Federal Register / Vol. 76, No. 197 / Wednesday, October 12, 2011 / Proposed Rules 63211 

1For editorial reasons, upon codification in the 

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

2All references to EPCA in this document refer 

to the statute as amended through the Energy 

Independence and Security Act of 2007, Public Law 

110–140 (Dec. 19, 2007). 

the meeting by sending them to 

SACAH.Management@aphis.usda.gov. 

This notice of the meeting agenda is 

given pursuant to section 10 of the 

Federal Advisory Committee Act (5 

U.S.C. App. 2). 

Done in Washington, DC, this 5th day of 

October 2011. 

Kevin Shea, 

Acting Administrator, Animal and Plant 

Health Inspection Service. 

[FR Doc. 2011–26354 Filed 10–11–11; 8:45 am] 

BILLING CODE 3410–34–P 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket Number EERE–2011–BT–TP–0042] 

RIN 1904–AC53 

Energy Efficiency Program: Test 

Procedures for Residential Water 

Heaters, Direct Heating Equipment, 

and Pool Heaters 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Request for information. 

SUMMARY: Through this Request for 

Information (RFI), the U.S. Department 

of Energy (DOE) is initiating a 

rulemaking and data collection process 

to consider amendments to DOE’s test 

procedures for residential water heaters, 

direct heating equipment, and pool 

heaters. This rulemaking is intended to 

fulfill DOE’s statutory obligation to 

review its test procedures for covered 

products at least once every seven years. 

To inform interested parties and to 

facilitate the process, DOE has gathered 

data and has identified several issues 

that might warrant modifications to the 

current applicable test procedures, 

including topics on which DOE is 

particularly interested in receiving 

comment. In overview, the issues 

outlined in this document mainly 

concern the scope, draw patterns, and 

test conditions for residential water 

heaters, possible clarifications and 

improvement of the direct heating 

equipment test procedures as applied to 

vented hearth heaters, and coverage of 

electric pool heaters. Additionally, this 

RFI briefly discusses and seeks input on 

certain potential changes to the test 

procedures for these products that DOE 

anticipates may be included in a 

subsequent notice of proposed 

rulemaking (NOPR). DOE welcomes 

written comments from the public on 

any subject related to the test 

procedures for residential heating 

products (including topics not 

specifically raised in this RFI). 

DATES: Written comments and 

information are requested on or before 

November 28, 2011. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

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

instructions for submitting comments. 

Alternatively, interested persons may 

submit comments, identified by docket 

number EERE–2011–BT–TP–0042 and/ 

or RIN 1904–AC53, by any of the 

following methods: 

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

BT–TP–0042 and/or RIN 1904–AC53 in 

the subject line of the message. Submit 

electronic comments in WordPerfect, 

Microsoft Word, PDF, or ASCII file 

format, and avoid the use of special 

characters or any form of encryption. 

• Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585– 0121. 

Telephone: (202) 586–2945. If possible, 

please submit all items on a compact 

disc (CD), in which case it is not 

necessary to include printed copies. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza, SW., 6th Floor, 

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. 

All submissions received must 

include the agency name and docket 

number and/or RIN for this rulemaking. 

No telefacsimilies (faxes) will be 

accepted. For detailed instructions on 

submitting comments and additional 

information on the rulemaking process, 

see section III of this document (Public 

Participation). 

Docket: For access to the docket to 

read background documents or 

comments received, go to the Federal 

eRulemaking Portal at http:// 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Requests for additional information may 

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

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Program, 

Mailstop EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585– 

0121. Telephone: (202) 586–7892. 

E-mail: Mohammed.Khan@ee.doe.gov. 

Mr. Eric Stas, U.S. Department of 

Energy, Office of the General Counsel, 

Mailstop GC–71, 1000 Independence 

Avenue, SW., Washington, DC 20585– 

0121. Telephone: (202) 586–9507. 

E-mail: Eric.Stas@hq.doe.gov. 

For information on how to submit or 

review public comments, contact Ms. 

Brenda Edwards, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–2945. E-mail: 

Brenda.Edwards@ee.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Authority and Background 

II. Discussion 

A. Test Procedure for Residential Water 

Heaters 

1. Scope 

a. Water Heaters With Storage Volumes 

Between 2 Gallons (7.6 L) and 20 Gallons 

(76 L) 

b. Electric Instantaneous Water Heaters 

c. Storage Water Heaters With Very Large 

Storage Capacities 

2. Draw Pattern 

3. Discrete Performance Tests 

4. Test Conditions 

a. Water Delivery Temperature 

b. Ambient Temperature and Relative 

Humidity 

5. Other Issues 

B. Test Procedure for Direct Heating 

Equipment 

1. Vented Hearth Heaters 

2. Other Issues 

C. Test Procedure for Pool Heaters 

1. Electric Pool Heaters 

2. Other Issues 

III. Public Participation 

I. Authority and Background 

Title III, Part B1 of the Energy Policy 

and Conservation Act of 1975 (‘‘EPCA’’ 

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

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

a variety of provisions designed to 

improve energy efficiency and 

establishes the Energy Conservation 

Program for Consumer Products Other 

Than Automobiles.2 These include 

residential water heaters, direct heating 

equipment, and pool heaters (or 

collectively, ‘‘heating products’’), the 

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

6292(a)(4),(9), and (11)) 

Under EPCA, this program generally 

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

labeling; (3) establishing Federal energy 

conservation standards; and (4) 

certification and enforcement 

procedures. The testing requirements 

consist of test procedures that 

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63212 Federal Register / Vol. 76, No. 197 / Wednesday, October 12, 2011 / Proposed Rules 

3For more information, please visit DOE’s Web 

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

appliance_standards/residential/waterheaters.html. 

manufacturers of covered products must 

use as both the basis for certifying to 

DOE that their products comply with 

the applicable energy conservation 

standards adopted pursuant to EPCA, 

and for making representations about 

the efficiency of those products. (42 

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

Similarly, DOE must use these test 

requirements to determine whether the 

products comply with any relevant 

standards promulgated under EPCA. (42 

U.S.C. 6295(s)) 

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

the criteria and procedures DOE must 

follow when prescribing or amending 

test procedures for covered products. 

EPCA provides, in relevant part, that 

any test procedures prescribed or 

amended under this section must be 

reasonably designed to produce test 

results which measure energy 

efficiency, energy use, or estimated 

annual operating cost of a covered 

product during a representative average 

use cycle or period of use, and must not 

be unduly burdensome to conduct. (42 

U.S.C. 6293(b)(3)) 

In addition, if DOE determines that a 

test procedure amendment is warranted, 

it must publish proposed test 

procedures and offer the public an 

opportunity to present oral and written 

comments on them. (42 U.S.C. 

6293(b)(2)) Finally, in any rulemaking to 

amend a test procedure, DOE must 

determine the extent to which the 

proposed test procedure would alter the 

product’s measured energy efficiency. 

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

that the amended test procedure would 

significantly alter the measured 

efficiency of a covered product, DOE 

must amend the applicable energy 

conservation standard accordingly. (42 

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

Further, the Energy Independence and 

Security Act of 2007 (EISA 2007) 

amended EPCA to require that at least 

once every 7 years, DOE must review 

test procedures for all covered products 

and either amend test procedures (if the 

Secretary determines that amended test 

procedures would more accurately or 

fully comply with the requirements of 

42 U.S.C. 6293(b)(3)) or publish notice 

in the Federal Register of any 

determination not to amend a test 

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

Under this requirement, DOE must 

review the test procedures for the 

various types of heating products not 

later than December 19, 2014 (i.e., 7 

years after the enactment of EISA 2007). 

Thus, the final rule resulting from this 

rulemaking will satisfy the requirement 

to review the test procedures for heating 

products within seven years of the 

enactment of EPCA. 

DOE’s test procedures for residential 

water heaters are found in the Code of 

Federal Regulations (CFR) at 10 CFR 

430.23(e) and 10 CFR part 430, subpart 

B, appendix E. The test procedures 

include provisions for determining the 

energy efficiency (energy factor (EF)), as 

well as the annual energy consumption 

of these products. 

There are separate test procedures for 

the two types of direct heating 

equipment (i.e., vented home heating 

equipment and unvented home heating 

equipment), specifically 10 CFR 

430.23(g) and 10 CFR part 430, subpart 

B, appendix G for unvented home 

heating equipment, and 10 CFR 

430.23(o) and 10 CFR part 430, subpart 

B, appendix O for vented home heating 

equipment. (Hereafter in this notice, the 

terms ‘‘vented heater’’ and ‘‘unvented 

heater’’ are used as shorthand to 

describe the two types of direct heating 

equipment.) The vented heater test 

procedures include provisions for 

determining energy efficiency (annual 

fuel utilization efficiency (AFUE)), as 

well as annual energy consumption. The 

unvented heater test procedures 

currently have no provisions for 

determining energy efficiency, as all 

unvented heaters are considered 100- 

percent efficient. However, for unvented 

heaters that are the primary heating 

source for the home, there is a 

calculation of annual energy 

consumption based on a single 

assignment of active mode hours. For 

unvented heaters that are not the 

primary heating source for the home, 

there are no calculation provisions for 

either efficiency or annual energy 

consumption. Given that unvented 

heaters are considered 100-percent 

efficient, DOE has not established a test 

procedure for determining energy 

efficiency of these products (and thus, 

has not established energy conservation 

standards for these products), as there 

would be no energy savings that would 

result from such actions. 

DOE’s test procedures for pool heaters 

are found at 10 CFR 430.23(p) and 10 

CFR part 430, subpart B, appendix P. 

The test procedures include provisions 

for determining two energy efficiency 

descriptors (i.e., thermal efficiency and 

pool heater heating seasonal efficiency), 

as well as seasonal energy consumption. 

In addition to the test procedure 

review provision discussed above, EISA 

2007 also amended EPCA to require 

DOE to amend its test procedures for all 

covered products to include 

measurement of standby mode and off 

mode energy consumption. (42 U.S.C. 

6295(gg)(2)(A)) Consequently, DOE is 

currently conducting a rulemaking to 

amend the test procedures for 

residential water heaters, direct heating 

equipment, and pool heaters to include 

provisions for measuring the standby 

mode and off mode energy consumption 

of those products. DOE published a 

NOPR in the Federal Register on August 

30, 2010, which proposed updates to the 

DOE test procedures for heating 

products to address the standby mode 

and off mode test procedure 

requirements under EPCA.3 75 FR 

52892. DOE published a supplemental 

notice of proposed rulemaking (SNOPR) 

in the Federal Register on September 

13, 2011, which calls for the use of the 

second edition of International 

Electrotechnical Commission (IEC) 

Standard 62301, ‘‘Household Electrical 

Appliances—Measurement of standby 

power,’’ in lieu of the first edition and 

also provides guidance on rounding and 

sampling. 76 FR 56347. However, that 

rulemaking was limited to the proposed 

test procedure updates to address the 

above-referenced standby mode and off 

mode requirements, and consequently, 

it did not address several other potential 

issues in DOE’s existing test procedures 

for heating products. DOE plans to 

address these non-standby/off mode 

issues separately in this rulemaking. 

The potential issues that DOE has 

preliminarily identified and plans to 

address in this rulemaking are discussed 

in detail below in section II of this RFI. 

II. Discussion 

A. Test Procedure for Residential Water 

Heaters 

1. Scope 

DOE’s test procedures for water 

heaters codified at 10 CFR 430.23(e) and 

10 CFR part 430, subpart B, appendix E 

address gas-fired, electric, and oil-fired 

storage-type (i.e., storage volume not 

less than 20 gallons (76 L)) and gas-fired 

and electric instantaneous-type (i.e., 

storage volume less than 2 gallons (7.6 

L)) water heaters. However, the 

procedure does not define electric 

instantaneous water heaters. In 

addition, it does not address the 

following types of products: (1) Gasfired water heaters that have a storage 

volume at or above 2 gallons and less 

than 20 gallons (76 L); (2) electric 

storage water heaters with storage 

volume less than 20 gallons (76 L); and 

(3) storage water heaters with very large 

storage capacities, including oil-fired 

water heaters with storage volumes 

greater than 50 gallons (190 L), gas-fired 

water heaters with storage volumes 

above 100 gallons (379 L), and electric 

mstockstill on DSK4VPTVN1PROD with PROPOSALS

Federal Register / Vol. 76, No. 197 / Wednesday, October 12, 2011 / Proposed Rules 63213 

4Healy, WM, Ullah, T, and Roller, J., ‘‘InputOutput Approach to Predicting the Energy 

Efficiency of Residential Water Heaters—Testing of 

Gas Tankless and Electric Storage Water Heaters,’’ 

ASHRAE Transactions 117 (2011). 

5Hoeschele, M.A. and Springer, D.A. ‘‘Field and 

Laboratory Testing of Gas Tankless Water Heater 

Performance,’’ ASHRAE Transactions 114 (2): 453– 

461 (2008). 

6Bohac, D, Schoenbauer, B., Hewett, M., 

Lobenstein, M.S., Butcher, T. ‘‘Actual Savings and 

Performance of Natural Gas Tankless Water 

Heaters,’’. Center for Energy and Environment 

Report for Minnesota Office of Energy Security 

(August 30, 2010). 

water heaters with storage volumes 

above 120 gallons (454 L). For this 

rulemaking, DOE is considering an 

expansion of the scope of the test 

procedure to include definitions and 

test methods for these types of products. 

a. Water Heaters With Storage Volumes 

Between 2 Gallons (7.6 L) and 20 

Gallons (76 L) 

DOE’s current test procedures are not 

applicable to water heaters with storage 

tanks that are at or above 2 gallons (7.6 

L) and less than 20 gallons (76 L). In 

recent years, however, water heaters 

with such capacities have begun to 

populate the market. The definitions in 

the test procedure specify that 

instantaneous-type water heaters have a 

storage volume of less than two gallons 

(7.6 L) and that storage-type water 

heaters have a storage volume of 20 

gallons (76 L) or more. 10 CFR part 430, 

subpart B, appendix E, sections 1.7 and 

1.12. The definition for ‘‘Storage-type 

Water Heater of More than 2 Gallons 

(7.6 Liters) and Less than 20 Gallons (76 

Liters)’’ is currently reserved. Id. at 

section 1.12.5. DOE is tentatively 

planning to address this gap in coverage 

by prescribing definitions and test 

procedures specifically for water heaters 

with storage volumes at or above 2 

gallons (7.6 L) and less than 20 gallons 

(76 L). DOE seeks comment on the need 

for test procedures for products in this 

size range, as well as factors that should 

be considered when establishing a 

definition and test procedures for water 

heaters with storage volumes at or above 

2 gallons (7.6 L) and 20 gallons (76 L). 

Additionally, DOE seeks comment on 

the need to characterize water heaters 

by attributes other than storage volume, 

such as heating or delivery capacity. 

b. Electric Instantaneous Water Heaters 

DOE’s current test procedures do not 

contain a definition for electric 

instantaneous water heaters, but rather 

have a space reserved to define them. 10 

CFR part 430, subpart B, appendix E, 

section 1.7.1. However, EPCA defines 

electric instantaneous water heaters as 

having an input capacity of 12 kW or 

less, which impacts scope of coverage. 

(42 U.S.C. 6291(27)(B)) Electric 

instantaneous water heaters are tankless 

water heaters (with storage volumes at 

or below 2 gallons (7.6 L)) that utilize 

electric heating elements to heat water 

on demand. The heating power required 

for electric instantaneous water heaters 

intended for whole home applications is 

typically much higher than the power 

capability commonly found in storagetype electric water heaters. Given the 

emergence of electric instantaneous 

water heaters on the market, DOE is 

tentatively planning to address this gap 

in the test procedure by prescribing a 

definition specifically for electric 

instantaneous water heaters. DOE seeks 

comment on the need for a definition for 

these products. Although DOE is bound 

by EPCA to limit its regulations to units 

with an input capacity of no more than 

12kW, it also seeks comment on other 

factors to consider when establishing a 

definition for electric instantaneous 

water heaters. 

Additionally, DOE notes that the 

24-hour simulated use test in DOE’s test 

procedure for instantaneous water 

heaters at 10 CFR 430, Subpart B, 

Appendix E, section 5.2.4 is titled 

‘‘24-hour Simulated Use Test for Gas 

Instantaneous Water Heaters.’’ However, 

upon reviewing the procedure in section 

5.2.4 and the corresponding calculations 

in section 6 of the test procedure, DOE 

believes the test method is also 

applicable for electric instantaneous 

water heaters and is currently being 

used to determine the energy factor of 

those products. DOE plans to propose 

modifying section 5.2.4 to clarify the 

method for testing electric 

instantaneous water heaters and prevent 

confusion. DOE will also consider 

whether additional provisions may help 

clarify the test procedure as it applies to 

electric instantaneous water heaters. 

DOE seeks comments on the need to 

update its test procedure for 

determining the energy efficiency of 

electric instantaneous water heaters. 

c. Storage Water Heaters With Very 

Large Storage Capacities 

The current DOE test procedure for 

residential water heaters only applies to 

gas-fired water heaters with storage 

volumes less than or equal to 100 

gallons (379 L), electric storage water 

heaters with storage volumes less than 

or equal to 120 gallons (454 L), and oilfired water heaters with storage volumes 

less than or equal to 50 gallons (190 L). 

10 CFR part 430, subpart B, appendix E, 

sections 1.12.1, 1.12.2, and 1.12.4. In 

defining storage type water heaters, 

EPCA covers residential gas-fired 

storage water heaters with an input of 

75,000 Btu per hour or less, electric 

storage water heaters with an input of 

12 kilowatts or less, and oil-fired storage 

water heaters that have an input rating 

of 105,000 Btu/h or less. (42 U.S.C. 

6291(27)(A)) DOE is not aware of any 

residential water heaters available on 

the market with storage volumes above 

100 gallons, 120 gallons, and 50 gallons 

for gas-fired, electric, and oil-fired water 

heaters, respectively, that would be 

covered as residential products under 

EPCA. Due to the lack of water heaters 

with very large storage volumes that 

meet the definition of a residential 

water heater, DOE believes it is 

unnecessary to expand the scope of the 

test procedure to include gas-fired 

products over 100 gallons, electric 

products over 120 gallons, or oil-fired 

products over 50 gallons, and seeks 

comment on this conclusion. 

2. Draw Pattern 

The current residential water heater 

test procedure includes a 24-hour 

simulated-use test for determining 

energy factor. 10 CFR part 430, subpart 

B, appendix E, sections 5.1.5 and 5.2.4. 

The 24-hour test specifies that 6 draws 

of equal volume be removed from the 

water heater in the first 6 hours of the 

test for a total draw of 64.3 gallons (243 

L). Following the six draws, the water 

heater sits in an idle mode for the 

duration of the 24-hour test. Id. The 

draw pattern is the same regardless of 

the characteristics (e.g., storage volume, 

input capacity) of the water heater. 

Recent data 456 suggest that the draw 

pattern can impact the energy factor of 

a water heater and can potentially offer 

an advantage to one type of water heater 

technology over another. In addition, 

these studies suggest that the existing 

draw pattern in the simulated use test 

may not be representative of actual draw 

patterns to which water heaters are 

subjected in the field. DOE recognizes 

that different water heaters will be 

subjected to different field demands 

(consumer usage patterns) because of 

their operational or performance 

differences. For example, it is a 

reasonable expectation that a smallvolume storage water heater (e.g., 30 

gallons) designed for low-occupancy 

dwellings would not have to meet or be 

subjected to the same hot water demand 

or usage pattern that a large-volume 

water heater (e.g., 75 gallon) is designed 

to accommodate. Given this 

understanding, if DOE continues to use 

a simulated use test (DOE is also 

considering a series of discrete tests to 

replace the simulated use test; see 

section II.A.3 below), DOE will consider 

revising the draw pattern to be more 

representative of typical usage patterns 

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63214 Federal Register / Vol. 76, No. 197 / Wednesday, October 12, 2011 / Proposed Rules 

7 Docket number EE–2006–BT–STD–0129. The 

TSD is available online at: http:// 

www.eere.energy.gov/buildings/ 

appliance_standards/residential/ 

heating_products_fr_tsd.html. 

8For more information visit: http:// 

www.ashrae.org. 

experienced in the field. DOE may also 

consider amendments to its test 

procedure to provide for different draw 

patterns for different water heaters 

based upon the characteristics of each 

water heater, such as the amount of hot 

water the unit can provide, the storage 

volume, or the heating rate (i.e., input 

rate). DOE seeks comments on possible 

improvements that could be made to 

DOE’s existing 24-hour simulated use 

test procedure for water heaters. In 

particular, DOE seeks comments on 

typical residential hot water usage 

patterns (e.g., the number of draws 

during a day’s use, the timing of and 

spacing between those draws, the 

lengths of the draws, the flow rates at 

which those draws are taken) and 

considerations for establishing different 

draw patterns based on differing water 

heater characteristics. 

3. Discrete Performance Tests 

As noted above, DOE is considering a 

series of discrete tests as an alternative 

approach to using a 24-hour simulated 

use test in determining energy factor for 

residential water heaters. The results of 

the discrete tests would be used as 

inputs into an algorithm to calculate the 

energy factor. The discrete tests would 

determine factors such as thermal 

efficiency (or coefficient of performance 

(COP)), recovery efficiency, standby 

energy loss coefficient, and cycling 

losses. The results of these tests, and 

possibly other tests, could then be 

mathematically combined to calculate 

an energy factor rating. 

DOE believes that using the 

mathematically-combined results of 

discrete tests to calculate energy factor 

offers several benefits, but it also has 

some drawbacks when compared to 

using a 24-hour simulated use test. 

Discrete tests may lead to simpler, more 

repeatable tests, and DOE tentatively 

believes the results of discrete tests 

could potentially be used as inputs to 

simulation models for predicting energy 

consumption and that an array of 

different installations and field 

conditions could be modeled. However, 

DOE is uncertain of the feasibility of 

characterizing water heaters and 

developing an energy factor algorithm 

based on empirical data because it is not 

aware of any such algorithms that have 

been thoroughly proven to be effective 

at estimating the energy factor. Another 

challenge would be that the tests may 

need to vary for different technologies, 

thereby raising possible concerns about 

test equitability. DOE also notes that a 

simulated use test has the advantage of 

placing the same demand on any water 

heater suitable for a particular 

application, thereby arguably leading to 

a more equitable test. DOE seeks 

comments on the benefits and 

drawbacks of using a series of discrete 

performance tests in place of the current 

24-hour simulated use test for 

determining the energy factor of 

residential water heaters. DOE also 

requests comments on the feasibility 

and equitability of a series of discrete 

tests and possible approaches for 

establishing discrete tests that can result 

in an energy factor rating. 

4. Test Conditions 

a. Water Delivery Temperature 

The current residential water heater 

test procedure calls for hot water to be 

delivered at 135 °F +/¥ 5 °F (57.2 °C 

+/¥ 2.8 °C). 10 CFR part 430, subpart 

B, appendix E, section 2.4. However, the 

Underwriters Laboratories (UL) 

standards specify that manufacturers 

must ship residential water heaters with 

thermostats set at temperatures no 

greater than 125 °F (52 °C) to safeguard 

against scalding hazards. (UL 174, 

Standard for Household Electrical 

Storage Tank Water Heaters, 

Underwriters Laboratories (April 29, 

2004)) DOE’s research suggests that the 

majority of water heaters are shipped 

with the thermostat preset to 120 °F (49 

°C). In the analysis for the April 2010 

final rule amending energy conservation 

standards for water heaters, the 

Department estimated that the average 

set point temperature for a residential 

water heater was 124.2 °F (51.2 °C), with 

an estimated 61 percent of water heaters 

being installed with a set point at 120 

°F (49 °C). (For more information see 

chapter 7 of the technical support 

document (TSD) for DOE’s April 16, 

2010 final rule (75 FR 20112) for energy 

conservation standards for residential 

heating products.7) 

The set point impacts the 

performance of various types of water 

heaters differently, and as a result, DOE 

plans to reexamine the appropriateness 

of the set point specifications in the test 

procedure. A higher delivery 

temperature has a disproportionately 

large and negative impact on heat pump 

water heater efficiency, because heat 

pump water heaters can have markedly 

different performance at elevated stored 

water temperature compared to 

temperatures more representative of 

typical residential usage. For other types 

of water heaters, heat transfer 

characteristics between the heating 

source and the water may differ at lower 

delivery temperatures, thereby affecting 

efficiency. 

DOE notes that some end uses (e.g., 

dishwasher operation) require hot water 

delivered at 130 °F to 140 °F (54 °C to 

60 °C) for effective operation. While 

most of these machines contain booster 

heaters that can increase the water 

temperature, there are some machines 

not so equipped that require the water 

heater to be set to a higher temperature 

in order to operate properly. 

Additionally, concerns exist about the 

potential for the growth of Legionella in 

hot water stored below 135 °F (57 °C). 

ASHRAE Guideline 12, ‘‘Minimizing the 

Risk of Legionellosis Associated with 

Building Water Systems,’’ 8 states that 

the temperature range most favorable for 

amplification of legionellae bacteria is 

77–108 °F (25–42 °C), and that 

document recommends that when 

practical, hot water should be stored at 

temperatures of 120 °F (49 °C) or above. 

However, the guideline also states that 

for high-risk situations (such as in 

health care facilities and nursing 

homes), hot water should be stored 

above 140 °F (60 °C). 

DOE believes the test procedure for 

residential water heaters should be 

representative of the conditions 

typically encountered in the field. DOE 

also recognizes that not all water heaters 

in the field will be set at 135 °F (57 °C), 

because the majority of water heaters are 

shipped pre-set at 120 °F (49 °C), and 

DOE does not believe most consumers 

change their water heaters’ set points. 

DOE seeks comment on the appropriate 

set point temperature for the residential 

water heater test procedure. 

b. Ambient Temperature and Relative 

Humidity 

The residential water heater test 

procedure generally requires that testing 

be performed in an environment fixed at 

67.5 °F +/¥ 2.5 °F (19.7 °C +/¥ 1.4 °C). 

For heat pump water heaters, however, 

the environmental conditions are more 

tightly constrained at 67.5 °F +/¥ 1 °F 

(19.7 °C +/¥ 0.6 °C) and 50 percent +/ 

¥ 1 percent relative humidity, because 

the heat pump water heater energy use 

is highly dependent on the ambient 

temperature and relative humidity. 

Because water heaters are placed in a 

wide variety of locations within and 

outside of a home, and given the large 

impact of these factors on heat pump 

water heater efficiency, DOE plans to 

reexamine the ambient air test 

conditions specified in the test 

procedure in order to assess whether the 

currently-specified conditions are 

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Federal Register / Vol. 76, No. 197 / Wednesday, October 12, 2011 / Proposed Rules 63215 

9 In an August 2010 NOPR, DOE proposed to use 

the most recent version of this standard, ANZI 

Z21.56–2006. 75 FR 52892, 52899–901 (August 30, 

2010). 

10 DOE subsequently published an SNOPR for this 

rulemaking on September 13, 2011. 76 FR 56347. 

However, this SNOPR did not modify the proposal 

for integrated thermal efficiency contained in the 

August 2010 NOPR. 

representative of those conditions that 

are typically encountered in residential 

installations. Therefore, to help assess 

the ambient temperature and relative 

humidity requirements in the 

residential water heater test procedure 

for this rulemaking, DOE seeks 

comment on the appropriate ambient 

temperature and relative humidity 

testing points and tolerances for all 

types of residential water heaters. 

5. Other Issues 

DOE also seeks comments on other 

relevant issues that would affect the test 

procedures for residential water heaters. 

Although DOE has attempted to identify 

those portions of the test procedure 

where it believes amendments may be 

warranted, interested parties are 

welcome to provide comments on any 

aspect of the test procedure, including 

updates of referenced standards, as part 

of this comprehensive 7-year-review 

rulemaking. 

B. Test Procedure for Direct Heating 

Equipment 

1. Vented Hearth Heaters 

The vented home heating equipment 

test procedures are codified at 10 CFR 

430.23(o) and 10 CFR part 430, subpart 

B, appendix O. Appendix O provides for 

a complete evaluation of the efficiency 

of vented direct heating equipment in 

order to determine the product’s AFUE, 

which is the regulating metric set by 

EPCA. (42 U.S.C. 6291(22)(A)) In the 

April 2010 final rule adopting energy 

conservation standards for heating 

products, DOE established a separate 

product class of vented home heating 

equipment for vented hearth heaters, 

and determined that DOE’s test 

procedures in Appendix O would apply 

to vented hearth products. 

DOE is interested in whether the test 

procedure for vented home heating 

equipment is being applied uniformly 

for vented hearth heaters. This would 

apply to both the actual testing 

provisions and the application of the 

equations to determine annual 

efficiency (i.e., AFUE) and annual 

energy consumption. DOE currently 

believes that vented hearth heater 

manufacturers can use the existing test 

procedure provisions for manuallycontrolled vented heaters to produce 

uniform and representative measures of 

energy consumption and efficiency. 

However, DOE also believes that 

technical clarifications or other 

improvements designed to avoid nonuniform application should always be 

considered. To this end, DOE seeks 

information on any clarification, 

updates, or technical improvements that 

would allow for uniform and 

representative measures of energy 

consumption and efficiency across all 

vented hearth heaters. 

2. Other Issues 

DOE also seeks comments on other 

relevant issues that would affect the test 

procedures for residential direct heating 

equipment (both vented type and 

unvented type). Although DOE has 

attempted to identify those portions of 

the test procedure where it believes 

amendments may be warranted, 

interested parties are welcome to 

provide comments on any aspect of the 

test procedure, including updates of 

referenced standards, as part of this 

comprehensive 7-year-review 

rulemaking. 

C. Test Procedure for Pool Heaters 

1. Electric Pool Heaters 

DOE’s test procedures for pool heaters 

are found at 10 CFR 430.23(p) and 10 

CFR part 430, subpart B, appendix P. In 

its definition of ‘‘efficiency descriptor,’’ 

EPCA specifies that for pool heaters, the 

efficiency descriptor shall be ‘‘thermal 

efficiency.’’ (42 U.S.C. 6291(22)(E)) 

Further, EPCA defines the ‘‘thermal 

efficiency of pool heaters’’ as the 

‘‘measure of the heat in the water 

delivered at the heater outlet divided by 

the heat input of the pool heater as 

measured under test conditions 

specified in section 2.8.1 of the 

American National Standard for Gas 

Fired Pool Heaters, Z21.56–1986, or as 

may be prescribed by the Secretary.’’ (42 

U.S.C. 6291(26)) 9 As part of a recent test 

procedure rulemaking, DOE proposed a 

new efficiency metric for pool heaters, 

titled ‘‘integrated thermal efficiency.’’ 

75 FR 52892, 52899–901 (August 30, 

2010).10 The proposed integrated 

thermal efficiency metric builds on the 

existing thermal efficiency metric and 

includes the additional electrical energy 

consumption during standby mode and 

off mode operation, as required by EISA 

2007. (42 U.S.C. 6295(gg)(2)(A)) DOE 

notes that because current energy 

conservation standards for pool heaters 

do not account for standby mode and off 

mode energy use, manufacturers are not 

required to certify compliance using the 

integrated thermal efficiency metric at 

this time. Until such time as compliance 

is required with amended energy 

conservation standards that do account 

for standby mode and off mode energy 

consumption, manufacturers are to 

continue using the thermal efficiency 

metric for certification and compliance 

purposes. 

Certain types of pool heaters are 

powered by energy sources other than 

gas, and DOE believes that absent 

modifications, the currently 

incorporated ANSI Z21.56 test method 

for gas-fired pool heaters may not be 

appropriate for pool heaters that operate 

with electricity (including heat pump 

pool heaters) or oil. However, DOE 

notes that its test procedure for pool 

heaters at 10 CFR 430 Subpart B, 

Appendix P already contains slight 

modifications to allow the ANSI Z21.56 

test method to be applied to oil-fired 

pool heaters, and DOE does not believe 

further action is necessary for those 

products. In the December 2009 NOPR 

for energy conservation standards for 

heating products DOE determined that 

as currently drafted, the DOE test 

procedure for pool heaters is not 

suitable for electric pool heaters 

(including heat pump pool heaters), 

largely based upon the fact that EPCA 

specifies that ‘‘thermal efficiency’’ must 

be the efficiency descriptor for these 

products. DOE sought comment 

regarding potential ways to apply a 

thermal efficiency metric to electric 

pool heaters (including heat pump pool 

heaters). 74 FR 65852, 65866–67 (Dec. 

11, 2009). 

For electric pool heaters (including 

those units using heat pump 

technology), the relevant energy input is 

electricity instead of gas. ‘‘Thermal 

efficiency,’’ as determined using ANSI 

Z21.56, is a measure of heat in the water 

delivered at the heater outlet (in Btu/h) 

divided by the heat input (in Btu/h) of 

the fuel. It is possible to develop an 

integrated thermal efficiency rating for a 

heat pump pool heater by converting the 

power input in watts to the input in 

Btu/h. However, if such an integrated 

thermal efficiency metric were applied 

to heat pump pool heaters, DOE notes 

that the numerical result would be 

efficiency ratings of over 100 percent, 

which may cause confusion for 

consumers because heat pumps are 

typically rated using industry standards 

for Coefficient of Performance (COP). In 

contrast, electric pool heaters that 

operate with resistance heating (as 

opposed to heat pump technology), are 

typically rated with a thermal efficiency 

metric. Consequently, the ratings for 

electric pool heaters using these two 

competing technologies are not always 

directly comparable. Another 

consideration for heat pump pool 

heaters is that performance depends 

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63216 Federal Register / Vol. 76, No. 197 / Wednesday, October 12, 2011 / Proposed Rules 

upon the ambient temperature and 

humidity, so environmental conditions 

for testing are much more important for 

heat pump pool heaters than for gasfired pool heaters. 

In light of the above, DOE tentatively 

plans to update the pool heater test 

procedures by adding provisions to 

address electric heat pump pool heaters 

through use of a COP performance 

metric drawn from industry standards, 

coupled with a separate conversion to 

thermal efficiency (i.e., the regulating 

metric specified in EPCA) and 

integrated thermal efficiency (i.e., the 

new regulating metric, as amended by 

EISA 2007). Because there are currently 

no energy conservation standards for 

electric heat pump pool heaters, no 

certification or reporting would be 

required for those products until such 

time as DOE sets minimum energy 

conservation standards for those 

products (which will include energy 

consumption in active, standby, and off 

modes). However, after a test method is 

adopted for electric heat pump pool 

heaters, manufacturers would be 

required to use the DOE test method for 

making efficiency representations and 

would be able to use the COP metric, 

the integrated thermal efficiency metric, 

or both for making efficiency 

representations during this interim 

period. Compliance with the amended 

test procedure for representations 

purposes would be required 180 days 

after the date of publication of the test 

procedure final rule. Once DOE sets 

energy conservation standards for pool 

heaters, EPCA requires the use of the 

thermal efficiency metric. Therefore, if 

DOE were to set energy conservation 

standards for heat pump pool heaters, 

manufacturers would then be required 

to rate their products using the 

integrated thermal efficiency metric, 

although they would still have the 

option of making supplemental 

representations of efficiency using the 

COP metric. 

DOE requests comment on the 

applicability of the ANSI Z21.56 test 

method for pool heaters that are 

powered by energy sources other than 

gas. Additionally, DOE seeks comment 

on its tentative plans for updating the 

pool heater test procedure to include 

electric pool heaters and information on 

potential methods to apply the 

integrated thermal efficiency metric to 

electric pool heaters (including heat 

pump pool heaters). 

2. Other Issues 

DOE also seeks comments on other 

relevant issues that would affect the test 

procedures for residential pool heaters. 

Although DOE has attempted to identify 

those portions of the test procedure 

where it believes amendments may be 

warranted, interested parties are 

welcome to provide comments on any 

aspect of the test procedure as part of 

this comprehensive 7-year-review 

rulemaking. 

III. Public Participation 

DOE invites all interested parties to 

submit in writing by November 28, 

2011, comments and information on 

matters addressed in this notice and on 

other matters relevant to DOE’s 

consideration of amended test 

procedures for residential water heaters, 

direct heating equipment, and pool 

heaters. 

After the close of the comment period, 

DOE will begin collecting data, 

conducting relevant analyses, and 

reviewing the public comments. These 

actions will be taken to aid in the 

development of a test procedure NOPR 

for residential water heaters, direct 

heating equipment, and pool heaters. 

DOE considers public participation to 

be a very important part of the process 

for developing test procedures. DOE 

actively encourages the participation 

and interaction of the public during the 

comment period in each stage of the 

rulemaking process. Interactions with 

and between members of the public 

provide a balanced discussion of the 

issues and assist DOE in the rulemaking 

process. Anyone who wishes to be 

added to the DOE mailing list to receive 

future notices and information about 

this rulemaking should contact Ms. 

Brenda Edwards at (202) 586–2945, or 

via e-mail at 

Brenda.Edwards@ee.doe.gov. 

Issued in Washington, DC, on September 

29, 2011. 

Kathleen Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency, Office of Technology 

Development, Energy Efficiency and 

Renewable Energy. 

[FR Doc. 2011–25815 Filed 10–11–11; 8:45 am] 

BILLING CODE 6450–01–P 

SMALL BUSINESS ADMINISTRATION 

13 CFR Part 121 

RIN 3245–AG26 

Small Business Size Standards: 

Information 

AGENCY: U.S. Small Business 

Administration. 

ACTION: Proposed rule. 

SUMMARY: The U.S. Small Business 

Administration (SBA) proposes to 

increase small business size standards 

for 15 industries in North American 

Industry Classification System (NAICS) 

Sector 51, Information. As part of its 

ongoing comprehensive review of all 

size standards, SBA has evaluated all 

receipts based size standards in NAICS 

Sector 51 to determine whether the 

existing size standards should be 

retained or revised. This proposed rule 

is one of a series of proposals that 

examines size standards of industries 

grouped by NAICS Sector. The SBA 

issued a White Paper entitled ‘‘Size 

Standards Methodology’’ and published 

a document in the October 21, 2009, 

issue of the Federal Register that ‘‘Size 

Standards Methodology’’ is available on 

its Web site at http://www.sba.gov/size 

for public review and comments. The 

‘‘Size Standards Methodology’’ White 

Paper explains how SBA establishes, 

reviews and modifies its receipts based 

and employee based small business size 

standards. In this proposed rule, SBA 

has applied its methodology that 

pertains to establishing, reviewing and 

modifying a receipts based size 

standard. 

DATES: SBA must receive comments to 

this proposed rule on or before 

December 12, 2011. 

ADDRESSES: You may submit comments, 

identified by RIN 3245–AF26, by one of 

the following methods: (1) Federal 

eRulemaking Portal: http:// 

www.regulations.gov; follow the 

instructions for submitting comments; 

or, (2) Mail/Hand Delivery/Courier: 

Khem R. Sharma, PhD, Chief, Size 

Standards Division, 409 Third Street, 

SW, Mail Code 6530, Washington, DC 

20416. The SBA will not accept 

comments submitted by e-mail. 

SBA will post all comments to this 

proposed rule on http:// 

www.regulations.gov. If you wish to 

submit confidential business 

information (CBI) as defined in the User 

Notice at http://www.regulations.gov, 

you must submit such information to 

U.S. Small Business Administration, 

Khem R. Sharma, PhD, Chief, Size 

Standards Division, 409 Third Street, 

SW, Mail Code 6530, Washington, DC 

20416, or send an e-mail to 

sizestandards@sba.gov. You should 

highlight the information that you 

consider to be CBI and explain why you 

believe SBA should hold this 

information as confidential. The SBA 

will review your information and 

determine whether it will make the 

information public or not. 

FOR FURTHER INFORMATION CONTACT: 

Khem R. Sharma, PhD, Chief, Size 

Standards Division, (202) 205–6618 or 

sizestandards@sba.gov. 

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