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[Federal Register Volume 76, Number 205 (Monday, October 24, 2011)]
[Proposed Rules]
[Pages 65616-65631]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-25813]

========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

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.

========================================================================


Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / 
Proposed Rules

[[Page 65616]]

DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EERE-2009-BT-TP-0004]
RIN 1904-AB94

Energy Conservation Program for Consumer Products: Test 
Procedures for Residential Central Air Conditioners and Heat Pumps

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

ACTION: Supplemental notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Energy (DOE or the Department) proposed 
amendments to the DOE test procedure for residential central air 
conditioners and heat pumps in a June 2010 notice of proposed 
rulemaking (June 2010 NOPR) and in an April 2011 supplemental notice of 
proposed rulemaking (April 2011 SNOPR). The amendments proposed in this 
subsequent SNOPR would change the off-mode laboratory test steps and 
calculation algorithm to determine off-mode power consumption for 
residential central air conditioners and heat pumps. DOE welcomes 
written comments from the public on any subject within the scope of 
this test procedure rulemaking for addressing the off-mode energy 
consumption of residential central air conditioners and heat pumps.

DATES: DOE will accept comments, data, and other information regarding 
this supplemental notice of proposed rulemaking (SNOPR) no later than 
November 23, 2011. See section 0, ``Public Participation,'' of this 
SNOPR for details.

ADDRESSES: Interested parties may submit comments, identified by docket 
number EERE-2009-BT-TP-0004 or Regulation Identifier Number (RIN) 1904-
AB94, by any of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. E-mail: RCAC-HP-2009-TP-0004@ee.doe.gov. Include the docket 
number EERE-2009-BT-TP-0004 and/or RIN 1904-AB94 in the subject line of 
the message.
    3. Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121. If possible, please submit all 
items on a compact disc (CD), in which case it is not necessary to 
include printed copies. Otherwise, please submit one signed paper 
original.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 
600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD, in which case it is not necessary to 
include printed copies. Otherwise, please submit one signed paper 
original.
    Instructions: No telefacsimilies (faxes) will be accepted. All 
submissions must include the docket number or RIN for this rulemaking. 
For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section 0, ``Public 
Participation,'' of this document.
    Docket: The docket is available for review at http://www.regulations.gov, including Federal Register notices, framework 
documents, public meeting attendee lists and transcripts, comments, and 
other supporting documents/materials. All documents in the docket are 
listed in the http://www.regulations.gov index. However, not all 
documents listed in the index may be publicly available, such as 
information that is exempt from public disclosure.
    A link to the docket web page can be found at: http://www1.eere.energy.gov/buildings/appliance_standards/residential/residential_cac_hp.html. This web page will contain a link to the 
docket for this notice on the Web site http://www.regulations.gov. The 
http://www.regulations.gov Web page will contain simple instructions on 
how to access all documents, including public comments, in the docket. 
See section 0, ``Public Participation,'' for information on how to 
submit comments through regulations.gov.
    For further information on how to submit or review public comments 
or view hard copies of the docket, contact Ms. Brenda Edwards at (202) 
586-2945 or e-mail: Brenda.Edwards@ee.doe.gov.

FOR FURTHER INFORMATION CONTACT: 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. E-mail: 
Ashley.Armstrong@ee.doe.gov. Ms. Jennifer Tiedeman, U.S. Department of 
Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue, 
SW., Washington, DC 20585. Telephone: (202) 287-6111. E-mail: 
Jennifer.Tiedeman@hq.doe.gov.

SUPPLEMENTARY INFORMATION:

I. Authority and Background
    A. Authority
    B. Background
II. Summary of the Proposal
III. Discussion
    A. Testing Burden and Complexity
    B. Individual Component Testing
    C. Length of Shoulder and Heating Seasons
    D. Proposed Test Methods and Calculations for Off-Mode Power and 
Energy Consumption of Residential Central Air Conditioners and Heat 
Pumps
    1. Provisions for Large Tonnage Systems
    2. Special Requirements for Multi-Compressor Systems
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
V. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comment
    1. The Proposed Equation for the Calculation of a System's Off-
Mode Rating

[[Page 65617]]

    2. An Appropriate Scaling Factor To Account for Larger Units 
Requiring a Larger Crankcase Heater Due to Bigger Compressors and 
Larger Refrigerant Volume
    3. The Proposed Equation To Adjust Crankcase Heater Power Draw 
for Systems With Multiple Compressors
    4. The Estimate of the Number of Small Entities That May Be 
Impacted by the Proposed Test Procedure
    5. The Estimate of the Impact of the Proposed Test Procedure 
Amendments on Small Entities and Its Conclusion That This Impact Is 
Not Significant
VI. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

    Title III, Part B of the Energy Policy and Conservation Act of 1975 
(EPCA or the Act), Public Law 94-163 (42 U.S.C. 6291-6309, as 
codified), established the Energy Conservation Program for Consumer 
Products Other Than Automobiles, a program covering most major 
household appliances, including the single phrase residential central 
air conditioners and heat pumps with rated cooling capacities less than 
65,000 British thermal units per hour (Btu/h) that are the focus of 
this notice.\1\ (42 U.S.C. 6291(1)-(2), (21) and 6292(a)(3))
---------------------------------------------------------------------------

    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part B was re-designated Part A.
---------------------------------------------------------------------------

    Under EPCA, the program consists of four activities: (1) Testing; 
(2) labeling; and (3) Federal energy conservation standards, and also 
(4) certification, compliance, and enforcement. The testing 
requirements consist of test procedures that manufacturers of covered 
products must use as the basis for certifying to DOE that their 
products comply with applicable energy conservation standards adopted 
pursuant to EPCA and for representing the efficiency of those products. 
(42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) Similarly, DOE must use these 
test procedures in any enforcement action to determine whether covered 
products comply with these energy conservation standards. (42 U.S.C. 
6295(s)) Under 42 U.S.C. 6293, EPCA sets forth criteria and procedures 
for DOE's adoption and amendment of such test procedures. Specifically, 
EPCA provides that an amended test procedure shall produce results 
which measure the energy efficiency, energy use or estimated annual 
operating cost of a covered product over an average or representative 
period of use, and shall not be unduly burdensome to conduct (42 U.S.C. 
6293(b)(3)) In addition, if DOE determines that a test procedure 
amendment is warranted, it must publish proposed test procedures and 
offer the public an opportunity to present oral and written comments on 
them. (42 U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine the extent to which the proposed test 
procedure would change, if at all, the measured efficiency of a system 
which was tested under the existing test procedure. (42 U.S.C. 
6293(e)(1)) If DOE determines that the amended test procedure would 
alter the measured efficiency of a covered product, DOE must amend the 
applicable energy conservation standard accordingly. (42 U.S.C. 
6293(e)(2)) The amendments proposed in today's SNOPR will not alter the 
measured efficiency, as represented in the regulating metrics of 
seasonal energy efficiency ratio (SEER) and heating seasonal 
performance factor (HSPF) of residential central air conditioners and 
heat pumps. Thus, today's proposed test procedure changes can be 
adopted without amending the existing standards. (42 U.S.C. 6293(e)(2))
    On December 19, 2007, the President signed the Energy Independence 
and Security Act of 2007 (EISA 2007), Public Law 110-140, which 
contains numerous amendments to EPCA. Section 310 of EISA 2007 
established that the Department's test procedures for all covered 
products must account for standby mode and off-mode energy consumption. 
(42 U.S.C. 6295(gg)(2)(A)) Today's SNOPR includes proposals relevant to 
these statutory provisions.
    DOE's existing test procedures for residential central air 
conditioners and heat pumps adopted pursuant to these provisions appear 
under Title 10 of the Code of Federal Regulations (CFR) part 430, 
subpart B, appendix M (``Uniform Test Method for Measuring the Energy 
Consumption of Central Air Conditioners and Heat Pumps''). These 
procedures establish the currently permitted means for determining 
energy efficiency and annual energy consumption of these products.

B. Background

    DOE's initial proposals for estimating off-mode energy consumption 
in the test procedure for residential central air conditioners and heat 
pumps were shared with the public in a notice of proposed rulemaking 
published in the Federal Register on June 2, 2010 (June 2010 NOPR; 75 
FR 31224) and at a public meeting at DOE headquarters in Washington, DC 
on June 11, 2010. Subsequently, DOE published a supplemental notice of 
proposed rulemaking (SNOPR) on April 1, 2011 in response to comments 
received on the June 2010 NOPR, and due to the results of additional 
laboratory testing conducted by DOE. 76 FR 18105, 18127. DOE received 
additional comments in response to the April 2011 SNOPR. In today's 
SNOPR, DOE addresses only those comments not previously addressed in 
the April 2011 SNOPR that concern off-mode testing of central air 
conditioners and heat pumps. DOE will subsequently address the 
remainder of the unrelated comments in response to both the June 2010 
NOPR and April 2011 SNOPR in the test procedure final rule.
    In the June 2010 NOPR, DOE proposed new laboratory tests and 
calculation algorithms for determining the off-mode power and off-mode 
energy consumption of residential central air conditioners and heat 
pumps, which were subsequently modified in the April 2011 SNOPR. 75 FR 
31238-39; 76 FR 18107-09. The off-mode rating reflects those extended 
times of the year during which a residential central air conditioner or 
heat pump sits idle. The energy consumed by these products during these 
extended times is not accounted for by the existing seasonal rating 
metrics of SEER and HSPF.
    One of the extended off-mode intervals was designated the 
``shoulder season'' in the June 2010 NOPR. 75 FR 31239. The shoulder 
season for central air conditioners is defined as the time between the 
cooling and heating seasons when the unit provides no cooling and when 
the unit is idle during the entire heating season. The shoulder season 
for residential heat pumps is defined as the time between the cooling 
and heating seasons when the unit provides neither heating nor cooling.
    The off-mode testing and calculations proposed in the June 2010 
NOPR would be used to determine the average power consumption of a 
residential central air conditioner or heat pump during the shoulder 
season (represented by the variable P1) and, for residential central 
air conditioners, the unit's average power consumption during the 
heating season (represented by the variable P2). 75 FR at 31238-39. The 
resulting average power values may then be multiplied by the number of 
hours assigned to the shoulder and heating seasons to obtain the 
corresponding off-mode energy values. In the June 2010 NOPR, DOE 
proposed an approach for assigning the number of hours to the shoulder 
and heating seasons, as specified in ASHRAE Standard 137-2009. Id. For 
any given location or for each of the six DOE generalized climate

[[Page 65618]]

regions,\2\ the sum of the hours in the cooling, heating, and shoulder 
seasons equals 8,760 hours. See Figures 2 and 3 of 10 CFR part 430, 
subpart B, appendix M. As proposed in the June 2010 NOPR, annual 
operating cost calculations would represent operation of a residential 
central air conditioner or heat pump over a complete 8,760-hour year, 
not just the cooling season (in the case of a residential central air 
conditioner) or just the cooling and heating seasons (in the case of a 
heat pump). Id. at 31238-39.
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    \2\ Each of the regions, which is labeled with Roman numbers 
from I to VI, is representative of a certain climate zone in the 
United States and contains the typical season length for the area. 
Region IV is considered the average and is used for the calculation 
of ratings.
---------------------------------------------------------------------------

    DOE included off-mode testing and calculations among the issues 
revisited in the April 2011 SNOPR as a result of comments received from 
interested parties in response to the originally proposed off-mode 
tests and calculations, and as a result of information gained from 
testing conducted by DOE after the close of the public comment period 
for the June 2010 NOPR. 76 FR at 18107-09. Most of the proposed 
revisions introduced in the April 2011 SNOPR applied to the laboratory 
testing of units with compressor crankcase heaters. Id. Rather than 
attempting to formulate a single generic test that would apply to all 
units with a crankcase heater, DOE proposed multiple product-specific 
tests. The tests were structured to differentiate between residential 
central air conditioners and heat pumps, between fixed-output and self-
regulating crankcase heaters, between thermostatically controlled and 
continuously on heater designs, and between local and global 
thermostatic control options. Id. at 18109.
    As explained in the April 2011 SNOPR, ``local'' control refers to 
cases in which the heater is regulated based on a measured or inferred 
temperature of the compressor sump. Global control refers to cases in 
which the heater's operation is regulated based on a measured or 
inferred temperature that is not influenced by the crankcase heater. 
Id. The most common example of global control is a heater that is 
powered or unpowered based on the temperature measured by an outdoor 
air thermostat. Id.
    Most of the proposed revisions to the off-mode calculations set 
forth in the April 2011 SNOPR specified which laboratory test to 
conduct based on system characteristics (e.g., presence of crankcase 
heater controls). For example, separate off-mode calculations were 
provided for fixed-output heaters and self-regulating heaters. Id. at 
18117-25. Additionally, calculations were proposed to account for use 
of local control, global control or a combination of local and global 
control. Id. Other calculation changes were proposed to better balance 
test burden and test rigor. Id. at 18107-08. Specifically, a method to 
extrapolate test data in lieu of actual testing was proposed for 
certain crankcase heater controls which would take the longest to 
physically test. Id.
    Finally, in light of the need for an overall off-mode rating for 
residential central air conditioners, DOE introduced an algorithm for 
weighting the shoulder season off-mode rating, P1, with the heating 
season off-mode rating, P2. Id. at 18111. When P1 and P2 are weighted 
based on the national average values for the lengths of the shoulder 
and heating seasons, the overall off-mode rating is specifically 
designated by the variable PW,OFF. Id. The amended off-mode energy 
conservation standards for central air conditioners are defined in 
terms of PW,OFF and are set forth in the recently published direct 
final rule (DFR) for amended energy conservation standards for these 
products. 76 FR 37408, 37411(June 27, 2011).
    Stakeholders raised significant issues and suggested changes to the 
test procedure proposals set forth in the April 2011 SNOPR, as further 
described below. Based on these comments and additional laboratory 
testing conducted by DOE, DOE's position on these topics has evolved. 
Today's SNOPR shares DOE's current position on the test procedure for 
residential central air conditioners and heat pumps, and provides 
interested parties with an additional opportunity to comment on its 
proposed methodology.

II. Summary of the Proposal

    Today's SNOPR revisits the test methods and calculations for off-
mode power and energy consumption, which were originally proposed in 
the June 2010 NOPR and modified in the April 2011 SNOPR. DOE now 
proposes to revise the off-mode testing procedures and calculation 
algorithms set forth in the April 2011 SNOPR to shorten the duration 
and burden of the off-mode testing, while still adequately measuring 
the off-mode power consumption of the tested residential central air 
conditioner or heat pump. Specifically, DOE proposes that the 
applicable test and calculation combination will depend on whether the 
tested unit is equipped with a crankcase heater and whether or not the 
crankcase heater operation is controlled by the unit during the test. 
Furthermore, DOE proposes to alter the calculation for PWOFF that is 
used to determine the overall off-mode rating for residential central 
air conditioners and heat pumps.
    DOE proposes to make the off-mode test procedure additions in 
today's SNOPR effective 180 days after publication of the test 
procedure final rule in the Federal Register. By doing so, DOE would 
not require manufacturers to publish the new rating metrics by this 
time, but rather, would require that manufacturers use the amended test 
procedure as of this date only if they wish to make representations of 
the off-mode energy consumption of their central air conditioners and 
heat pumps. In addition, DOE proposes to require that the compliance 
date for these test procedure amendments correspond to the January 1, 
2015 compliance date for the amended energy conservation standards for 
residential central air conditioners and heat pumps. 76 FR 39245.

III. Discussion

    This section provides discussion of the revisions and additions to 
the test procedure that DOE proposes in this SNOPR, based in part on 
comments DOE received in response to the April 2011 SNOPR. Section 0 
describes DOE's proposed changes to test methods and calculations for 
off-mode power and energy consumption. Additionally, DOE provides the 
specific proposed revisions to 10 CFR 430, subpart B, appendix M, 
``Uniform Test Method for Measuring the Energy Consumption of Central 
Air Conditioners and Heat Pumps'' as part of this SNOPR.

A. Testing Burden and Complexity

    The majority of comments received following publication of the 
April 2011 SNOPR addressed the revised off-mode testing requirements. 
In a joint comment, Northwest Energy Efficiency Alliance (NEEA) and 
Northwest Power Coordinating Council (NPCC) stated that the lack of 
test data precludes an interested party from evaluating whether the 
proposed off-mode test method reasonably captures off-mode energy use. 
(NEEA and NPCC, No. 26 at pp. 2-3) \3\ In another joint comment, the 
Appliance Standards Awareness Project (ASAP), the American Council for 
an

[[Page 65619]]

Energy-Efficient Economy (ACEEE), and the Natural Resources Defense 
Council (NRDC) encouraged DOE to capture crankcase heater energy 
consumption in the test procedure with minimal testing burden while 
providing a means to encourage innovative designs that minimize off-
mode energy consumption. (ASAP, ACEEE, and NRDC, No. 27 at pp. 1-2) The 
California State Investor Owned Utilities (CAIOUs) supported DOE's 
proposal to account for different types of crankcase heaters and 
crankcase heater controls. (CAIOUs, No. 23 at p. 1)
---------------------------------------------------------------------------

    \3\ In the following discussion, comments will be presented 
along with a notation in the form ``NEEA and NPCC, No. 26 at pp. 2-
3,'' which identifies a written comment DOE received and included in 
the docket of this rulemaking. DOE numbers all comments based on 
when the comment was submitted in the rulemaking process. This 
particular notation refers to a comment by (1) By NEEA and NPCC, (2) 
in document number 26 in this docket, and (3) appearing on pages 2-
3.
---------------------------------------------------------------------------

    Both the American Heating and Refrigeration Institute (AHRI) and 
Trane stated that the proposed off-mode test procedure is unnecessarily 
complex. (AHRI, No. 24 at p. 1; Trane, No. 21 at p. 1) AHRI further 
stated that it does not support DOE's proposed off-mode test procedure 
because the procedure is too expensive and will not achieve the desired 
result. (AHRI, No. 24 at p. 1) Trane submitted similar comments, noting 
that the off-mode proposal will significantly increase testing time, 
thus adding to the cumulative regulatory burden. (Trane, No. 21 at p. 
1) In exploring an alternative to the off-mode test method proposed in 
the April 2011 SNOPR, AHRI questioned whether the same or similar 
results could be achieved with minimal testing and/or analysis. (AHRI, 
No. 24 at p. 1) AHRI went on to offer specific alternatives and 
modifications to DOE's proposed off-mode test method, including 
reducing the number of samples tested, using default values to reduce 
some of the test burden, and adding an alternative set of more 
component-based off-mode tests (see Section 0). (AHRI, No. 28 at pp. 2, 
6-7, and 35-38)
    DOE agrees with the joint comment from ASAP, ACEEE and NRDC, and 
notes that one of the key objectives considered by DOE in amending the 
test procedure for residential central air conditioners and heat pumps 
is obtaining a reasonable balance between test burden and off-mode 
ratings that sufficiently differentiate among products. In response to 
the comment by NEEA and NPCC regarding insufficient data, DOE conducted 
additional testing for this SNOPR, which is discussed in detail in 
section 0, and collected additional data from stakeholders. Based on 
consideration of comments by AHRI and Trane, as well as results of 
additional laboratory testing, DOE also concurs that the added 
complexity and burden resulting from proposed changes in the April 2011 
SNOPR would outweigh the benefits of distinguishing among different 
types of off-mode systems to more specifically capture a unit's off-
mode power consumption. Consequently, in today's notice, DOE is 
proposing additional revisions to the off-mode test procedure to reduce 
the burden and complexity of testing, while still achieving the 
intended purpose of accurately measuring off-mode power consumption. 
The methodology of this revised procedure is discussed in section 0.

B. Individual Component Testing

    To reduce the testing burden and complexity, as discussed above, 
AHRI recommended a component-based testing approach and questioned the 
amount of testing that should be required to determine off-mode ratings 
accurately for a product family. (AHRI, No. 28 at pp. 3-50) 
Specifically, AHRI recommended adding text to the Code of Federal 
Regulations that would allow off-mode ratings to be obtained in one of 
two ways: (1) By testing a minimum of two units from each basic model 
group of a given product family; or (2) by bench testing a minimum of 
10 samples of each component that contributes to off-mode energy use 
(e.g., each type of crankcase heater, each type of controller, etc.) 
and then using the data obtained to conduct off-mode calculations. With 
respect to the first option, AHRI pointed out the need to define 
``product family'' and offered the following proposed definition: ``any 
set of basic model groups that have the same (or less) power 
consumption devices, including but not limited to: control board, 
crankcase heater, timer(s), switches, etc.'' (AHRI, No. 28 at p. 4) 
According to AHRI's recommendation, two or more samples would be tested 
using the full system, off-mode tests specified in the April 2011 
SNOPR. DOE believes that the purpose of the AHRI proposal is to 
identify a single off-mode rating for all central air conditioners or 
heat pumps of the same product family.
    The second AHRI recommendation of testing a minimum of 10 samples 
of each relevant component would need to be done separately from the 
complete system testing conducted for determining the SEER and HSPF of 
a particular unit. AHRI notes that this approach reduces the ``overall 
testing burden by allowing non-psychometric room testing but yet 
increase[s] confidence in values by increasing sample size.'' (AHRI, 
No. 28 at p. 4) According to AHRI, its proposed ``short cut,'' or 
component-based testing approach, ``may be used for rating products 
only after the manufacturer verifies a single sample using the 
appropriate section 3.13 procedure [i.e., the off-mode tests specified 
in the April 2011 SNOPR] and [that] the P1 and P2 values measured via 
section 3.13 and calculated per section 3.14 [i.e., the AHRI component-
based method] are within 10% of each other.'' (AHRI, No. 28 at p. 35) 
DOE views this approach as a variation of its alternative rating method 
(ARM) or alternative energy determination method (AEDM) \4\ approach 
used for rating untested split system combinations for SEER and HSPF.
---------------------------------------------------------------------------

    \4\ ARMs are computer simulations used to rate residential 
central air conditioners or heat pumps in lieu of actual testing to 
determine the rating. AEDMs accomplish the same purpose as ARMs, but 
are used for products other than residential central air 
conditioners and heat pumps and do not require DOE approval prior to 
use.
---------------------------------------------------------------------------

    In response to AHRI's proposals, DOE is not considering changes to 
the definition of product family or, by extension, basic model, at this 
time. DOE recently clarified its definition of a basic model in its 
March 2011 certification, compliance, and enforcement final rule. 76 FR 
12422 (March 7, 2011) Nonetheless, DOE agrees with AHRI's contention 
that a manufacturer will need a sample of sufficient size, which is not 
less than two units, to determine the certified rating for the off-mode 
energy consumption of a given product. With respect to AHRI's second 
recommendation of using ARMs to calculate off-mode energy consumption, 
DOE has an open rulemaking to address many issues associated with 
alternate methods of determining the efficiency of central air 
conditioners and heat pumps.\5\ DOE plans to address the applicability 
of ARMs to the off-mode consumption measurement in that rulemaking. 
While DOE agrees that both of AHRI's recommendations provide potential 
mechanisms for obtaining off-mode ratings for a manufacturer's complete 
product line without requiring excessive testing time and does not seek 
to limit the use of ARMs or AEDMs, DOE believes that its own revised 
procedure is not unduly burdensome and that there is benefit to 
conducting off-mode tests in conjunction with the tests for SEER and 
HSPF. Consequently, DOE is proposing an off-mode test procedure, which 
is detailed in section 0, and comprises whole system testing, not 
testing or simulation of individual components.
---------------------------------------------------------------------------

    \5\ See Docket Number EERE-2011-BP-TP-00024 at regulations.gov 
for more information on the AEDM and ARM rulemaking. A request for 
information was published in the Federal Register on April 18, 2011. 
76 FR 21673 (April 18, 2011)

---------------------------------------------------------------------------

[[Page 65620]]

C. Length of Shoulder and Heating Seasons

    DOE received several comments regarding DOE's approach proposed in 
the June 2010 NOPR and repeated in the April 2011 SNOPR for assigning 
the number of hours to the heating, cooling, and shoulder seasons based 
on cooling and heating load hour maps. See Figures 2 and 3 from 10 CFR 
part 430, subpart B, appendix M. NRDC asserted that the cooling load 
hour distribution is out of date and recommended that new estimates be 
determined by simulating a reference home built to the 2009 
International Energy Conservation Code (IECC).\6\ (NRDC, No. 22 at p. 
2) CAIOUs recommended that DOE update the season hours using Typical 
Meteorological Year 3 (TMY3) \7\ data from 1952 to 2005, which more 
accurately reflects current climate conditions. (CAIOUs, No. 23 at p. 
2)
---------------------------------------------------------------------------

    \6\ IECC standards are used to support the design and 
construction of energy efficient buildings. These standards vary by 
assigned climate zone, with the country divided into eight climate 
zones and three climate types (dry, marine, moist). A summary of 
these standards and map of the climate zones is available at http://reca-codes.org/pages/iecc2009.html.
    \7\ TMY3 refers to a data set of hourly values of solar 
radiation and meteorological elements for a 1-year period recorded 
in 1,029 locations. This data set is compiled by the National 
Renewable Energy Laboratory (NREL) and allows for the simulation of 
building systems, such as central air conditioners or heat pumps in 
various locations. See http://rredc.nrel.gov/solar/old_data/nsrdb/1991-2005/tmy3/ for additional information.
---------------------------------------------------------------------------

    The commenters did not further elaborate on how DOE would 
transition from hourly simulation results to a broader definition of 
``seasons;'' did not provide further detail on what specifically would 
constitute a reference home; and did not elaborate on how DOE should 
most appropriately use the results of these simulations. Stakeholders 
also did not provide results from either a previously completed 
analysis of a 2009 IECC residential building or a revised set of season 
hours based on TMY3 data that DOE could consider within the time frame 
of this rulemaking to substantiate stakeholder concerns that the 
current load distribution is out of date. Finally, there is no 
assurance that if such a simulation were to be conducted by DOE that 
the shoulder season hours calculated would meet stakeholder 
expectations. While DOE acknowledges that a review of the load hour 
maps is perhaps a useful exercise, DOE does not intend to conduct this 
analysis during this rulemaking because it believes that its proposed 
season lengths which are based on the DOE climate regions are adequate 
to determine typical performance of a tested system.
    Neither AHRI nor Trane explicitly suggested a method for updating 
the lengths of seasons, but both disagreed with DOE's definition of 
shoulder season and opined that the number of hours assigned to the 
shoulder season was high and needed to be re-evaluated. (AHRI, No. 24 
at pp. 1-2; Trane, No. 21 at p. 1) Further, Trane expressed concern 
that the off-mode hours reflected in the April 2011 SNOPR would be 
over-representative of several southern climates in particular. (Trane, 
No. 21 at p. 1) DOE agrees that the shoulder season will vary with 
climate, but notes that, under EPCA, DOE is not permitted to develop 
regional off-mode standards. (42 U.S.C. 6295(gg)(3)(B)) Consequently, 
DOE must develop a ``typical'' profile for allocating the hours in a 
year to each of the seasons considered.
    However, DOE believes that stakeholder concerns regarding the 
relative length of seasons and consequent over-representation for 
certain areas have merit. Since EPCA does not allow for regional off-
mode standards, DOE is instead proposing a calculation method that is 
independent of the climate region and bin hours and will instead 
equally weight the two different power measurements in calculating the 
off mode metric. This approach is discussed in further detail below.

D. Proposed Test Methods and Calculations for Off-Mode Power and Energy 
Consumption of Residential Central Air Conditioners and Heat Pumps

    Interested parties also provided additional comments on specific 
elements of the off-mode test method proposed in the April 2011 SNOPR. 
Both NRDC and CAIOUs expressed their preference that manufacturers be 
required to report both the central air conditioner's shoulder season 
off-mode rating, P1, and its heating season off-mode rating, P2, rather 
than to report the proposed combined off-mode rating, P 
w,off. (NRDC, No. 22 at p. 3; CAIOUs, No. 23 at p. 1) AHRI 
proposed adding definitions for T00, the temperature at which the 
crankcase heater begins to cycle on, and T100, the temperature at which 
the crankcase heater must operate continuously, within the amended 
Appendix M. (AHRI, No. 28 at p. 10) Trane stated that definitions for 
T00 and T100 should not be expressed in terms of ambient temperature, 
but rather, in terms of crankcase temperature for those units that are 
thermostatically controlled. (Trane, No. 21 at p. 1) Because of 
revisions proposed in today's notice, DOE is no longer planning to use 
T00 or T100, and therefore does not intend to add definitions for these 
terms in appendix M. With respect to NRDC's and CAIOUs' comments 
regarding certification requirements, DOE will consider those issues as 
part of the regional standards enforcement rulemaking, through which it 
will address all of the reporting requirements for central air 
conditioners and heat pumps. Pursuant to EPCA, DOE will begin this 
rulemaking within 90 days of issuing a final rule for residential 
central air conditioners and heat pumps. (42 U.S.C. 
6295(o)(6)(G)(ii)(I))
    Further, both Trane and AHRI questioned the need to consider 
crankcase heater operation during the shoulder season, which would be 
represented by the outdoor temperature bins of 57 [deg]F, 62 [deg]F, 67 
[deg]F, and 72 [deg]F, according to DOE's proposal. (Trane, No. 21 at 
p. 1; AHRI, No. 24 at p. 2) AHRI commented that off-mode power 
consumption at 57 [ordm]F should be the only temperature set-point that 
matters. (AHRI, No. 24 at p. 2) Additionally, Trane and AHRI stated 
that DOE's proposed requirement for the crankcase heater power 
measurement to begin five minutes after the end of the compressor run-
time will not measure crankcase heater power correctly for heaters that 
are thermostatically controlled or that use a time delay relay. (Trane, 
No. 21 at p. 1; AHRI, No. 24 at p. 2)
    In response to comments by stakeholders, DOE conducted additional 
testing on 2 central air conditioners and 3 heat pumps, all of which 
were one compressor systems. This testing was done to according to the 
procedure which is proposed in today's notice and complements the prior 
testing which DOE already conducted. DOE also received off-mode data 
from AHRI for 80 heat pumps and 44 central air conditioners; 74 of 
these 124 systems were two-compressor systems. (AHRI, No. 30 at p.1) A 
summary of AHRI's data, which were produced using the procedure in the 
April 2011 SNOPR, is contained below in Table 0-1:

                      Table 0-1--AHRI Off-Mode Data
------------------------------------------------------------------------
                                                     Average     Range
                                                    PWOFF (W)     (W)
------------------------------------------------------------------------
Heat Pumps........................................         69     32-103
Central Air Conditioners..........................        122     45-136
Two Compressor Central Air Conditioners and Heat        120.1    103-136
 Pumps............................................
------------------------------------------------------------------------

[[Page 65621]]

While DOE appreciates AHRI's effort, DOE is concerned that it cannot 
determine the types of systems which were used to produce these results 
and that these results may not be representative of the entire market. 
No explanation was provided as to why the central air conditioner off-
mode average is significantly higher than the heat pump off-mode 
average. In its submission, AHRI stated that ``systems with 
PWOFF greater than 100 are very efficient (18-20 SEER) and 
have two compressors.'' This statement indicates that the average 
central air conditioner reflected in this data is a high efficiency 
system with two compressors; DOE does not believe that such systems 
represent the average central air conditioner in the marketplace. 
Further, the label on the data submitted by AHRI for the two-compressor 
systems indicates that the data are representative of both central air 
conditioners and heat pumps. However, the lower bound of the range is 
greater than the higher bound of the heat pump range, which suggests 
that the data only comprise central air conditioners. DOE acknowledges 
AHRI's concerns, but believes that its own data are more representative 
of the market and chose to base the analysis on this data.
    Additionally, DOE disagrees with Trane and AHRI that crankcase 
heater operation may not need to be accounted for during the shoulder 
season. While a crankcase heater with controls may not turn on during 
the shoulder season, an uncontrolled crankcase heater would run 
constantly during the shoulder season. Therefore, DOE believes that it 
is important to consider crankcase heater operation during the shoulder 
season.
    Previously, DOE considered testing at four different temperatures 
(57 [deg]F, 62 [deg]F, 67 [deg]F, 72 [deg]F), but believes that testing 
at four temperatures is unnecessary and does not provide sufficient 
benefit to justify the additional test burden. With four test 
temperatures, the intermediate points will be equal to either the 
higher test point or the lower test point, depending on when the 
crankcase heater turns on (because it is always either on or off). 
Based on this conclusion and the results of the additional testing, DOE 
agrees with stakeholder observations regarding test temperatures, and 
proposes to base the off-mode rating,PW,OFF, for units with 
a cooling capacity of 36,000 Btu/h or less, on an average of wattages, 
P1 and P2, which are recorded at two different outdoor ambient 
temperatures: 82 [deg]F for P1 and 57 [deg]F for P2. For systems with 
crankcase heater controls, the higher temperature set point would 
measure the off-mode contribution from components other than the 
crankcase heater, while DOE believes that the lower test point is 
sufficiently low that the crankcase heater would be energized. However, 
for systems without a crankcase heater or with an uncontrolled 
crankcase heater, there would be no difference between measurements 
taken at the two different temperatures. Consequently, DOE proposes to 
only test these systems at 82 [deg]F and use this measured value for 
both P2 and P1.
[GRAPHIC] [TIFF OMITTED] TP24OC11.059

Where,

P1X = the overall system power draw at 82 [deg]F, W,
PX = the power draw at 82 [deg]F of components not 
associated with the residential central air conditioner or heat 
pump, W, and
[GRAPHIC] [TIFF OMITTED] TP24OC11.060

Where,
P2X = the overall system power draw at 57 [deg]F, W.

P1 and P2 are then combined to calculate PW,OFF:
[GRAPHIC] [TIFF OMITTED] TP24OC11.061

    To address concerns from AHRI and Trane with respect to time delay 
switches and the potential for inaccurate results due to a thermostat 
being placed on a warm compressor, DOE proposes to require the 
manufacturer to specify the presence of these components in the 
installation manuals, so that the off-mode tests for these systems may 
be run prior to the tests for SEER and HSPF. Running off-mode tests 
first would ensure that the time delay switch has not been activated 
and also that the thermostat will not be influenced by any heat from 
the compressor because the unit would not have yet been run. For units 
without these components and for units with time delay switches and for 
which there is no indication of their presence in their installation 
manual, the off-mode tests would be done after the steady state `B' 
test.\8\ DOE seeks comment on its equation for calculating a system's 
off-mode rating. (See Issue 1 in section 0, ``Issues on Which DOE Seeks 
Comment'').
---------------------------------------------------------------------------

    \8\ As specified in Appendix M of Subpart B to Part 430 of Title 
10 in the Code of Federal Regulations, the `B' test is a steady 
state test conducted at an outdoor ambient dry bulb inlet 
temperature of 82 [deg]F and an indoor ambient dry bulb inlet 
temperature of 80 [deg]F.
---------------------------------------------------------------------------

1. Provisions for Large Tonnage Systems
    For its off-mode analysis, DOE analyzed units with a cooling 
capacity of three tons (36,000 Btu/h), which is the capacity most 
representative of units in the marketplace. However, DOE is concerned 
that larger capacity units have characteristics which could make it 
more difficult for them to achieve the same standard as those at the 
representative three-ton capacity. Specifically, DOE believes that 
larger units may require a larger crankcase heater to ensure safe 
compressor operation because four- and five-ton units typically have 
larger compressors as well as larger refrigerant volumes. These two 
characteristics could necessitate a crankcase heater with a higher 
power than 40 W crankcase heaters, which DOE observed in units at the 
representative capacity. Based on further research into system 
specification sheets and teardown data from the standards rulemaking 
for these products, DOE believes that larger capacity units require a 
larger crankcase heater and is now proposing a scaling factor for units 
at capacities greater than the representative capacity of 36,000 Btu/h. 
This scaling factor would be directly proportional to the cooling 
capacity and determined by the following equation:
[GRAPHIC] [TIFF OMITTED] TP24OC11.062

Where,

Qc(95) = the total cooling capacity at the A or 
A2 Test condition. This scaling factor would then be 
applied to the two power measurements, P1 and P2, to determine 
PW,OFF as follows:
[GRAPHIC] [TIFF OMITTED] TP24OC11.063

    However, in its analysis DOE also found that units smaller than the 
representative capacity still required the same components and 
crankcase heater as units at the representative capacity. DOE does not 
want to unduly create a market constraint on the manufacture and 
purchase of smaller central air conditioning systems that otherwise 
would be right-sized for smaller or more efficient homes by setting an 
exceedingly stringent off-mode standard. Consequently, DOE is not 
proposing to apply a scaling factor to units which have a cooling 
capacity that is less than that of the representative capacity. DOE 
seeks comment on both the necessity of a scaling factor for large 
tonnage units, and its approach of making this factor directly 
proportional to capacity. (See Issue 2 in section 0,

[[Page 65622]]

``Issues on Which DOE Seeks Comment'').
2. Special Requirements for Multi-Compressor Systems
    DOE is also aware that certain high efficiency residential central 
air conditioners and heat pumps utilize a two compressor design to 
provide varying levels of cooling. With different capacity compressors 
operating at close to full load, the two-compressor unit is able to 
operate more efficiently and achieve a higher efficiency rating than 
would be possible with a single compressor. Because there are two 
compressors in these units, it is likely that the system would have two 
crankcase heaters (one for each compressor), which would result in 
higher off-mode power consumption because of the significant effect 
that crankcase heaters have on a system's off-mode power consumption. 
However, DOE's analysis for the June 2010 NOPR and the April 2011 SNOPR 
did not account for this type of unit, and DOE does not want to prevent 
these high efficiency products from being developed or being made 
available to the consumer. Therefore, in today's notice, DOE is 
proposing a method for normalizing the crankcase heater power 
consumption on a per compressor basis for multi-compressor systems with 
controlled crankcase heaters using the following equation:
[GRAPHIC] [TIFF OMITTED] TP24OC11.064

Where,

    P1x = overall system measured power draw at 82 [deg]F, W;
    P2x = overall system measured power draw at 57 [deg]F, W.

This equation isolates and averages the power draw associated with the 
crankcase heaters because, as mentioned previously, DOE believes that 
units with controlled crankcase heaters would have the crankcase heater 
off at the P1 temperature of 82 [deg]F and on at the P2 temperature of 
57 [deg]F. This belief is based on manufacturer interviews during the 
standards rulemaking, as well as on testing done following the April 
2011 SNOPR.
    For systems with uncontrolled crankcase heaters, DOE recognizes 
that there is a need to isolate the crankcase heater power in order to 
normalize it on a per compressor basis. Multi-compressor systems with 
controls are likely to have crankcase heaters off during the P1 test 
and on during the P2 test, which allows for the first term in the 
equation above to determine the crankcase heater power. However, in 
these cases, the P1 test would yield incorrect results because the 
power consumption of the components not associated with the residential 
central air conditioner or heat pump would have to be divided by the 
number of compressors, while the number of controls does not scale with 
the number of compressors. Therefore, DOE proposes to require a 
slightly different approach to determine the off mode power consumption 
of these systems. In such cases, DOE proposes that, first, the 
crankcase heater should be disconnected and then the overall system 
power draw with the disconnected crankcase heater should be recorded as 
P1D. Next, the average power draw on a per compressor basis 
should be calculated by dividing the difference between the overall 
system power draws (P1X andP1D). Then this 
difference should be combined with the previously recorded 
P1D:
[GRAPHIC] [TIFF OMITTED] TP24OC11.065

Where,

P1D = the measured power draw with the crankcase heater 
disconnected, W.

DOE seeks comment on the use of this equation to calculate an average 
power draw and for determining the off-mode rating for multiple 
compressor units. (See Issue 3 in section 0, ``Issues on Which DOE 
Seeks Comment.'')

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedure rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, Regulatory 
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this 
proposed action was not subject to review under the Executive Order by 
the Office of Information and Regulatory Affairs (OIRA) in the OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule proposed for public comment, unless the agency certifies that 
the rule, if promulgated, will not have a significant economic impact 
on a substantial number of small entities. As required by Executive 
Order 13272, ``Proper Consideration of Small Entities in Agency 
Rulemaking,'' 67 FR 53461 (Aug. 16, 2002), DOE published procedures and 
policies on February 19, 2003, so that the potential impacts of its 
rules on small entities are properly considered during the rulemaking 
process. 68 FR 7990. DOE has made its procedures and policies available 
on the Office of the General Counsel's Web site: http://www.gc.doe.gov.
    DOE reviewed today's proposed rule, which would amend the test 
procedure for residential central air conditioners and heat pumps, 
under the provisions of the Regulatory Flexibility Act and the 
procedures and policies published on February 19, 2003. DOE tentatively 
concludes and certifies that the proposed rule, if adopted, would not 
result in a significant impact on a substantial number of small 
entities. The factual basis for this certification is set forth below.
    For the purpose of the regulatory flexibility analysis for this 
rule, the DOE adopts the Small Business Administration (SBA) definition 
of a small entity within this industry as a manufacturing enterprise 
with 750 employees or fewer. DOE used the small business size standards 
published on January 31, 1996, as amended, by the SBA to determine 
whether any small entities would be required to comply with the rule. 
61 FR 3280, 3286, as amended at 67 FR 3041, 3045 (Jan. 23, 2002) and at 
69 FR 29192, 29203 (May 21, 2004); see also 65 FR 30836, 30850

[[Page 65623]]

(May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000). The 
size standards are codified at 13 CFR part 121. The standards are 
listed by North American Industry Classification System (NAICS) code 
and industry description and are available at http://www.sba.gov/idc/groups/public/documents/sba_homepage/serv_sstd_tablepdf.pdf.
    Residential central air conditioner and heat pump equipment 
manufacturing is classified under NAICS 333415, ``Air-Conditioning and 
Warm Air Heating Equipment and Commercial and Industrial Refrigeration 
Equipment Manufacturing.'' 70 FR 12395 (March 11, 2005). DOE reviewed 
AHRI's listing of residential central air conditioner and heat pump 
product manufacturer members and surveyed the industry to develop a 
list of domestic manufacturers. As a result of this review, DOE 
identified 22 manufacturers of residential central air conditioners and 
heat pumps, of which 15 would be considered small manufacturers with a 
total of approximately 3 percent of the market sales. DOE seeks comment 
on its estimate of the number of small entities that may be impacted by 
the proposed test procedure. (See Issue 4 in section 0, ``Issues on 
Which DOE Seeks Comment'').
    Potential impacts of the proposed test procedure on all 
manufacturers, including small businesses, come from impacts associated 
with the cost of proposed additional testing. DOE estimates the 
incremental cost of the proposed additional tests described in 10 CFR 
part 430, subpart B, appendix M (proposed section 3.13) to be an 
increase of $1,000 to $1,500 per unit tested. This estimate is based on 
private testing services quoted on behalf of DOE in the last two years 
for residential central air conditioners and heat pumps. Typical costs 
for running the cooling tests appear to be approximately $5,000. DOE 
estimated that the additional activities required by the revised test 
procedure would introduce a 20 to 30 percent increase in testing time, 
resulting in the additional cost.
    Because the incremental cost of running the extra tests is the same 
for all manufacturers, DOE believes that all manufacturers would incur 
comparable costs for testing of individual basic models as a result of 
the proposed test procedure. DOE expects that small manufacturers will 
incur less testing expense compared with larger manufacturers as a 
result of the proposed testing requirements because they have fewer 
basic models and thus require proportionally less testing when compared 
with large manufacturers that have many basic models. DOE recognizes, 
however, that smaller manufacturers may have less capital available 
over which to spread the increased costs of testing.
    DOE compared the cost of the testing to the total value added by 
the manufacturers to determine whether the impact of the proposed test 
procedure amendments is significant. The value added represents the net 
economic value that a business creates when it takes manufacturing 
inputs (e.g., materials) and turns them into manufacturing outputs 
(e.g., manufactured goods). Specifically, as defined by the U.S. 
Census, the value added statistic is calculated as the total value of 
shipments (products manufactured plus receipts for services rendered) 
minus the cost of materials, supplies, containers, fuel, purchased 
electricity, and contract work expenses.
    DOE analyzed the impact on the smallest manufacturers of 
residential central air conditioners and heat pumps because these 
manufacturers would likely be the most vulnerable to cost increases. 
DOE calculated the additional testing expense as a percentage of the 
average value added statistic for the five individual firms in the 25 
to 49 employee size category in NAICS 333415 as reported by the U.S. 
Census (U.S. Bureau of the Census, American Factfinder, 2002 Economic 
Census, Manufacturing, Industry Series, Industry Statistics by 
Employment Size, http://factfinder.census.gov/servlet/EconSectorServlet?_lang=en&ds_name=EC0200A1&_SectorId=31&_ts=288639767147). The average annual value for manufacturers in this 
size range from the census data was $1.26 million in 2001$, per the 
2002 Economic Census, or approximately $1.52 million per year in 2009$ 
after adjusting for inflation using the implicit price deflator for 
gross domestic product (U.S. Department of Commerce Bureau of Economic 
Analysis, http://www.bea.gov/national/nipaweb/SelectTable.asp).
    DOE also examined the average value added statistic provided by 
census for all manufacturers with fewer than 500 employees in this 
NAICS classification as the most representative value from the 2002 
Economic Census data of the residential central air conditioner 
manufacturers with fewer than 750 employees that are considered small 
businesses by the SBA (15 manufacturers). The average annual value 
added statistic for all small manufacturers with fewer than 500 
employees was $7.88 million (2009$).
    Given this data, and assuming the high-end estimate of $1,500 for 
the additional testing costs, DOE concluded that the additional costs 
for testing of a single basic model product under the proposed 
requirements would be approximately 0.1 percent of annual value added 
for the 5 smallest firms, and approximately 0.02 percent of the average 
annual value added for all small residential central air conditioner or 
heat pump manufacturers (15 firms). DOE estimates that testing of basic 
models may not have to be updated more than once every 5 years, and 
therefore the average incremental burden of testing one basic model may 
be one fifth of these values when the cost is spread over several 
years.
    DOE requires that only the highest sales volume split system 
combinations be laboratory tested. 10 CFR 430.24(m). The majority of 
residential central air conditioners and heat pumps offered by a 
manufacturer are typically split systems that are not required to be 
laboratory tested but can be certified using an alternative rating 
method that does not require DOE testing of these units. DOE reviewed 
the available data for five of the smallest manufacturers to estimate 
the incremental testing cost burden for those small firms that might 
experience the greatest relative burden from the revised test 
procedure. These manufacturers had an average of 10 models requiring 
testing (AHRI Directory of Certified Product Performance, http://www.ahridirectory.org/ahridirectory/pages/home.aspx), while large 
manufacturers will have well over 100 such models. The additional 
testing cost for final certification for 10 models was estimated at 
$15,000. Meanwhile, these certifications would be expected to last the 
product life, estimated to be at least 5 years based on the time frame 
established in EPCA for DOE review of residential central air 
conditioner efficiency standards. This test burden is therefore 
estimated to be approximately 0.2 percent of the estimated 5-year value 
added for the smallest five manufacturers. DOE believes that these 
costs are not significant given other, much more significant costs that 
the small manufacturers of residential central air conditioners and 
heat pumps incur in the course of doing business. DOE seeks comment on 
its estimate of the impact of the proposed test procedure amendments on 
small entities and its conclusion that this impact is not significant. 
(See Issue 5 in section 0, ``Issues on Which DOE Seeks Comment'').
    Accordingly, as stated above, DOE tentatively concludes and 
certifies that

[[Page 65624]]

this proposed rule would not have a significant economic impact on a 
substantial number of small entities. Accordingly, DOE has not prepared 
an initial regulatory flexibility analysis (IRFA) for this rulemaking. 
DOE will provide its certification and supporting statement of factual 
basis to the Chief Counsel for Advocacy of the SBA for review under 5 
U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of residential central air conditioners and heat 
pumps must certify to DOE that their product complies with any 
applicable energy conservation standard. In certifying compliance, 
manufacturers must test their product according to the DOE test 
procedure for residential central air conditioners and heat pumps, 
including any amendments adopted for that test procedure. DOE has 
proposed regulations for the certification and recordkeeping 
requirements for all covered consumer products and commercial 
equipment, including residential central air conditioners and heat 
pumps. 75 FR 56796 (Sept. 16, 2010). The collection-of-information 
requirement for the certification and recordkeeping is subject to 
review and approval by OMB under the Paperwork Reduction Act of 1995 
(PRA). This requirement has been submitted to OMB for approval. Public 
reporting burden for the certification is estimated to average 20 hours 
per response, including the time for reviewing instructions, searching 
existing data sources, gathering and maintaining the data needed, and 
completing and reviewing the collection of information.

D. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE proposes amendments to test procedures 
that may be used to implement future energy conservation standards for 
residential central air conditioners and heat pumps. DOE has determined 
that this rule falls into a class of actions that are categorically 
excluded from review under the National Environmental Policy Act of 
1969 (NEPA; 42 U.S.C. 4321 et seq.). The rule is covered by Categorical 
Exclusion A5, for rulemakings that interpret or amend an existing rule 
without changing the environmental effect, as set forth in DOE's NEPA 
regulations in appendix A to subpart D, 10 CFR part 1021. This rule 
will not affect the quality or distribution of energy usage and, 
therefore, will not result in any environmental impacts. Accordingly, 
neither an environmental assessment nor an environmental impact 
statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 4, 1999), 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined today's proposed rule and 
has determined that it does not preempt State law and does not have a 
substantial direct effect on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government. EPCA 
governs and prescribes Federal preemption of State regulations as to 
energy conservation for the products that are the subjects of today's 
proposed rule. States can petition DOE for a waiver of such preemption 
to the extent, and based on criteria, set forth in EPCA. (42 U.S.C. 
6297) No further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA; Pub. L. 
104-4, codified at 2 U.S.C. 1501 et seq.) requires each Federal agency 
to assess the effects of Federal regulatory actions on State, local, 
and Tribal governments and the private sector. For proposed regulatory 
actions likely to result in a rule that may cause expenditures by 
State, local, and Tribal governments in the aggregate or by the private 
sector of $100 million or more in any one year (adjusted annually for 
inflation), section 202 of UMRA requires a Federal agency to publish 
estimates of the resulting costs, benefits, and other effects on the 
national economy. (2 U.S.C. 1532(a), (b)) UMRA also requires a Federal 
agency to develop an effective process to permit timely input by 
elected officers of State, local, and Tribal governments on a proposed 
``significant intergovernmental mandate'' and requires an agency plan 
for giving notice and opportunity for timely input to potentially 
affected small governments before establishing any requirements that 
might significantly or uniquely affect small governments. On March 18, 
1997, DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820. (This policy is 
also available at http://www.gc.doe.gov.) Today's proposed rule 
contains neither an intergovernmental mandate nor a mandate that may 
result in the expenditure of $100 million or more in any year, so these 
requirements do not apply.

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

[[Page 65625]]

Federal agencies to issue a Family Policymaking Assessment for any 
proposed rule that may affect family well-being. Today's proposed rule 
would not have any impact on the autonomy or integrity of the family as 
an institution. Accordingly, DOE has concluded that it is unnecessary 
to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights,'' 53 FR 8859 (March 15, 1988), that this proposed regulation, 
if promulgated as a final rule, would not result in any takings that 
might require compensation under the Fifth Amendment to the U.S. 
Constitution.

J. Review Under the Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516, note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. The OMB's guidelines were published in 67 FR 8452 (Feb. 22, 2002), 
and DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE 
has reviewed today's proposed rule under the OMB and DOE guidelines and 
has concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to 
OIRA, Office of Management and Budget, a Statement of Energy Effects 
for any proposed significant energy action. A ``significant energy 
action'' is defined as any action by an agency that promulgated or is 
expected to lead to promulgation of a final rule, and that (1) is a 
significant regulatory action under Executive Order 12866, or any 
successor order; and (2) is likely to have a significant adverse effect 
on the supply, distribution, or use of energy; or (3) is designated by 
the Administrator of OIRA as a significant energy action. For any 
proposed significant energy action, the agency must give a detailed 
statement of any adverse effects on energy supply, distribution, or use 
should the proposal be implemented, and of reasonable alternatives to 
the action and their expected benefits on energy supply, distribution, 
and use.
    Today's regulatory action would not have a significant adverse 
effect on the supply, distribution, or use of energy and, therefore, it 
is not a significant energy action. Accordingly, DOE has not prepared a 
Statement of Energy Effects.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91), DOE must comply with section 32 of the Federal Energy 
Administration Act of 1974 (Pub. L. 93-275), as amended by the Federal 
Energy Administration Authorization Act of 1977 (15 U.S.C. 788). 
Section 32 essentially provides, in relevant part, that where a 
proposed rule contains or involves use of commercial standards, the 
notice of proposed rulemaking must inform the public of the use and 
background of such standards. In addition, section 32(c) requires DOE 
to consult with the Attorney General and the Chairman of the FTC 
concerning the impact of the commercial or industry standards on 
competition.
    Today's SNOPR does not incorporate testing methods contained in 
commercial standards.

V. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and other information regarding the 
SNOPR no later than the date provided in the DATES section at the 
beginning of this notice. Interested parties may submit comments using 
any of the methods described in the ADDRESSES section at the beginning 
of this rulemaking.
    Submitting comments via regulations.gov. The http://www.regulations.gov webpage will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and commercial or 
financial information (hereinafter referred to as Confidential Business 
Information (CBI)). Comments submitted through regulations.gov cannot 
be claimed as CBI. Comments received through the Web site will waive 
any CBI claims for the information submitted. For information on 
submitting CBI, see the Confidential Business Information section.
    DOE processes submissions made through regulations.gov before 
posting them online. Normally, comments will be posted within a few 
days of being submitted. However, if large volumes of comments are 
processed simultaneously, your comment may not be viewable for up to 
several weeks. Please keep the comment tracking number that 
regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via e-mail, hand delivery, or mail. Comments 
and documents submitted via email, hand delivery, or mail also will be 
posted to regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. E-mail submissions are 
preferred. If you submit via mail or hand delivery, please provide all 
items on a CD, if feasible. It is not necessary to submit printed 
copies. No 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, are written in English, and are free of any defects or 
viruses.

[[Page 65626]]

Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 and 500 form letters 
per PDF, or as one form letter with a list of supporters' names 
compiled into one or more PDFs. This reduces comment processing and 
posting time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery two well-marked copies: one copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

B. Issues on Which DOE Seeks Comment

    Although comments are welcome on all aspects of this rulemaking, 
DOE is particularly interested in receiving comments on the following 
issues:
    1. The proposed equation for the calculation of a system's off-mode 
rating;
    2. An appropriate scaling factor to account for larger units 
requiring a larger crankcase heater due to bigger compressors and 
larger refrigerant volume;
    3. The proposed equation to adjust crankcase heater power draw for 
systems with multiple compressors;
    4. The estimate of the number of small entities that may be 
impacted by the proposed test procedure;
    5. The estimate of the impact of the proposed test procedure 
amendments on small entities and its conclusion that this impact is not 
significant.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this SNOPR.

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation test procedures, Household appliances, 
Imports, Intergovernmental relations, Small businesses.

    Issued in Washington, DC, on September 29, 2011.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Technology 
Development, Energy Efficiency and Renewable Energy.

    For the reasons set forth in the preamble, DOE proposes to amend 
part 430 of chapter II, subchapter D, of title 10 of the Code of 
Federal Regulations, to read 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.

Appendix M [Amended]

    2. Appendix M to subpart B of part 430 is amended as follows:
    a. In section 1, Definitions, by revising sections 1.13 through 
1.51:
    b. In section 2, Testing Conditions, by adding paragraph d. in 
section 2.2.
    c. In section 3,Testing Procedures, by:
    i. Revising section 3.1;
    ii. Adding sections 3.13 through 3.13.4.9.
    d. In section 4, Calculations of Seasonal Performance Descriptors, 
by:
    i. Adding sections 4.2.6 through 4.2.6.2.4;
    ii. Revising section 4.3.1.
    The additions and revisions read as follows:

Appendix M to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Central Air Conditioners and Heat Pumps

* * * * *
    1.13 Blower coil unit means a residential central air 
conditioner or heat pump where the indoor-side refrigerant-to-air 
heat exchanger coil is packaged in the same cabinet as the indoor 
blower. All single-packaged units are blower coil units; split-
system units may be either blower coil units or coil-only units.
    1.14 CFR means Code of Federal Regulations.
    1.15 Coefficient of Performance (COP) means the ratio of the 
average rate of space heating delivered to the average rate of 
electrical energy consumed by the heat pump. These rate quantities 
must be determined from a single test or, if derived via 
interpolation, must be tied to a single set of operating conditions. 
COP is a dimensionless quantity. When determined for a ducted unit 
tested without an indoor fan installed, COP must include the section 
3.7, 3.8, and 3.9.1 default values for the heat output and power 
input of a fan motor.
    1.16 Coil-only unit means a split-system residential central air 
conditioner or split-system heat pump where the indoor section 
includes a refrigerant-to-air heat exchanger coil but not a blower 
(fan). Coil-only units are designed to be installed and used in 
combination with a furnace or a modular blower.
    1.17 Constant-air-volume-rate indoor fan means a fan that varies 
its operating speed to provide a fixed air-volume-rate from a ducted 
system.
    1.18 Continuously recorded, when referring to a dry bulb 
measurement, means that the specified temperature must be sampled at 
regular intervals that are equal to or less than the maximum 
intervals specified in section 4.3 part ``a'' of ASHRAE Standard 
41.1-86 (RA 01). If such dry bulb temperatures are used only for 
test room control, it means that one samples at regular intervals 
equal to or less than the maximum intervals specified in section 4.3 
part ``b'' of the same ASHRAE Standard. Regarding wet bulb 
temperature, dew point temperature, or relative humidity 
measurements, continuously recorded means that the measurements must 
be made at regular intervals that are equal to or less than 1 
minute.
    1.19 Cooling load factor (CLF) means the ratio having as its 
numerator the total cooling delivered during a cyclic operating 
interval consisting of one ON period and one OFF period. The 
denominator is the total cooling that would be delivered, given the 
same ambient conditions, had the unit operated continuously at its 
steady-state space cooling capacity for the same total time (ON + 
OFF) interval.
    1.20 Crankcase heater includes all devices and mechanisms for 
intentionally generating heat within and/or around the compressor 
sump volume to minimize the diluting of the compressor's refrigerant 
oil by condensed refrigerant.
    1.21 Cyclic Test means a test where the unit's compressor is 
cycled on and off for

[[Page 65627]]

specific time intervals. A cyclic test provides half the information 
needed to calculate a degradation coefficient.
    1.22 Damper box means a short section of duct having an air 
damper that meets the performance requirements of section 2.5.7.
    1.23 Degradation coefficient (CD) means a parameter used in 
calculating the part load factor. The degradation coefficient for 
cooling is denoted by CDc. The degradation coefficient for heating 
is denoted by CDh .
    1.24 Demand-defrost control system means a system that defrosts 
the heat pump outdoor coil only when measuring a predetermined 
degradation of performance. The heat pump's controls monitor one or 
more parameters that always vary with the amount of frost 
accumulated on the outdoor coil (e.g., coil to air differential 
temperature, coil differential air pressure, outdoor fan power or 
current, optical sensors, etc.) at least once for every ten minutes 
of compressor ON-time when space heating. One acceptable alternative 
to the criterion given in the prior sentence is a feedback system 
that measures the length of the defrost period and adjusts defrost 
frequency accordingly.\9\ In all cases, when the frost parameter(s) 
reaches a predetermined value, the system initiates a defrost. In a 
demand-defrost control system, defrosts are terminated based on 
monitoring a parameter(s) that indicates that frost has been 
eliminated from the coil.
---------------------------------------------------------------------------

    \9\ Systems that vary defrost intervals according to outdoor 
dry-bulb temperature are not demand defrost systems.
---------------------------------------------------------------------------

    A demand-defrost control system, which otherwise meets the above 
requirements, may allow time-initiated defrosts if, and only if, 
such defrosts occur after 6 hours of compressor operating time.
    1.25 Design heating requirement (DHR) predicts the space heating 
load of a residence when subjected to outdoor design conditions. 
Estimates for the minimum and maximum DHR are provided for six 
generalized U.S. climatic regions in section 4.2.
    1.26 Dry-coil tests are cooling mode tests where the wet-bulb 
temperature of the air supplied to the indoor coil is maintained low 
enough that no condensate forms on this coil.
    1.27 Ducted system means an air conditioner or heat pump that is 
designed to be permanently installed equipment and delivers 
conditioned air to the indoor space through a duct(s). The air 
conditioner or heat pump may be either a split system or a single-
packaged unit.
    1.28 Energy efficiency ratio (EER) means the ratio of the 
average rate of space cooling delivered to the average rate of 
electrical energy consumed by the air conditioner or heat pump. 
These rate quantities must be determined from a single test or, if 
derived via interpolation, must be tied to a single set of operating 
conditions. EER is expressed in units of
[GRAPHIC] [TIFF OMITTED] TP24OC11.066

    When determined for a ducted unit tested without an indoor fan 
installed, EER must include the section 3.3 and 3.5.1 default values 
for the heat output and power input of a fan motor.
    1.29 Heating load factor (HLF) means the ratio having as its 
numerator the total heating delivered during a cyclic operating 
interval consisting of one ON period and one OFF period. The 
denominator is the total heating that would be delivered, given the 
same ambient conditions, if the unit operated continuously at its 
steady-state space heating capacity for the same total time (ON plus 
OFF) interval.
    1.30 Heating seasonal performance factor (HSPF) means the total 
space heating required during the space heating season, expressed in 
Btu's, divided by the total electrical energy consumed by the heat 
pump system during the same season, expressed in watt-hours. The 
HSPF used to evaluate compliance with the Energy Conservation 
Standards (see 10 CFR 430.32(c), subpart C) is based on Region IV, 
the minimum standardized design heating requirement, and the 
sampling plan stated in 10 CFR 430.24(m), subpart B.
    1.31 Heat pump having a heat comfort controller means equipment 
that regulates the operation of the electric resistance elements to 
assure that the air temperature leaving the indoor section does not 
fall below a specified temperature. This specified temperature is 
usually field adjustable. Heat pumps that actively regulate the rate 
of electric resistance heating when operating below the balance 
point (as the result of a second stage call from the thermostat) but 
do not operate to maintain a minimum delivery temperature are not 
considered as having a heat comfort controller.
    1.32 Mini-split air conditioners and heat pumps means systems 
that have a single outdoor section and one or more indoor sections. 
The indoor sections cycle on and off in unison in response to a 
single indoor thermostat.
    1.33 Multiple-split air conditioners and heat pumps means 
systems that have two or more indoor sections. The indoor sections 
operate independently and can be used to condition multiple zones in 
response to multiple indoor thermostats.
    1.34 Non-ducted system means an air conditioner or heat pump 
that is designed to be permanently installed equipment and directly 
heats or cools air within the conditioned space using one or more 
indoor coils that are mounted on room walls and/or ceilings. The 
unit may be of a modular design that allows for combining multiple 
outdoor coils and compressors to create one overall system. Non-
ducted systems covered by this test procedure are all split systems.
    1.35 Part-load factor (PLF) means the ratio of the cyclic energy 
efficiency ratio (coefficient of performance) to the steady-state 
energy efficiency ratio (coefficient of performance). Evaluate both 
energy efficiency ratios (coefficients of performance) based on 
operation at the same ambient conditions.
    1.36 Seasonal energy efficiency ratio (SEER) means the total 
heat removed from the conditioned space during the annual cooling 
season, expressed in Btu's, divided by the total electrical energy 
consumed by the air conditioner or heat pump during the same season, 
expressed in watt-hours. The SEER calculation in section 4.1 of this 
appendix and the sampling plan stated in 10 CFR 429.16, subpart B 
are used to evaluate compliance with the Energy Conservation 
Standards. (See 10 CFR 430.32(c), subpart C.)
    1.37 Single-packaged unit means any central air conditioner or 
heat pump that has all major assemblies enclosed in one cabinet.
    1.38 Small-duct, high-velocity system means a system that 
contains a blower and indoor coil combination that is designed for, 
and produces, at least 1.2 inches (of water) of external static 
pressure when operated at the full-loadair volume rate of 220-350 
cfm per rated ton of cooling. When applied in the field, small-duct 
products use high-velocity room outlets (i.e., generally greater 
than 1000 fpm) having less than 6.0 square inches of free area.
    1.39 Split system means any air conditioner or heat pump that 
has one or more of the major assemblies separated from the others.
    1.40 Standard Air means dry air having a mass density of 0.075 
lb/ft\3\.
    1.41 Steady-state test means a test where the test conditions 
are regulated to remain as constant as possible while the unit 
operates continuously in the same mode.
    1.42 Temperature bin means the 5 [deg]F increments that are used 
to partition the outdoor dry-bulb temperature ranges of the cooling 
(>= 65 [deg]F) and heating (remains at zero at 
all other times. In one application of the control scheme, a defrost 
is initiated whenever the counter time equals the predetermined ON-
time. The counter is reset when the defrost cycle is completed.
    In a second application of the control scheme, one or more 
parameters are measured (e.g., air and/or refrigerant temperatures) 
at the predetermined, cumulative, compressor ON-time. A defrost is 
initiated only if the measured parameter(s) falls within a 
predetermined range. The ON-time counter is reset regardless of 
whether a defrost is initiated. If systems of this second type use 
cumulative ON-time intervals of 10 minutes or less, then the heat 
pump may qualify as having a demand defrost control system (see 
definition 1.24).
    1.48 Triple-split system means an air conditioner or heat pump 
that is composed of three separate components: An outdoor fan coil 
section, an indoor fan coil section, and an indoor compressor 
section.
    1.49 Two-capacity (or two-stage) compressor means an air 
conditioner or heat pump that has one of the following:
    (1) A two-speed compressor,
    (2) Two compressors where only one compressor ever operates at a 
time,
    (3) Two compressors where one compressor (Compressor 1) 
operates at low loads and both compressors (Compressors 1 
and 2) operate at high loads but Compressor 2 
never operates alone, or
    (4) A compressor that is capable of cylinder or scroll 
unloading.
    For such systems, low capacity means:
    (1) Operating at low compressor speed,
    (2) Operating the lower capacity compressor,
    (3) Operating Compressor 1, or
    (4) Operating with the compressor unloaded (e.g., operating one 
piston of a two piston reciprocating compressor, using a fixed 
fractional volume of the full scroll, etc.).
    For such systems, high capacity means:
    (1) Operating at high compressor speed,
    (2) Operating the higher capacity compressor,
    (3) Operating Compressors 1 and 2, or
    (4) Operating with the compressor loaded (e.g., operating both 
pistons of a two-piston reciprocating compressor, using the full 
volume of the scroll).
    1.50 Two-capacity, northern heat pump means a heat pump that has 
a factory or field-selectable lock-out feature to prevent space 
cooling at high-capacity. Two-capacity heat pumps having this 
feature will typically have two sets of ratings, one with the 
feature disabled and one with the feature enabled. The indoor coil 
model number should reflect whether the ratings pertain to the 
lockout enabled option via the inclusion of an extra identifier, 
such as ``+LO.'' When testing as a two-capacity, northern heat pump, 
the lockout feature must remain enabled for all tests.
    1.51 Wet-coil test means a test conducted at test conditions 
that typically cause water vapor to condense on the test unit 
evaporator coil.
    2.2. * * *
* * * * *
    d. When testing coil-only residential central air conditioners 
and heat pumps, install a toroidal type transformer to power the 
low-voltage components of the coil-only system. The manufacturer 
shall designate any additional specification for this transformer. 
If the manufacturer does not so designate, use a transformer having 
the following features: a nominal V-amp rating that results in the 
transformer being loaded from 25 and 90 percent based on the highest 
power value expected and then confirmed during the off-mode test; 
designed to operate with a primary input of 230 V, single phase, 60 
Hz; and that provides an output voltage that is within the allowed 
range for each low-voltage component. The power consumption of the 
lab-added low-voltage transformer, and the components connected to 
it, must be measured as part of the total system power consumption 
during the off-mode tests. This total system power for the coil-only 
unit, however, must then be reduced by the power consumed by the 
lab-added transformer when no load is connected to it.
* * * * *
    3.1 General Requirements. a. If, during the testing process, an 
equipment set-up adjustment is made that would alter the performance 
of the unit when conducting an already completed test, then repeat 
all tests affected by the adjustment. For cyclic tests, instead of 
maintaining an air volume rate for each airflow nozzle, maintain the 
static pressure difference or velocity pressure during an ON period 
at the same pressure difference or velocity pressure as measured 
during the steady-state test conducted at the same test conditions.
    b. Use the testing procedures in this section to collect the 
data used for calculating:
    1. Performance metrics for residential central air conditioners 
and heat pumps during the cooling season;
    2. Performance metrics for heat pumps during the heating season; 
and
    3. Power consumption metric(s) for residential central air 
conditioners and heat pumps during the off-mode season(s). For 
residential central air conditioners, the off-mode seasons are the 
shoulder seasons that separate the cooling and heating seasons and 
the entire heating season. For residential heat pumps, the shoulder 
season is the only off-mode season.
* * * * *
    3.13 Laboratory testing to determine off-mode average power 
ratings.
    3.13.1 Determine if the residential central air conditioner or 
heat pump has a compressor crankcase heater (see definition 1.20). 
If so equipped, determine from the manufacturer if the compressor 
crankcase heater's on/off operation is regulated or is unregulated, 
with the heater operating continuously when the compressor is off. 
Also determine from the manufacturer if the crankcase heater is 
regulated with a time delay relay (see definition 1.46) or has 
thermostat sensor located on the compressor shell. Use Table 17 to 
determine the required test methods based on the presence of a 
crankcase heater and how it is controlled.
    3.13.2 For residential central air conditioners or heat pumps 
not having a compressor crankcase heater or having a crankcase 
heating which is unregulated, conduct the following off-mode test.
    3.13.2.1 Configure the controls of the residential central air 
conditioner or heat pump to mimic the operating mode as if connected 
to a building thermostat that is set to the OFF position. No 
requirements are placed on the ambient conditions within the indoor 
and outdoor test rooms. The room conditions are allowed to change 
for the duration of this particular test.
    3.13.2.2 After the controls have been configured, wait at least 
2 minutes. Then integrate the power consumption of the residential 
central air conditioner or heat pump over a 5-minute interval. This 
integrated power consumption must include the power consumed by the 
low-voltage transformer and the low-voltage components connected to 
it. Calculate the average power consumption rate for the integration 
interval and designate it as P1x.
    3.13.2.3 Coil-only system (see definition 1.16) power 
adjustment: Disconnect all low-voltage wiring from the low-voltage 
transformer and integrate the power consumption of the fully 
unloaded transformer over a 5-minute interval. Calculate the average 
power consumption rate for the integration interval and designate it 
as Px.
    3.13.2.4 Blower-coil system (see definition 1.13) power 
adjustment: If tested and rated with a specific furnace or specific 
modular blower, measure only the power supplied to the furnace or 
modular blower while idle (e.g., disconnect the low-voltage wiring 
for the components housed in the residential central air conditioner 
parts of the system from the transformer) and integrate this power 
over a 5-minute interval. Calculate the average power consumption of 
the fully unloaded transformer, idle furnace, or idle modular blower 
over the integration interval and designate it as Px.
    3.13.2.5 For both coil-only and blower-coil systems with a 
single compressor: To calculate P1, the off-mode power solely 
attributable to the residential central air conditioner or heat 
pump, subtract this average power consumption (Px) from the 
previously calculated overall system average power (P1x):

[[Page 65629]]

[GRAPHIC] [TIFF OMITTED] TP24OC11.067

    3.13.2.6 For both coil-only and blower-coil systems with 
multiple compressors: To calculate P1, the off-mode power solely 
attributable to the residential central air conditioner or heat pump 
at 82 [deg]F, first disconnect the crankcase heater and then record 
the overall system power draw with the disconnected crankcase heater 
as P1D. Next, calculate an average power draw on a per compressor 
basis by dividing the difference between the overall system power 
draws (P1X and P1D). Then combine this difference with the previous 
recorded P1D:
[GRAPHIC] [TIFF OMITTED] TP24OC11.068

    3.13.2.7 Round P1 to the nearest integer wattage value and 
record this rounded value as both P2 and P1. If the resulting P2 and 
P1 are each less than 1 watt, assign each of them the value of zero.
    3.13.3 For residential central air conditioners or heat pumps 
having a compressor crankcase heater whose on/off operation is 
regulated, but according to the manufacturer does not have either a 
time delay switch (see definition 1.46) controlling the crankcase 
heater or a temperature sensor for the crankcase heater located on 
the compressor shell.
    3.13.3.1 Configure the controls of the residential central air 
conditioner or heat pump to mimic the operating mode as if connected 
to a building thermostat that is set to the OFF position. Position a 
lab-added temperature sensor in the air between 2 and 6 inches from 
the crankcase heater temperature sensor. For this off-mode test and 
the one that follows at 57 [deg]F, use this lab-added temperature 
sensor to measure the outdoor dry bulb temperature. Conduct these 
tests following the steady state `B' test and maintain an indoor dry 
bulb temperature of between 75 [deg]F and 85 [deg]F during the off-
mode tests.
    3.13.3.2 After the controls have been configured, wait at least 
2 minutes. Then integrate the power consumption of the residential 
central air conditioner or heat pump over a 5-minute interval. This 
integrated power consumption must include the power consumed by the 
low-voltage transformer and the low-voltage components connected to 
it. Calculate the average power consumption rate for the integration 
interval and designate it as P1X.
    3.13.3.3 Coil-only system (see definition 1.16) power 
adjustment: Reduce the overall system off-mode power measurement, 
P1x, by the power supplied to components not part of the residential 
central air conditioner or heat pump. Disconnect all low-voltage 
wiring from the low-voltage transformer and integrate the power 
consumption of the fully unloaded transformer over a 5-minute 
interval. Calculate the average power consumption rate for the 
integration interval and designate it as PX.
    3.13.3.4 Blower-coil system (see definition 1.13) power 
adjustment: If tested and rated with a specific furnace or specific 
modular blower, measure only the power supplied to the furnace or 
modular blower while idle (e.g., disconnect the low-voltage wiring 
for the components housed in the residential central air conditioner 
parts of the system from the transformer) and integrate this power 
over a 5-minute interval. Calculate the average power consumption of 
the fully unloaded transformer, idle furnace, or idle modular blower 
over the integration interval and designate it as PX.
    3.13.3.5 For both coil-only and blower-coil systems with a 
single compressor: To calculate P1, the off-mode power solely 
attributable to the residential central air conditioner or heat pump 
at 82 [deg]F, subtract this average power consumption (PX) from the 
previously calculated overall system average power (P1X) and round 
P1 to the nearest integer wattage value:
[GRAPHIC] [TIFF OMITTED] TP24OC11.069

    3.13.3.6 Continue to maintain an indoor dry bulb temperature of 
between 75 [deg]F and 85 [deg]F, but decrease the outdoor 
temperature until the lab-added temperature sensor achieves an 
outdoor ambient dry bulb temperature of 57 [deg]F, +/- 2 [deg]F for 
at least 5 minutes. Then integrate the power consumption of the 
residential central air conditioner or heat pump over a 5-minute 
interval. Calculate the average power consumption rate for the 
integration interval and designate it as P2.
    3.13.3.7 After the controls have been configured, wait at least 
2 minutes. Then integrate the power consumption of the residential 
central air conditioner or heat pump over a 5-minute interval. This 
integrated power consumption must include the power consumed by the 
low-voltage transformer and the low-voltage components connected to 
it. Calculate the average power consumption rate for the integration 
interval and designate it as P2X.
    3.13.3.8 For both coil-only and blower-coil systems with a 
single compressor: To calculate P2, the off-mode power solely 
attributable to the residential central air conditioner or heat pump 
at 57 [deg]F, subtract this average power consumption (PX) from the 
previously calculated overall system average power (P2X) and round 
P2 to the nearest integer wattage value:
[GRAPHIC] [TIFF OMITTED] TP24OC11.070

    3.13.3.9 For both coil-only and blower-coil systems with 
multiple compressors: To calculate P2, the off-mode power solely 
attributable to the residential central air conditioner or heat pump 
at 57 [deg]F, first calculate an average power draw on a per 
compressor basis by dividing the difference between the overall 
system power draws (P1X and P2X). Then combine this value with the 
previously determined P1, and round P2 to the nearest integer 
wattage value:
[GRAPHIC] [TIFF OMITTED] TP24OC11.071

    3.13.4 For residential central air conditioners or heat pumps 
having a compressor crankcase heater whose on/off operation is 
regulated and, according to the manufacturer, has either a time 
delay switch (see definition 1.46) controlling the crankcase heater 
or a temperature sensor for the crankcase heater located on the 
compressor shell.
    3.13.4.1 Configure the controls of the residential central air 
conditioner or heat pump to mimic the operating mode as if connected 
to a building thermostat that is set to the OFF position. Position a 
lab-added temperature sensor in the air between 2 and 6 inches from 
the crankcase heater temperature sensor. For this off-mode test and 
the one that follows at 57 [deg]F, use this lab-added temperature 
sensor to measure the outdoor dry bulb temperature. Conduct these 
tests before any other tests and maintain an indoor dry bulb 
temperature of between 75 [deg]F and 85 [deg]F during the off-mode 
tests.
    3.13.4.2 After the controls have been configured, wait at least 
2 minutes. Then integrate the power consumption of the residential 
central air conditioner or heat pump over a 5-minute interval. This 
integrated power consumption must include the power consumed by the 
low-voltage transformer and the low-voltage components connected to 
it. Calculate the average power consumption rate for the integration 
interval and designate it as P1X.
    3.13.4.3 Coil-only system (see definition 1.16) power 
adjustment: Reduce the overall system off-mode power measurement, 
P1X, by the power supplied to components not part of the residential 
central air conditioner or heat pump. Disconnect all low-voltage 
wiring from the low-voltage transformer and integrate the power 
consumption of the fully unloaded transformer over a 5-minute 
interval. Calculate the average power consumption rate for the 
integration interval and designate it as PX.
    3.13.4.4 Blower-coil system (see definition 1.13) power 
adjustment: If tested and rated with a specific furnace or specific 
modular blower, measure only the power supplied to the furnace or 
modular blower while idle (e.g., disconnect the low-voltage wiring 
for the components housed in the residential central air conditioner 
parts of the system from the transformer) and integrate this power 
over a 5-minute interval. Calculate the average power consumption of 
the fully unloaded transformer, idle furnace, or idle modular blower 
over the integration interval and designate it as PX.
    3.13.4.5 For both coil-only and blower-coil systems: To 
calculate P1, the off-mode power solely attributable to the 
residential central air conditioner or heat pump at 82 [deg]F, 
subtract this average power consumption (PX) from the previously 
calculated overall system

[[Page 65630]]

average power (P1X) round P1 to the nearest integer wattage value:
[GRAPHIC] [TIFF OMITTED] TP24OC11.072

    3.13.4.6 Continue to maintain an indoor dry bulb temperature of 
between 75 [deg]F and 85 [deg]F, but decrease the outdoor 
temperature until the lab-added temperature sensor achieves an 
outdoor ambient dry bulb temperature of 57 [deg]F, +/-2 [deg]F for 
at least 5 minutes. Then integrate the power consumption of the 
residential central air conditioner or heat pump over a 5-minute 
interval. Calculate the average power consumption rate for the 
integration interval and designate it as P2.
    3.13.4.7 After the controls have been configured, wait at least 
2 minutes. Then integrate the power consumption of the residential 
central air conditioner or heat pump over a 5-minute interval. This 
integrated power consumption must include the power consumed by the 
low-voltage transformer and the low-voltage components connected to 
it. Calculate the average power consumption rate for the integration 
interval and designate it as P2X.
    3.13.4.8 For both coil-only and blower-coil systems with a 
single compressor: To calculate P2, the off-mode power solely 
attributable to the residential central air conditioner or heat pump 
at 57 [deg]F, subtract this average power consumption (PX) from the 
previously calculated overall system average power (P2X) and round 
P2 to the nearest integer wattage value:
[GRAPHIC] [TIFF OMITTED] TP24OC11.073

    3.13.4.9 For both coil-only and blower-coil systems with 
multiple compressors: To calculate P2, the off-mode power solely 
attributable to the residential central air conditioner or heat pump 
at 57 [deg]F, first calculate an average power draw on a per 
compressor basis by dividing the difference between the overall 
system power draws (P1X and P2X). Then combine this with the 
previously determined P1, and round P2 to the nearest integer 
wattage value:
[GRAPHIC] [TIFF OMITTED] TP24OC11.074

    4. * * *
* * * * *
    4.2.6 Off-mode seasonal power and energy consumption 
calculations.
    4.2.6.1.1 For residential central air conditioners and heat 
pumps with a cooling capacity of less than 36,000 Btu/h, determine a 
systems off-mode rating, PW,OFF, by using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TP24OC11.075

    4.2.6.1.2 For residential central air conditioners and heat 
pumps with a cooling capacity of greater than 36,000 Btu/h, 
calculate the capacity scaling factor according to:
[GRAPHIC] [TIFF OMITTED] TP24OC11.076

Where,

Qc(95) = the total cooling capacity at the A or 
A2 Test condition.

    Then, average the off-mode power ratings and divide by the scaling 
factor to determine a system's off-mode rating:
[GRAPHIC] [TIFF OMITTED] TP24OC11.077

    4.2.6.2.1 For the shoulder seasons. Calculate the off-mode 
energy consumption for the shoulder season, E1, using
[GRAPHIC] [TIFF OMITTED] TP24OC11.085

Where P1 is determined as specified in section 3.13 and the SSH are 
provided in Table 19 for the six generalized climatic regions along 
with the national average rating values.

        Table 19--Representative Cooling and Heating Load Hours and the Corresponding Set of Seasonal Hours for Each Generalized Climatic Region
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  Cooling load      Heating load     Cooling season    Heating season    Shoulder season
                        Climatic region                            hours CLHR        hours HLHR        hours CSHR        hours HSHR        hours SSHR
--------------------------------------------------------------------------------------------------------------------------------------------------------
I.............................................................              2400               750              6731              1826               203
II............................................................              1800              1250              5048              3148               564
III...........................................................              1200              1750              3365              4453               942
IV............................................................               800              2250              2244              5643               873
Rating Values.................................................              1000              2080              2805              5216               739
V.............................................................               400              2750              1122              6956               682
VI............................................................               200              2750               561              6258              1941
--------------------------------------------------------------------------------------------------------------------------------------------------------

    4.2.6.2.2 For the heating season--residential central air 
conditioners only. Calculate the off-mode energy consumption of a 
residential central air conditioner during the heating season, E2, 
using
[GRAPHIC] [TIFF OMITTED] TP24OC11.078

Where P1 is determined as specified in section 4.2.6.2 and the HSH 
are provided in Table 19 for the six generalized climatic regions 
along with the national average rating values.
    4.2.6.2.3 For residential central air conditioners only. 
Calculate the annual off-mode energy consumption of a residential 
central air conditioner ETOTAL, using
[GRAPHIC] [TIFF OMITTED] TP24OC11.079

    4.2.6.2.4 For residential heat pumps only, the annual off-mode 
energy consumption of a residential central air conditioner ETOTAL 
equals E1.
* * * * *
    4.3.1 Calculation of actual regional annual performance factors 
(APFA) for a particular location and for each 
standardized design heating requirement.
[GRAPHIC] [TIFF OMITTED] TP24OC11.080

[[Page 65631]]

Where,

CLHA = the actual cooling hours for a particular location 
as determined using the map given in Figure 3, hr;

[GRAPHIC] [TIFF OMITTED] TP24OC11.081

the space cooling capacity of the unit as determined from the A or 
A2 Test, whichever applies, Btu/h;
HLHA = the actual heating hours for a particular location 
as determined using the map given in Figure 2, hr;
DHR = the design heating requirement used in determining the HSPF; 
refer to section 4.2 and definition 1.22, Btu/h;
C = defined in section 4.2 following Equation 4.2-2, dimensionless;
SEER = the seasonal energy efficiency ratio calculated as specified 
in section 4.1, Btu/W[middot]h;
HSPF = the heating seasonal performance factor calculated as 
specified in section 4.2 for the generalized climatic region that 
includes the particular location of interest (see Figure 2), Btu/
W[middot]h. The HSPF should correspond to the actual design heating 
requirement (DHR), if known. If it does not, it may correspond to 
one of the standardized design heating requirements referenced in 
section 4.2;
P1 = the off-mode power consumption taken at 82 [deg]F, as 
determined in section 3.13, W, and
P2 = the off-mode power consumption taken at 57 [deg]F, as 
determined in section 3.13, W.
Evaluate the HSH using
[GRAPHIC] [TIFF OMITTED] TP24OC11.082

Where TOD and nj/N are listed in Table 19 and depend on the location 
of interest relative to Figure 2. For the six generalized climatic 
regions, this equation simplifies to the following set of equations:

Region I HSH = 2.4348 x HLH
Region II HSH = 2.5182 x HLH
Region III HSH = 2.5444 x HLH
Region IV HSH = 2.5078 x HLH
Region V HSH = 2.5295 x HLH
Region VI HSH = 2.2757 x HLH
    Evaluate the shoulder season hours using
    [GRAPHIC] [TIFF OMITTED] TP24OC11.083
    
Where,
CSH = the cooling season hours calculated using CSH = 2.8045 x CLH.

* * * * *
[FR Doc. 2011-25813 Filed 10-21-11; 8:45 am]
BILLING CODE 6450-01-P
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