact Ms. 

Brenda Edwards at (202) 586–2945, or 

via email at 

Brenda.Edwards@ee.doe.gov. 

Issued in Washington, DC, on January 7, 

2013. 

Kathleen B. Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency, Energy Efficiency and Renewable 

Energy. 

[FR Doc. 2013–00483 Filed 1–10–13; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Highway Administration 

23 CFR Part 655 

[FHWA Docket No. FHWA–2012–0118] 

National Standards for Traffic Control 

Devices; the Manual on Uniform Traffic 

Control Devices for Streets and 

Highways; Notification and Request for 

Comment 

AGENCY: Federal Highway 

Administration (FHWA), DOT. 

ACTION: Notification; request for 

comment. 

SUMMARY: The Manual on Uniform 

Traffic Control Devices (MUTCD) is 

incorporated in our regulations, 

approved by the Federal Highway 

Administration, and recognized as the 

national standard for traffic control 

devices used on all streets, highways, 

bikeways, and private roads open to 

public travel. Consistent with Executive 

Order 13563, and in particular its 

emphasis on burden-reduction and on 

retrospective analysis of existing rules, 

this document requests comments on 

potential formats for restructuring the 

MUTCD into two documents, one that 

would be subject to rulemaking and one 

that would contain supplemental 

information that is not subject to 

rulemaking. This document asks for 

responses to a series of questions 

regarding formats, types of material to 

be included in each document, 

implications on agency acceptance of 

the MUTCD, ease of use, and effects on 

future MUTCD updates. 

DATES: Comments must be received on 

or before March 12, 2013. 

ADDRESSES: Mail or hand deliver 

comments to the U.S. Department of 

Transportation, Dockets Management 

Facility, Room W12–140, 1200 New 

Jersey Avenue SE., Washington, DC 

20590, or fax comments to (202) 493– 

2251. Alternatively, comments may be 

submitted to the Federal eRulemaking 

portal at http://www.regulations.gov. All 

comments must include the docket 

number that appears in the heading of 

this document. All comments received 

will be available for examination and 

copying at the above address from 9 

a.m. to 5 p.m., e.t., Monday through 

Friday, except Federal holidays. Those 

desiring notification of receipt of 

comments must include a selfaddressed, stamped postcard or you 

may print the acknowledgment page 

that appears after submitting comments 

electronically. Anyone is able to search 

the electronic form of all comments in 

any one of our dockets by the name of 

the individual submitting the comment 

(or signing the comment, if submitted 

on behalf of an association, business, or 

labor union). Anyone may review DOT’s 

complete Privacy Act Statement in the 

Federal Register published on April 11, 

2000 (Volume 65, Number 70, Pages 

19477–78). 

FOR FURTHER INFORMATION CONTACT: For 

questions about the program discussed 

herein, contact Mr. Chung Eng, MUTCD 

Team Leader, FHWA Office of 

Transportation Operations, (202) 366– 

8043 or via email at chung.eng@dot.gov. 

For legal questions, please contact Mr. 

William Winne, Office of the Chief 

Counsel, (202) 366–1397, or via email at 

william.winne@dot.gov. Office hours are 

from 8:00 a.m. to 4:30 p.m., e.t., Monday 

through Friday, except Federal holidays. 

SUPPLEMENTARY INFORMATION: 

Electronic Access and Filing 

You may submit or retrieve comments 

online through the Federal eRulemaking 

portal at: http://www.regulations.gov. 

The Web site is available 24 hours each 

day, 365 days each year. Please follow 

the instructions. Electronic submission 

and retrieval help and guidelines are 

available under the help section of the 

Web site. An electronic copy of this 

document may also be downloaded 

from the Office of the Federal Register’s 

home page at: http://www.archives.gov 

and the Government Printing Office’s 

Web page at: http:// 

www.access.gpo.gov/nara. 

Purpose of This Notification 

The FHWA is interested in examining 

how to provide a simpler, streamlined 

MUTCD through restructuring the 

content into two separate documents— 

one with material deemed critical to 

traffic control device design, application 

or traffic safety that would be subject to 

rulemaking, and one containing 

supplemental application information 

that would not be subject to rulemaking. 

This action promotes a more responsive 

and efficient government. It is 

consistent with the requirements of 

Executive Order 13563, and in 

particular its requirement for 

retrospective analysis of existing rules, 

with an emphasis on streamlining its 

regulations. This action is also 

consistent with Presidential 

Memorandum, Administrative 

Flexibility, which calls for reducing 

burdens and promoting flexibility for 

State and local governments. 

The purpose of this document is to 

present a discussion of potential formats 

for a restructured MUTCD as well as to 

provide descriptions and examples of 

the types of material that could 

potentially be moved from the MUTCD 

to the Applications Supplement, 

including examples showing two 

restructuring options with text from 

Chapter 2B of the 2009 MUTCD. The 

examples can be viewed at 

www.regulations.gov under the docket 

number listed in the heading of this 

document. The FHWA is seeking 

comments from all interested parties to 

help the FHWA in further examining 

these issues and in evaluating potential 

future alternative courses of action. 

Specifically, the FHWA seeks input on 

the type of material to be included in 

the MUTCD and the Applications 

Supplement, as well as the formats for 

both documents. This document also 

includes a set of specific questions for 

which the FHWA requests input. While 

there are specific questions presented 

on aspects associated with restructuring 

the MUTCD, comments and input may 

be offered on any part of this 

notification. 

Background 

The MUTCD is incorporated by 

reference within Federal regulations at 

23 CFR part 655, approved by the 

FHWA, and recognized as the national 

standard for traffic control devices used 

on all public roads. The FHWA has 

received comments from a variety of 

parties expressing concerns about the 

size and complexity in application of 

the MUTCD as it has evolved over the 

decades. To address those issues, the 

FHWA is exploring the possibility of 

separating the MUTCD into two 

documents. 

Since its inception in 1935, the 

MUTCD has grown from slightly over 

150 pages to more than 850 pages. The 

most significant expansion in the 

number of pages in the MUTCD has 

occurred in the last three editions, the 


erowe on DSK2VPTVN1PROD with