[6450-01-P] DEPARTMENT OF ENERGY 10 CFRPart 430 [DocketNo. EERE-2009-BT-TP-0004] RIN 1904-AB94
Energy Conservation Program for Consumer Products: Test Procedures for Residential CentralAir Conditioners and Heat Pumps

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

ACTION: Supplemental notice ofproposed rulemaking.

SUMMARY: The U.S. Department ofEnergy (DOE orthe Department) proposed amendments to the DOE testprocedure for residential central air conditioners and heat pumps in a June 2010 notice ofproposed rulemaking (June 20I0NOPR) and in an April 20II supplemental notice of proposed rulemaking (April 2011 SNOPR). The amendments proposed in this subsequent SNOPRwould 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 withinthe scope ofthis test procedure rulemaking for addressing the off-mode energy consumption ofresidential central air conditioners and heat pumps.

IDATES: DOE will accept comments, data, and other informationregarding this supplemental notice ofproposed rulemaking (SNOPR) no later than [INSERTpATE}QDAYSAFTER DATEOFPlrBLICATlONINiTHEFEDERALREGIST"ER]. See section V, "Public Participation," ofthis SNOPRfor details.

ADDRESSES: Interested parties may submit comments, identified by docket number EERE2009-BT-TP-0004 or Regulation Identifier Number (RIN) 1904-AB94, by any ofthe following methods: I. Federal eRulemaking Portal: www.regulations.gov. Followthe 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 inthe subject line ofthe message. 3. Postal Mail: Ms. BrendaEdwards, u.S. Department ofEnergy, Building Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585- 0121. Ifpossible, 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 ofEnergy, Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 600, Washington, DC 20024. Telephone: (202) 586-2945. Ifpossible, 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.

2Instructions: No telefacsimilies (faxes) will be accepted. All submissions must include the docket number or RlN for this rulemaking. For detailed instructions on submitting comments and additional information onthe rulemaking process, see section V, "Public Participation," of this document.

Docket: The docket is available for review at www.regulations.gov, including Federal Register notices, framework documents, public meeting attendee lists and transcripts, comments, and other supporting documents/materials. All documents 

### inthe docket are listedin the \vww.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://wwwl.eere.energy.govlbuildings/appliance standards/residentiallresidential cac h p.html. This web page will contain a link to the docket for this notice onthe web site www.regulations.gov. The www.regulations.gov web page will contain simple instructions on how to access all documents, including public comments, in the docket. See section V, "Public Participation," for information on howto submit comments through regulations.gov.

For further information on howto submit or reviewpublic comments or view hard copies ofthe docket, contact Ms. BrendaEdwards at (202) 586-2945 or email: Brenda.Edwards{al,ee.doe.gov.

3

### FOR FURTHER INFORMATION CONTACT: AshleyAnnstrong, U.S. Department of Energy, Office ofEnergy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 1000 IndependenceAvenue, SW., Washington, DC 20585-0121. Telephone: (202) 586- 6590. Email: Ashley.Annstrong@ee.doe.gov. Ms. JenniferTiedeman, U.S. Department ofEnergy, Office ofthe General Counsel, GC-71, 1000 Independence Avenue, SW., Washington, DC 20585. Telephone: (202) 287-6111. Email: Jennifer.Tiedeman@hg.doe.gov.



### SUPPLEMENTARYINFORMATION: I. Authority and Background A. Authority B. Background II. SummaryoftheProposal III. Discussion A. Testing Burden and Complexity B. Individual Component Testing C. LengthofShoulder and Heating Seasons D. Proposed Test Methods and Calculations for Off-ModePower and Energy Consumption ofResidential Central Air Conditioners and Heat Pumps I. Provisions for Large Tonnage Systems 2. Special Requirements for Multi-Compressor Systems IV. Procedural Issues and RegulatoryReview A. Review UnderExecutive Order 12866 B. Review Underthe RegulatoryFlexibilityAct C. ReviewUnderthe Paperwork ReductionAct of 1995 D. Review Underthe National Environmental Policy Act of 1969 E. Review Under Executive Order 13132 F. Review UnderExecutive Order 12988 G. Review Underthe Unfunded Mandates Reform Act of 1995 H. Review Underthe Treasury and General GovernmentAppropriations Act, 1999 I. Review UnderExecutive Order 12630 J. Review Underthe Treasury and General Government Appropriations Act, 2001 K. Review UnderExecutive Order 13211 L. Review Under Section 32 ofthe Federal EnergyAdministrationAct of 1974 V. Public Participation A. Submission ofComments B. Issues on Which DOE Seeks Comment I. Theproposed equation for the calculation ofa system's off-mode rating;
42. 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 equationto adjust crankcase heaterpower drawfor systemswithmultiple compressors; 4. The estimate ofthe number ofsmall entities that may be impacted bythe proposedtest procedure; 5. The estimate ofthe impact oftheproposed test procedure amendments on small entities and its conclusionthatthis impact is not significant. VI. Approval ofthe Office ofthe Secretary



### I. Authority and Background A. Authority Title III, Part B ofthe Energy Policy and Conservation Act of 1975 (EPCA or the Act), Pub. 1. 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 withrated cooling capacities less than 65,000 Britishthermal units per hour (BtuIh) that
are the focus ofthis notice.! (42 U.S.C. 6291(1}-(2), (21) and 6292(a)(3»

Under EPCA, the program consists offour activities: (1) testing; (2) labeling; and (3) Federal energy conservation standards, and also (4) certification, compliance, and enforcement. Thetesting requirements consist oftestprocedures that manufacturers ofcovered products must
use as the basis for certifyingto DOE thattheir products comply with applicable energy conservation standards adoptedpursuantto EPCA and for representing the efficiency ofthose 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 coveredproducts comply with these energy conservation standards. (42 U.S.C. 6295(s» Under 42 U.S.C.6293, EPCA sets forth criteria and

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

### 5procedures for DOE's adoption and amendment ofsuch testprocedures. Specifically, EPCA provides that an amended testprocedure shall produce results which measure the energy efficiency, energy use or estimated annual operating cost ofa covered product over an average or representative period ofuse, and shall not be unduly burdensome to conduct (42 U.S.C. 6293(b)(3)) In addition, ifDOE determines that a test procedure amendment is warranted, it must publishproposed 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 testprocedure, DOE must determine the extent to which the proposedtestprocedure would change, ifat all, the measured efficiency ofa system which was tested under the existing test procedure. (42 U.S.C. 6293(e)(l)) IfDOE determines that the amended testprocedure would alter the measured efficiency ofa covered product, DOE must amend the applicable energy conservation standard accordingly. (42 U.S.C. 6293(e)(2)) The amendments proposed in today's SNOPRwill not alter the measured efficiency, as represented in the regulating metrics ofseasonal energy efficiency ratio (SEER) and heating seasonal performance factor (HSPF) ofresidential central air conditioners and heatpumps. 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 of2007 (EISA 2007), Pub. L. I 10-I40, which contains numerous amendments to EPCA. Section 3 I0 ofEISA 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 SNOPRincludes proposals relevant to these statutory provisions.



### 6

### DOE's existing test procedures for residential central air conditioners and heat pumps adopted pursuant to these provisions appear under Title 10 ofthe Code ofFederal Regulations (CFR) part 430, subpart B, appendix M ("Uniform Test Method for Measuring the Energy Consumption ofCentral 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 ofproposed rulemaking published in the Federal Register on June 2, 2010 (June 2010 NOPR; 75 FR31224) and at a public meeting at DOE headquarters in 

### Washington, D.C. on June 11,2010. 

### Subsequently, DOEpublished a supplemental notice ofproposed rulemaking (SNOPR)
on April 1,2011 in 

### response to comments received on the June 2010 NOPR, and due to the results ofadditional 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 SNOPRthat concern off-mode testing ofcentral air conditioners and heat pumps. DOE will subsequently address the remainder ofthe unrelated comments 

### in response to boththe June 2010 NOPR and April 2011 SNOPR 

### in the test procedure fmal rule.



### In the June 2010 NOPR, DOE proposed newlaboratory tests and calculation algorithms for determining the off-mode power and off-mode energy consumption ofresidential central air

7

### 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 ofthe year during which a residential central air conditioner or heat pump sits idle. The energy consumedby these products during these extendedtimes is not accounted for by the existing seasonal rating metrics ofSEER and HSPF.

One ofthe extended off-mode intervals was designated the "shoulder season" in the June 2010 NOPR. 75 FR 31239. The shoulder seasonfor central air conditioners is defined as the time between the cooling and heating seasons when the unitprovides 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 ofa residential central air conditioner or heat pump during the shoulder season (represented by the variable PI) and, for residential central air conditioners, the unit's average power consumption during the heating season (represented by the variable.!.2). 75 FR at 31238-39. The resulting average power values may then be multiplied by the number ofhours assigned to the shoulder and heating seasons to obtainthe corresponding off-mode energy values. In the June 2010 NOPR, DOEproposed an approach for assigning the number ofhours to the shoulder and heating seasons, as specified in ASHRAE Standard 137-

82009. Id. For any given location orfor each ofthe six DOE generalized climate regions,2 the sum ofthe hours in the cooling, heating, and shoulder seasons equals 8,760 hours. See Figures 2 and 3 ofl0 CFRpart 430, subpart B, appendix M. As proposed in the June 20I0 NOPR, annual operating cost calculations would represent operation ofa residential central air conditioner or heat pump over a complete 8,760-hour year, notjustthe cooling season (in the case ofa residential central air conditioner) orjustthe cooling and heating seasons (in the case ofa heat pump). Id. at 31238-39.

DOE included off-mode testing and calculations among the issues revisited in the April 2011 SNOPR as a result ofcomments received from interested parties inresponse to the originallyproposed off-mode tests and calculations, and as a result ofinformation gained from testing conducted by DOE after the close ofthe public comment period for the June 2010 NOPR. 76 FRat 18107-09. Most ofthe proposed revisions introduced in the April 2011 SNOPR applied to the laboratory testing ofunits with compressor crankcase heaters. Id. Ratherthan attempting to formulate a single generic testthat 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, betweenthermostatically controlled and continuously onheater designs, and between local and global thennostatic 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 ofthe compressor sump. Global

2 Each ofthe regions, which is labeled with Roman numbers from Ito VI, is representative ofa 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 ofratings. 

### 9control 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 ofglobal control is a heater that is powered or unpowered based on the temperature measured by an outdoor air thermostat. Id.

Most ofthe proposed revisions to the off-mode calculations setforth in the April 2011 SNOPR specified which laboratory test to conduct based on system characteristics**~,** presence ofcrankcase 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 proposedto account for use oflocal control, global control or a combination of local and global control. rd. Other calculation changes wereproposedto better balancetest 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 physicallytest. rd.
Finally, in light ofthe need for an overall off-mode rating for**~esidential** central air conditioners, DOE introduced an algorithm for weighting the shoulder season off-mode rating, PI, withthe heating season off-mode rating, P2. rd. at 18111. When PI and P2 are weighted based on the national average values for the lengths ofthe shoulder and heating seasons, the overall off-mode rating is specifically designated by the variable .E'w OFF. rd. The amended offmode energy conservation standards for central air conditioners are defined interms of.E'W.OFF and are set forth in the recently published direct final rule (DFR) for amended energy conservation standards for these products. 76 FR 37408, 3741 1(June 27, 2011).

10Stakeholders raised significant issues and suggested changes to the testprocedure proposals set forth inthe April 2011 SNOPR, as further described below. Based onthese comments and additional laboratory testing conducted byDOE, DOE's positionon these topics has evolved. Today's SNOPR shares DOE's currentposition onthe test procedure for residential central air conditioners and heat pumps, andprovides interested parties with an additional opportunity to comment onits proposedmethodology.

II. Summary ofthe Proposal Today's SNOPRrevisits the test methods and calculations for off-modepower and energy consumption, which were originallyproposed inthe June 2010 NOPR and modified in the April 20II SNOPR. DOE nowproposes to revise the off-mode testing procedures and calculation algorithms set forth inthe April 2011 SNOPRto shorten the duration and burden of the off-modetesting, while still adequately measuring the off-mode power consumption ofthe tested residential central air conditioner or heat pump. Specifically, DOE proposes that the applicable test and calculation combinationwill depend on whether the tested unit is equipped with a crankcase heater and whether ornot the crankcase heater operation is controlledbythe unit during the test. Furthermore, DOE proposes to alter the calculation for .EWOFF that is usedto determine the overall off-moderating for residential central air conditioners andheatpumps.

DOEproposes to makethe off-modetest procedure additions in today's SNOPR effective 180 days after publication ofthetest procedure final rule inthe Federal Register. By doing so, DOE would notrequire manufacturers to publishthe newrating metrics bythis time, but rather,

11wouldrequire that manufacturers use the amended testprocedure as ofthis date only ifthey wish to make representations ofthe off-mode energy consumption oftheir central air conditioners and heat pumps. Inaddition, DOE proposes to require thatthe 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 at 39245.

III. Discussion This sectionprovides discussion ofthe revisions and additions to the test procedure that DOE proposes in this SNOPR, based inpart on comments DOE received in response to the April 2011 SNOPR. Section m.D 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 CFR430, subpart B, appendix M, "Unifo=Test Method for Measuring the Energy Consumption ofCentral Air Conditioners and Heat Pumps" as part ofthis SNOPR.

A. Testing Burden and Complexity The majority ofcomments received following publication ofthe April 2011 SNOPR addressed the revised off-mode testing requirements. In ajoint comment, NorthwestEnergy Efficiency Alliance (NEEA) and Northwest Power Coordinating Council (NPCC) stated that the lack oftest dataprecludes an interested party from evaluating whether the proposed off-mode testmethodreasonably captures off-mode energy use. (NEEA and NPCC, No. 26 at pp. 

### 2-3i In

3Inthe following discussion, comments will bepresented along with a notation in the [ann "NEEA and NPCC, No. 26 at pp. 2-3," which identifies a mitten comment DOE received and included in the docket ofthis rulemaking. QOE numbers all comments based on when the comment was submitted in the rulemaking process. This particular 12anotherjoint comment, the Appliance Standards Awareness Project (ASAP), the American Council for anEnergy-EfficientEconomy (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 ofcrankcase heaters and crankcase heater controls. (CAIOUs, No. 23 at p. I)

Both the American Heating and Refrigeration Institute (AHRI) and Trane statedthat the proposed off-mode test procedure is unnecessarily complex. (ARRI, No. 24 at p. 1; Trane, No. 21 at p. I) AHRI further stated that it does not support DOE's proposed off-mode test procedure becausethe procedure is too expensive and will not achieve the desired result. (ARRI, No. 24 at p. I) Trane submitted similar comments, noting that the off-modeproposal will significantly increase testing time, thus adding to the cumulative regulatory burden. (Trane, No. 21 at p. I) In exploring an alternative to the off-mode test methodproposed inthe April 2011 SNOPR, AHRI questioned whetherthe same or similarresults couldbe achieved with minimal testing and/or analysis. (ARRI, No. 24 at p. I) AHRI went onto offer specific alternatives and modifications to DOE'sproposed off-mode test method, includingreducing the number ofsamples tested, using default values to reduce some ofthe test burden, and adding an alternative set ofmore component-based off-mode tests (see Section IILA). (AHRI, No. 28 at pp. 2, 6-7, and 

### 35-38)

notation refers to a comment by (1) by NEEA andNPCC, (2) in documentnumber 26 inthis docket, and (3) appearing on pages 2-3. 13DOE agrees withthejoint comment from ASAP, ACEEE and NRDC, and notes that one ofthe key objectives considered byDOE in amending the test procedure for residential central air conditioners and heatpumps is obtaining a reasonable balance betweentest burden and offmode ratings that sufficiently differentiate among products. Inresponse to the comment by NEEA andNPCC regarding insufficient data, DOE conducted additional testing for this SNOPR, whichis discussed in detail in section III.D, and collected additional data from stakeholders. Based on consideration ofcomments by AHRI and Trane, as well as results ofadditional laboratory testing, DOE also concurs that the added complexity and burden resulting from proposed changes in the April 20 11 SNOPR would outweighthe benefits ofdistinguishing among different types ofoff-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 offmode testprocedure to reduce the burden and complexity oftesting, while still achieving the intended purpose ofaccurately measuring off-mode power consumption. The methodology of this revised procedure is discussed in section III.D.

B. Individual Component Testing To reduce the testing burden and complexity, as discussed above, AHRI recommended a component-basedtesting approach and questioned the amount oftesting that should be required to determine off-mode ratings accurately for a productfamily. (AHRI, No. 28 at pp. 3-50) Specifically, AHRI recommended adding textto the Code ofFederal Regulations that would allow off-mode ratings to be obtainedin one oftwo ways: (1) bytesting a rniuimum oftwo units from eachbasic model group ofa given product family; or (2) by benchtesting a minimum of 10 samples ofeach componentthat contributes to off-mode energy use**(~,** eachtype ofcrankcase

14heater, eachtype ofcontroller, etc.) and then using the data obtained to conduct off-mode calculations. Withrespect to the first option, ARRIpointed out the need to define "product family" and offered the following proposed definition: "any set ofbasic model groups that have the same (orless) power consumption devices, including butnot limited to: control board, crankcase heater, timer(s), switches, etc." (AHRI, No. 28 at p. 4) According to ARRI's recommendation, two or more samples would betested using the full system, off-mode tests specified inthe April 2011 SNOPR. DOE believes that the purpose ofthe ARRI proposal is to identify a single off-mode rating for all central air conditioners or heat pumps ofthe same product family.

The second AHRI recommendation oftesting a minimum of 10 samples ofeachrelevant component would need to be done separately from the complete systemtesting conducted for determining the SEER and RSPF ofa particular unit. AHRI notes thatthis approach reduces the "overall testing burden by allowing non-psychometric room testing but yet increasers] confidence invalues byincreasing sample size." (AHRI, No. 28 at p. 4) According to ARRI, its proposed "short cut," or component-based testing approach, "maybe used for rating products only after the manufacturer verifies a single sampleusing the appropriate section 3.13 procedure [i.e., the off-mode tests specified inthe April 2011 SNOPR] and [that] the PI and P2 values measured via section 3.13 and calculated per section 3.14 [i.e., the AHRI component-based method] are within 10% ofeach other." (ARRI, No. 28 at p. 35) DOE views this approach as a

15variation ofits alternative rating method (ARM) or alternative energy determination method (AEDM)4 approach used for rating untested split system combinations for SEER and HSPF.

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 ofsufficient size, which is not less than two units, to determine the certified rating for the off-mode energy consumption ofa given product. With respect to AHRI's second recommendation ofusing ARMs to calculate off-mode energy consumption, DOE has an open rulemaking to address many issues associated with alternate methods ofdetermining the efficiency ofcentral air conditioners and heatpumps5 DOEplans to address the applicability of ARMsto the off-mode consumption measurement inthat rulemaking. While DOE agrees that both ofAHRI'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 limitthe use ofARMs or AEDMs, DOE believes that its own revised procedure is not unduly burdensome and that there is benefitto conducting off-mode tests in conjunction withthe tests for SEER and HSPF. Consequently, DOE is proposing an off-mode test procedure, which is detailed in section m.D, and comprises whole systemtesting, not testing or simulation of individual components.
..\ ARMs are computer simulations used to rate residential central air conditioners or heat pumps in lieu ofactual 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 notrequire DOE approval prior to use. 5 See DocketNumber EERE-20II-BP-TP-00024 at regulations.gOY for more information on the AEDM and ARM rulemaking. A request for information was published in the Federal Register on April 18,2011. 76 FR21673 (April 18,2011) 16C. Length ofShoulder and Heating Seasons DOEreceived several comments regarding DOE's approach proposed inthe June 2010 NOPR and repeated inthe April 2011 SNOPRfor assigning the number ofhours to the heating, cooling, and shoulder seasons based on cooling and heating load hour maps. See Figures 2 and 3 from 10 CFRpart430, subpart B, appendix M. NRDC asserted thatthe cooling load hour distribution is out ofdate and recommendedthat 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 seasonhours 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)

The commenters did not further elaborate on howDOE 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 onhowDOE should most appropriately use the results ofthese simulations. Stakeholders also did not provide results from either a previously completed analysis ofa 2009 IECC residential building or a revised set of
seasonhours based on TMY3 data that DOE could consider withinthe time frame ofthis rulemaking to substantiate stakeholder concerns that the current load distribution is out ofdate. Finally, there is no assurance that ifsuch a simulation were to be conducted by DOE thatthe

6 IECC standards are used to supportthe design and construction ofenergy 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 ofthese standards and map ofthe climate zones is available at http://recacodes.org/pagesfiecc2009.html. 7 TMY3 refers to a data set ofhourly values ofsolar radiation and meteorological elements for a I-year period recorded in 1,029 locations. This data set is compiledby the National Renewable Energy Laboratory (NREL) and allows for the simulation ofbuilding systems, such as central air conditioners or heat pumps in various locations. See http://rredc.nrel.gov/solar/old datalnsrdbl1991-2005ftmv31 for additional information. 17shoulder season homs calculated would meet stakeholder expectations. While DOE acknowledges that areview ofthe load hom 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 onthe DOE climate regions are adequate to determine typical performance ofa tested system.

Neither AHRI nor Trane explicitly suggested a methodfor updating the lengths of seasons, butboth disagreed with DOE's definition ofshoulder season and opinedthat the number ofhoms assigned to the shoulder season was high and neededto bere-evaluated. (AHRI, No. 24 at pp. 1-2; Trane, No. 21 at p. 1) Further, Trane expressed concernthat the off-mode homs reflected inthe April 2011 SNOPRwould be over-representative ofseveral 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 homs in a year to each ofthe seasons considered.
However, DOE believes that stakeholder concerns regarding the relative length of
seasons and consequent over-representationfor certain areas have merit. Since EPCA does not allow for regional off-mode standards, DOE is instead proposing a calculation methodthat is independent ofthe climate region andbin homs and will instead equally weight the two different powermeasmements in calculating the offmode metric. This approach is discussed in further detail below.

18D. 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 ofthe offmodetest method proposed inthe April 2011 SNOPR. BothNRDC and CAIOUs expressed their preferencethatmanufacturers be required to reportboththe central air conditioner's shoulder
season off-mode rating, PI, and its heating season off-moderating, P2, ratherthanto reportthe proposed combined off-mode rating, .!:WOFF. (NRDC, No. 22 at p. 3; CAIOUs,No. 23 at p. 1) AHRIproposed adding definitions for TOO, thetemperature at whichthe crankcase heater begins to cycle on, and TlOO, the temperature at whichthe crankcase heatermust operate continuously, withinthe amendedAppendix M. (AHRI, No. 28 atp. 10) Trane stated that definitions for TOO and T100 should notbe expressed interms ofambient temperature, but rather, in terms of crankcasetemperature for thoseunits that are thermostatically controlled. (Trane, No. 21 atp. 1) Because ofrevisions proposed in today's notice, DOE is no longer planning to use TOO or T1 00, andtherefore does not intend to add definitions for these terms in appendix M. Withrespect to NRDC's and CAlOUs' comments regarding certificationrequirements, DOE will considerthose issues as part ofthe regional standards enforcement rulemaking, through which it will address all ofthe reportingrequirements for central air conditioners and heat pumps. Pursuantto EPCA, DOE will beginthis rulemaking within 90 days ofissuing a final rule for residential central air conditioners and heatpmnps. (42 U.S.C. 6295(0)(6) (G)(ii)(I))
Further, both Trane and AHRI questioned the needto consider crankcase heater operation during the shoulder season, which would be represented by the outdoor temperature bins of57 OF, 62 OF, 67 OF, and 72 OF, according to DOE's proposal. (Trane, No. 21 at p. 1; AHRI, No. 24 at

19p. 2) AHRI commented that off-mode power consumption at 57 of 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 powermeasurementto begin five minutes after the end ofthe compressor run-time will not measure crankcase heater power correctly for heaters that are thermostatically controlled orthat 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 ofwhich 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 ofthese 124 systems were two-compressor systems. (AHRI, No. 30 at p.1) A summary ofAHRI's data, which were produced using the procedure inthe April 20 11 SNOPR, is contained below in Table 

### III-I: Table III-I: AHRI Off-Mode Data Average PWOFF Range (W) (W) Heat Pumps 69 32-103 Central Air Conditioners 122 45-136 Two Compressor Central Air 120.1 103-136 Conditioners and HeatPumps
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 maynot be representative ofthe 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 20compressors." This statement indicates that the average central air conditioner reflected inthis data is a high efficiency system withtwo compressors; DOE does not believe that such systems represent the average central air conditioner inthe marketplace. Further, the label on the data submittedby AHRl for the two-compressor systems indicates that the data are representative of both central air conditioners and heat pumps. However, the lowerbound ofthe range is greater than the higher bound ofthe heat pump range, which suggests that the data only comprise central air conditioners. DOE acknowledges AHRl's concerns, butbelieves that its own data are more representative ofthe market and chose to base the analysis onthis data.
Additionally, DOE disagrees withTrane 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 tum on during the shoulder season, anuncontrolled 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°F, 62 OF, 67 OF, 72 OF), but believes that testing at four temperatures is unnecessary and does not provide sufficient benefittojustifY the additional test burden. Withfour test temperatures, the intermediate points will be equal to either the higher test point orthe lower test point, depending onwhenthe crankcase heater turns on (because it is always either on or off). Based on this conclusion and the results ofthe additional testing, DOE agrees with stakeholder observations regarding test temperatures, andproposes to base the off-mode rating,J:w.OFF for units with a cooling capacity of36,000 Btulh or less, on an average ofwattages, PI and P2, which are recorded at two

21different outdoor ambient temperatures: 82 of for PI and 57 of for P2. For systems with crankcase heater controls, the higher temperature set point would measure the off-mode contribution from components other 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 betweenmeasurements taken at the two different temperatures. Consequently, DOE proposes to only test these systems at 82 OF and use this measured value for bothP2 and Pl. 

### Pi = 

### Pix

- P x, where, 

## lli= the overall system power draw at 82 OF, W, 

## Ex = the power draw at 82°F ofcomponents not associated withthe residential central air conditioner or heatpump, W, and 

### P2 = 

### P2x - P x, where, 

## ill= the overall system power draw at 57 OF, W.

Pland P2 are then combinedto calculate PWOFF :

- -**-~**


### Pi 

### + P2 PW,OFF = --2--

To address concerns from AHRI and Trane withrespect to time delay switches and the potential for inaccurate results due to a thermostat beingplaced on a warm compressor, DOE proposes to require the manufacturer to specify the presence ofthese components inthe

22

### installation manuals, so that the otI:mode tests for these systems may be run prior to the tests for SEER and HSPF. Running off-mode tests first would ensure thatthe time delay switch has not been activated and also that the thermostat will not be influenced by any heat from the compressorbecause the unit would not have yet beenrun. For units without these components and for units with time delay switches and for which there is no indication oftheir presence in their installation manual, the off-mode tests would be done after the steady state 'B' test8

. 

### DOE seeks comment on its equation for calculating a system's oil·mode rating. (See Issue I in section V.B, "Issues onWhich DOE Seeks Comment").

I. Provisions for Large Tonnage Systems For its off-mode analysis, DOE analyzed units with a cooling capacity ofthree tons (36,000 BtuIh), which is the capacity mostrepresentative ofunits inthe 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 operationbecause 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 powerthan 40 W crankcase heaters, which DOE observed in units atthe 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 nowproposing a scaling factor for units at capacities greater than the

8 As specified in Appendix M ofSubpart B to Part430 ofTitle 10 in the Code ofFederal Regulations, the 'B' test is a steady state test conducted at an outdoor ambient dry bulb inlet temperature of82 OF and an indoor ambient dry bulb inlet temperature of 80 OF. 23representative capacity of36,000 Btulh. This scaling factor wouldbe directly proportional to the cooling capacity and detennined by the following equation:

where, 

### Qc(95) F

sca1e = 36,000'
Qc(95) = the total cooling capacity at the A orA2 Test condition. This scaling factor wouldthen be appliedto the two powermeasurements, PI and P2, to determine fW.OFF as follows: 

### (PI 

## + P2)/2 

### P

W •OFF 

### = 

### F . scale
However, in its analysis DOE also found thatunits smallerthanthe 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 onthe manufacture and purchase ofsmaller central air conditioning systemsthat otherwise would be right-sized for smaller or more efficienthomes by setting an exceedingly stringent off-mode standard. Consequently, DOE is notproposingto apply a scaling factor to units whichhave a cooling capacity that is less than that oftherepresentative capacity. DOE seeks comment onboththe necessity ofa scaling factor for large tonnage units, and its approach ofmakingthis factor directly proportional to capacity. (See Issue 2 in section V.B, "Issues on Which DOE Seeks Comment").



### 242. Special Requirements for Multi-Compressor Systems DOE is also aware that certain high efficiency residential central air conditioners and heat pumpsthat utilize a two compressordesignto provide varying levels ofcooling. With different capacitycompressors operating at close to full load, the two-compressorunit is able to operate
more efficiently and achieve a higher efficiency rating thanwould be possible with a single compressor. Because there are two compressors inthese units, it is likelythatthe system would have two crankcaseheaters (one for each compressor), which would result in higher off-mode power consumptionbecause ofthe significant affect that crankcase heaters have on a system's off-modepower consumption. However, DOE's analysis for the June 2010NOPRand the April 2011 SNOPR did not account for this type ofunit, and DOE does not want to preventthese high efficiencyproducts 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 compressorbasis for multi-compressor systems with controlled crankcase heaters using the following equation:

where, 

### P2x - Pix P2 = 

### --b:---j::,--"---- 

## + Pi, 

### num er 0 

### compressors

Pix = overall systemmeasuredpower draw at 82 

### OF, W; 

### P2x = overall system measuredpower draw at 57 

### OF, W. This equation isolates and averages the power draw associated with the crankcase heaters because, as mentionedpreviously, DOE believes that units with controlled crankcase heaters wouldhave the crankcase heater offat the PI temperature of82 

### OF and on at the P2 temperature of57 

### OF. This beliefis based on manufacturerinterviews during the standards rulemaking, as well as ontesting done following the April 2011 SNOPR.
25For systems withuncontrolled crankcaseheaters, DOErecognizes that there is a needto isolate the crankcase heater power in order to normalize it on a per compressorbasis. Multicompressor systems with controls are likely to have crankcase heaters offduring the 

### PI test and
on during the P2 test, which allows for the first term inthe equation above to determine the crankcase heater power. However, inthese cases, the 

### PI test would yield incorrectresults because the power consumption ofthe components not associated withthe residential central air conditioner or heat pump would have to be divided by the number ofcompressors, while the number ofcontrols does not scale withthe number ofcompressors. Therefore, DOEproposes to require a slightly different approach to determine the offmodepower consumption ofthese 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 shouldbe recorded as 

### PI D. Next, the average power draw on a per compressor basis should be calculated by dividing the difference between the overall systempower draws 

## CI'l.x and PI!)). Thenthis difference shouldbe combined withthe previouslyrecorded PI D : 

### P1x - 

### P1 D 

### P1 = 

## +P1 D, 

### number ofcompressors where, 

### PI D = the measured powerdraw withthe crankcase heater disconnected, W. DOE seeks comment on the use ofthis equation to calculate an average power draw and for determining the off-mode rating for multiple compressor units. (See Issue 3 in section V.B, "Issues on Which DOE Seeks Comment.")



### 26

### IV. ProceduralIssues and Regulatory Review

A. ReviewUnder Executive Order 12866 The Office ofManagement andBudget (OMB) has determined thattestprocedure rulemalcings do not constitute "significant regulatory actions" under section 3(f) ofExecutive Order 12866, Regulatory Planning and Review, 58 FR 51735 (Oct. 4,1993). Accordingly, 

### this proposed action wasnot subjectto review underthe Executive Orderby the Office of Information and Regulatory Affairs (OIRA) 

### inthe OMB.

B. ReviewUnderthe Regulatory FlexibilityAct The Regulatory FlexibilityAct (5 U.S.C. 601 et seq.) requires preparation ofaninitial regulatory flexibility analysis (IRFA) for any rule proposed forpublic comment, unless the agency certifies thatthe rule, ifpromulgated, will nothave a significant economic impact on a substantial number ofsmall entities. As required by Executive Order 13272, "Proper Consideration ofSmall Entities inAgency Rulemaking," 67 FR 53461 (Aug. 16,2002), DOE publishedprocedures and policies on February 19,2003, so thatthe potential impacts ofits rules
on small entities are properly considered during the rulemaking process. 68 FR 7990. DOE has made its procedures and policies available onthe Office ofthe General Counsel's website: www.gc.doe.gov.

DOE reviewed today'sproposed rule, which would amendthetestprocedure for residential central air conditioners and heatpumps, underthe provisions ofthe Regulatory FlexibilityAct and theprocedures andpolicies published on February 19,2003. DOEtentatively

27concludes and certifies that the proposed rule, ifadopted, would not result in a significant impact
on a substantial number ofsmall entities. The factual basis for this certification is set forth
. below.

For the purpose ofthe regulatory flexibility analysis for this rule, the DOE adopts the Small Business Administration (SBA) definition ofa 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, bythe 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 FR29192,29203 (May 21, 2004); see also 65 FR 30836,30850 (May 15, 2000), as amended at 65 FR 53533,53545 (Sept. 5,2000). The size standards are codified at 13 CFRpart 121. The standards are listed byNorth American Industry Classification System (NAICS) code and industry description and are available at wViw.sba.gov/idc/groups/public/documents/sba homepage/serv sstd tablepdf.pdf.

Residential central air conditioner and heat pump equipment manufacturing is classified underNAICS 333415, "Air-Conditioning and Warm Air Heating Equipment and Commercial and Industrial Refrigeration EquipmentManufacturing." 70 FR 12395 (March 11, 2005). DOE reviewed AHRI's listing ofresidential central air conditioner and heat pump product manufacturer members and surveyed the industry to develop a list ofdomestic manufacturers. As
aresult ofthis review, DOE identified 22 manufacturers ofresidential central air conditioners and heat pumps, ofwhich 15 would be considered small manufacturers with a total of approximately 3 percent ofthe market sales. DOE seeks comment on its estimate ofthe number

28ofsmall entities that may be impacted by the proposedtestprocedure. (See Issue 4 in section V.B, "Issues onWbich 

### DOE Seeks Comment").

Potential impacts ofthe proposed test procedure on all manufacturers, including small businesses, come from impacts associated with the cost ofproposed additional testing. 

### DOE estimates the incremental cost ofthe proposed additional tests described in 10 CFRpart 430, subpart B, appendix M (proposed section 3.13) to be an increase of$l,OOO to $1,500 perunit tested. This estimate is based onprivate testing services quoted onbehalfof

### DOE in the last two years for residential central air conditioners and heat pumps. Typical costs for nmning 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 ofrunning the extra tests is the same for all manufacturers, 

### DOE believes that all manufacturers would incur comparable costs for testing ofindividual basic models as aresult ofthe proposed test procedure. 

### DOE expects that small manufacturers will incur less testing expense compared with larger manufacturers as a result ofthe 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. 

### DOErecognizes, however, that smaller manufacturers may have less capital available over which to spread the increased costs oftesting.



### 29DOE compared the cost ofthe testing to the total value added bythe manufacturers to determine whether the impact ofthe proposedtest procedure amendments is significant. The value added represents the net economic value that a business creates when ittakes manufacturing**inputs~,** materials) and turns them into manufacturing**outputs~,** manufactured goods). Specifically, as definedbythe u.S. Census, the value added statistic is calculated as the total value ofshipments (products manufactured plus receipts for services rendered) minus the cost ofmaterials, supplies, containers, fuel, purchased electricity, and contract work expenses.

DOE analyzed the impact onthe smallest manufacturers ofresidential 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 ofthe 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 ofthe Census, American Factfinder, 2002 Economic Census, Manufacturing, Industry Series, Industry Statistics by Employment Size, http://factfindeLcensus.gov/servletlEconSectorServlet? lang='en&ds name=EC0200Al& Secto rId=31& ts=288639767147). The average annual value for manufacturers in this size range from the census data was $1.26 million in 2001$, perthe 2002 Economic Census, or approximately $1.52 million per year in 2009$ after adjusting for inflation using the implicitprice deflator for gross domestic product (U.S. Department ofCommerce Bureau ofEconomic Analysis, www.bea.gov/national/nipaweb/SelectTable.asp).

30DOE also examinedthe average value added statistic providedby census for all manufacturers with fewer than 500 employees inthis NArCS classification as the most representative value from the 2002 Economic Census data ofthe residential central air conditioner manufacturers with fewer than 750 employees that are considered small businesses bythe 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 concludedthat the additional costs for testing ofa single basic model productunder the proposedrequirements wouldbe approximately 0.1 percent ofannual value added for the 5 smallest firms, and approximately 0.02 percent ofthe average annual value added for all small residential central air conditioner orheat pump manufacturers (15 firms). DOE estimates that testing ofbasic models may not have to be updated more than once every 5 years, and therefore the average incremental burden oftesting one basic model may be one fifth ofthese values when the cost is spread over several years.

DOErequires that onlythe highest sales volume split system combinations be laboratory tested. 10 CFR430.24(m). The majority ofresidential 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 ofthese units. DOE reviewed the available data for five ofthe smallest manufacturers to estimatethe incrementaltesting cost burdenfor those small firms that might experience the greatestrelative burden from the revisedtest procedure. These manufacturers had an average of 10 models

31requiring testing (AHRI Directory ofCertified Product Performance, www.ahridirectory.orglahridirectory/pageslhome.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 lastthe product life, estimated to be at least 5 years based onthe time frame established in EPCA for DOEreview of residential central air conditioner efficiency standards. This test burden is therefore estimated to be approximately 0.2 percent ofthe estimated 5-yearvalue added for the smallestfive manufacturers. DOE believes thatthese costs are not significant given other, much more significant costs that the small manufacturers ofresidential central air conditioners andheat pmnps incurin the course ofdoing business. DOE seeks comment on its estimate ofthe impact ofthe proposedtest procedure amendments on small entities and its conclusionthat this impact is not significant.(See Issue 5 in section V.B, "Issues on WhichDOE Seeks Comment").
Accordingly, as stated above, DOEtentatively concludes and certifies that this proposed rule would nothave a significant economic impact on a substantial nmnber ofsmall entities. Accordingly, DOE has notprepared an initial regulatory flexibility analysis (IRFA) for this rulemaking. DOE will provide its certification and supporting statement offactual basis to the ChiefCounsel for Advocacy ofthe SBA for review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995 Manufacturers ofresidential central air conditioners and heatpumps must certify to DOE that theirproduct complies with any applicable energy conservation standard. In certifying compliance, manufacturers musttest their product according to the DOE testprocedure for

32residential central air conditioners and heatpumps, including any amendments adopted for that testprocedure. DOE has proposed regulations for the certification and recordkeeping requirements for all covered consumerproducts and commercial equipment, including residential central air conditioners and heat pumps. 75 FR 56796 (Sept. 16,2010). The collection-ofinformationrequirement for the certification and recordkeeping is subject to review and approval by OMB under the PaperworkReduction Act of 1995 (PRA). This requirement has been submittedto OMB for approval. Public reporting burdenfor the certificationis estimatedto average 20 hours perresponse, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the dataneeded, and completing and reviewing the collection ofinformation.

D. Review Under the National Environmental Policy Act of 1969 Inthis proposed rule, DOE proposes amendments to test procedures that may be usedto implement future energy conservation standards for residential central air conditioners and heat pumps. DOE has determined that this rule falls into a class ofactions that are categorically excluded from review under the National Environmental PolicyAct 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 inDOE's NEPA regulations in appendix A to subpart D, 10 CFRpart 1021. This rule will not affect the quality or distribution ofenergy usage and, therefore, will notresult in any environmental impacts. Accordingly, neither an environmental assessment nor an environmental impact statementis required.E. Review Under Executive Order 13132 Executive Order 13132, "Federalism," 64 FR43255 (Aug. 4,1999), imposes certain requirements on agencies formulating and implementingpolicies or regulations that preempt State law orthat have Federalism implications. The Executive Order requires agencies to examine the constitutional and statutory authority supporting any actionthat would limit the policyrnaking discretion ofthe 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 ofregulatorypolicies that have Federalism implications. OnMarch 14, 2000, DOEpublished a statement ofpolicy describing the intergovernmental consultationprocess it will follow in the development ofsuch regulations. 65 FR 13735. DOE has examinedtoday's proposed rule and has determined that it does not preempt State law and does not have a substantial direct effect onthe States, onthe relationship between the national government and the States, or on the distribution ofpower and responsibilities among the various levels ofgovernment. EPCA governs and prescribes Federal preemption ofState regulations as to energy conservation for the products that are the subjects of today's proposedrule. States canpetition DOE for a waiver ofsuch preemption to the extent, and based on criteria, set forth inEPCA. (42 U.S.C. 6297) No further action is required by Executive Order 13132.

F. ReviewUnder Executive Order 12988 With respect to the review ofexistingregulations and the promulgation ofnew regulations, section 3(a) ofExecutive Order 12988, "Civil Justice Reform," 61 FR4729 (Feb. 7, 1996), imposes on Federal agencies the general duty to adhere to the following requirements: (I)

34eliminate drafting errors and ambiguity; (2) write regulations to minimize litigation; (3) provide
a clear legal standard for affected conductrather than a general standard; and (4) promote simplification and burdenreduction. Section 3(b) ofExecutive Order 12988 specificallyrequires thatExecutive agencies make everyreasonable effort so that the regulation: (1) clearly specifies the preemptive effect, ifany; (2) clearly specifies any effect on existing Federal lawor regulation; (3) provides a clear legal standard for affected conduct while promoting simplification and burdenreduction; (4) specifies the retroactive effect, ifany; (5) adequately defines key terms; and (6) addresses other important issues affecting clarity and general draftsmanship under any guidelines issued bythe United States Attorney General (Attorney General). Section 3(c) ofExecutive Order 12988 requires Executive agencies to review regulations in light ofapplicable standards in sections 3(a) and 3(b) to determine whether they
are met or it is unreasonable to meet one or more ofthem. DOE has completed the required review and determined that, to the extent permitted by law, the proposed rule meetsthe relevant standards ofExecutive Order 12988.

G. ReviewUnder the Unfunded Mandates Reform Act of 1995 Title II ofthe Unfunded Mandates Reform Act of 1995 (UMRA; Pub. 1. 104-4, codified at 2 U.S.c. 1501 et seg.) requires each Federal agency to assess the effects ofFederal regulatory actions on State, local, and Tribal governments and the private sector. Forproposed regulatory actions likely toresult in a rule that may cause expenditures by State, local, and Tribal governments inthe aggregate or bythe private sector of$100 million or more in anyone year (adjusted annually for inflation), section 202 ofUMRArequires a Federal agency to publish estimates ofthe resulting costs, benefits, and other effects on the national economy. (2 U.S.C.

351532(a), (b)) UMRA also requires a Federal agency to develop an effective process to permit timelyinputby elected officers ofState, local, and Tribal governments on a proposed "significant intergovernmental mandate" and requires an agencyplan for giving notice and opportunity for timelyinputto potentially affected small governments before establishing any requirements that might significantly or uniquely affect small governments. On March 18, 1997, DOEpublished a statement ofpolicy onitsprocess for intergovernmental consultationunder UMRA. 62 FR 12820. (This policy is also available at www.gc.doe.gov.) Today's proposed rule contains neither an intergovernmental mandate nor a mandate thatmay resultinthe expenditure of$100 million or more in any year, so these requirements do not apply.

H. ReviewUnderthe Treasury and General GovernmentAppropriations Act, 1999 Section 654 ofthe Treasury and General Government Appropriations Act, 1999 (Pub. L. 105-277)requires Federal agencies to issue a FamilyPolicymaking Assessment for any proposed rule that may affect family well-being. Today's proposedrule would not have any impact on the autonomy or integrity ofthe family as an institution. Accordingly, DOE has concludedthat it is unnecessaryto prepare a Family PolicymakingAssessment.
1, ReviewUnder Executive Order 12630 DOE has determined, under Executive Order 12630, "Governmental Actions and Interference with ConstitutionallyProtected PropertyRights," 53 FR 8859 (March 15, 1988), that this proposed regulation, ifpromulgated as a final rule, would notresult in anytakings that mightrequire compensationunder the Fifth Amendmentto the U.S. Constitution.

36

### L ReviewUnderthe Treasury and General Government Appropriations Act, 2001 Section 515 ofthe Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516, note) provides for agencies to reviewmost disseminations ofinformationto the public under guidelines established by each agency pursuantto general guidelines issued by OMB. The OMB's guidelines were published in 67 FR 8452 (Feb. 22, 2002), and DOE's guidelines werepublished at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed today'sproposed rule under the OMB and DOE guidelines and has concludedthat it is consistent with applicable policies inthose guidelines.

K. Review Under Executive Order 13211 Executive Order 13211, "Actions Concerning Regulations That SignificantlyAffect Energy Supply, Distribution, or Use," 66 FR28355 (May 22,2001),requires Federal agencies to prepare and submitto OIRA, Office ofManagement and Budget, a Statement ofEnergy Effects for anyproposed significant energy action. A "significant energy action" is defined as any action by an agencythatpromulgated or is expectedto lead to promulgation ofa 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 onthe supply, distribution, or use ofenergy; or (3) is designated bythe Administrator ofOIRA as a significant energy action. For anyproposed significant energy action, the agency must give a detailed statement ofany adverse effects on energy supply, distribution, or use shouldthe proposal be implemented, and ofreasonable alternatives to the action and their expected benefits on energy supply, distribution, and use.

37Today's regulatory action would not have a significant adverse effect onthe supply, distribution, or use ofenergy and, therefore, it is not a significant energy action. Accordingly, DOE has notprepared a Statement ofEnergy Effects.

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

V. Public Participation

A. Submission ofComments DOE will accept comments, data, and other information regarding the SNOPRno later than the date provided in the DATES section at the beginning ofthis notice. Interested parties



### 38may submit comments using any oftbe methods described in tbe ADDRESSES section attbe beginning ofthis rulemaking.
Submitting comments viaregulations.gov. TheWVvw.regulations.gov webpage will require you to provide yomname and contact information. Your contact information will be viewableto DOE BuildingTechnologies staffonly. Yom contactinformation will not be publicly viewable except for yourfirst and lastnames, organizationname (ifany), and submitter representative name (ifany). Ifyom commentis notprocessedproperly because oftechnical difficulties, DOE will usethis informationto contact you. IfDOE cannotread yom comment due to technical difficulties and cannot contact you for clarification, DOE may notbe able to consider yom comment.
However, yom contact information will be publicly viewable ifyou include it in tbe commentorin any documents attached to yom comment. Any informationthatyou do not want to be publicly viewable should notbe includedinyom comment, nor in any document attached to yom comment. Persons viewing comments will see only first and lastnames, organization names, correspondence containing comments, and any documents submitted withtbe comments.

Donot submit to regulations.gov information for which disclosme is restricted by statute, such as trade secrets and commercial or financial information (hereinafterreferred to as Confidential Business Information (CBI». Comments submittedthroughregulations.gov cannot be claimed as CBl. Comments received through the website will waive any CBI claims for tbe

39infonnation submitted. Forinfonnation on submitting CEl, see the Confidential Business Infonnation section.

DOEprocesses submissions made through regulations.gov beforeposting them online. Nonnally, comments will be posted within a few days ofbeing submitted. However, iflarge volumes ofcomments are processed simultaneously, your commentmay notbe 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 email, hand delivery, or mail. Comments and documents submitted via email, hand delivery, or mail also will bepostedto regulations.gov. Ifyou do not want your personal contact infonnationto be publicly viewable, do not include it inyour comment or any accompanying documents. Instead, provide your contact infonnation 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 infonnation eachtime you submit comments, data, documents, and other infonnationto DOE. Email submissions are preferred. Ifyou submit via mail or hand delivery, pleaseprovide all items on a CD, iffeasible. It is not necessary to submitprinted copies. No telefacsimiles (faxes) will be accepted.

40Comments, data, and otherinformation submittedto DOE electronically shouldbe provided in PDF (preferred), Microsoft Word orExcel, WordPerfect, or text (ASCII) file format. Provide documents that are not secured, are written in English, and are free ofany defects or viruses. Documents should not contain special characters or any form ofencryption and, if possible, they should carry the electronic signature ofthe author.
Campaign form letters. Please submit campaign form letters by the originating organization inbatches ofbetween 50 and 500 form letters perPDF, or as one form letter with a list ofsupporters' names compiled into one or more PDFs. This reduces commentprocessing 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 bylaw from public disclosure should submit via email, postal mail, orhand delivery two well-marked copies: one copy ofthe document marked confidential including all the information believedto be confidential, and one copy ofthe document marked non-confidential with the informationbelievedto be confidential deleted. Submitthese documents viaemail or on a CD, iffeasible. DOE will make its own determination about the confidential status ofthe information and treat it according to its determination.

Factors ofinterest to DOE when evaluating requests to treat submittedinformation as confidential include: (1) a description ofthe items; (2) whether and why such items are customarily treated as confidential within the industry; (3) whether the information is generally

41

### 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 ofthe 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 oftime; and (7) why disclosure ofthe information would be contrary to the public interest.

It

### is DOE'spolicy that all comments may be included inthe 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 ofthis rulemaking, DOE is particularly interested in receiving comments on the following issues: 1. Theproposed equation for the calculation ofa 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 ofthe impact ofthe proposed test procedure amendments on small entities and its conclusion that this impact is not significant.

42VI. Approval ofthe Office ofthe Secretary The Secretary ofEnergyhas approved publication ofthis SNOPR.

List ofSubjects in 10 CFR Part 430 Administrativepractice and procedure, Confidential business information, Energy conservation test procedures, Household appliances, Imports, Intergovernmental relations, Small businesses.

Issued inWashington, DC, on September 29,2011.

43For the reasons set forth inthe preamble, DOE proposesto amendpart 430 ofchapterII, subchapterD, oftitle 10 ofthe Code ofFederal 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 ofpart 430 is amended as follows:
a. In section 1, DefInitions, by:
1. Redesignating sections 1.13 through 1.47 as follows: Old sections 1.13 1.14 to 1.16 1.17 1.18 to 1.42 1.43 to 1.47 New sections 1.14 1.17 to 1.19, respectively, 1.15 1.21 to 1.45, respectively, 1.47 to 1.51, respectively.

ii. Adding new sections 1.13, 1.16, 1.20, and 1.46. 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 section4, Calculations ofSeasonal Performance Descriptors, by: i. Adding sections 4.2.6 through 4.2.6.2.4; 4411. 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 orheatpump where the indoor-side refrigerant-to-air heatexchanger coil is packaged inthe same cabinet as the indoor blower. All single-packaged units are blower coiltmits; split-systemunits may be either blower coil units or coil-only units. 

## * * * * * 1.16 Coil-only unit means a split-system residential central air conditioner or splitsystemheatpump 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. 

## * * 

# • * * 1.20 Crankcase heater includes all devices and mechanisms for intentionally generating heat within and/or around the compressor sump volume to minimize the diluting ofthe compressor's refrigerant oil by condensedrefrigerant. 

## * * * * 

## *

451.46 Time delay switch orrelay means, withrespect to off-mode testing, a device that controls the crankcase heater and prevents the crankcase heater from turning onuntil the unit has been offfor a specified amount oftime. 

## * * 

## * * * 2.2. 

## * * * * * 

## * 

# • • d. Whentesting coil-only residential central air conditioners and heat pumps, install a toroidal type transfo=erto powerthe low-voltage components ofthe coil-only system. The manufacturer shall designate any additional specification for this transfo=er. Ifthe manufacturer does not so designate, use a transfo=erhaving the following features: a nominal V-amp ratingthatresults in the transfo=erbeing loaded from 25 and 90 percentbased on the highest power value expected and then confi=ed during the off-modetest; designed to operate with a primary input of230 V, single phase, 60 Hz; and that provides an output voltage thatis within the allowed range for each low-voltage component. Thepower consumption ofthe labadded low-voltage transfo=er, and the components connected to it, must be measured as part of the total system power consumption during the off-mode tests. This total systempower for the coil-only unit, however, must thenbe reduced by the power consumedby the lab-added transfo=er 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 perfo=ance ofthe unit when conducting an already completed test, thenrepeat 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



### 46velocity pressure during an ONperiod at the same pressure difference or velocity pressure as measured during the steady-statetest conducted at the sametest conditions. b. Usethe testing procedures in this section to collectthe data used for calculating:

1. Performance metrics for residential central air conditioners and heatpumps 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. Forresidential heat pumps, the shoulder season is the only off-mode season. 

## * * * 

## * * 3.13 Laboratory testing to determine off-mode average powerratings. 3.13.1 Determine ifthe residential central air conditioner or heat pump has a compressor crankcaseheater (see definition 1.20). Ifso equipped, detennine from the manufacturer ifthe compressor crankcase heater's onJoffoperation is regulated or is unregulated, with the heater operating continuously whenthe compressor is off. Also determine from the manufacturer ifthe crankcase heater is regulated with a time delay relay (see definition 1.46) orhas thermostat
sensor located onthe compressor shell. Use Table 17 to determine the required test methods based on the presence ofa crankcase heater and how it is controlled.

3.13.2 For residential central air conditioners or heatpumps not having a compressor crankcase heater or having a crankcase heating which is unregulated, conduct the following offmode test.



### 473.13.2.1 Configure the controls ofthe residential central air conditioner or heatpump to mimic the operating mode as ifconnectedto a building thermostat that is set to the OFF position. No requirements areplaced on the ambient conditions withinthe indoor and outdoortest rooms. The room conditions are allowed to change for the duration ofthis particulartest. 3.13.2.2 After the controls have been configured, wait at least 2 minutes. Then integrate the power consumption ofthe residential central air conditioner or heatpump over a 5-minute interval. This integrated power consumptionmust includethe power consumed by the lowvoltage transformer and the low-voltage components connected to it. Calculate the average power consumptionrate for the integrationinterval and designate it as

## £.lx. 3.13.2.3 Coil-only system (see defmition 1.16) power adjustment: Disconnect all lowvoltage wiring from the low-voltage transformer and integrate the power consumption ofthe fully unloaded transformer over a 5-minute interval. Calculatethe average power consumption rate for the integrationinterval and designate it as .Ex. 3.13.2.4 Blower-coil system (see definition 1.13) power adjustment: Iftested and rated with a specific furnace or specific modularblower, measure only the power supplied to the furnace or modularblower while idle**(~,** disconnect the low-voltage wiring for the components housed inthe residential central air conditionerparts ofthe system from the transformer) and integratethis power over a 5-minute interval. Calculate the average power consumption ofthe fully unloaded transformer, idle furnace, or idle modularblower over the integrationinterval and designate it as.Ex. 3.13.2.5 Forboth coil-only andblower-coil systems with a single compressor: To calculate PI, the off-mode power solely attributable to theresidential central air conditioner or

48heatpump, subtractthis average power consumption (f>x) from the previously calculated overall system average power 

### a'.lx): 

### Pi = 

### Pix

- P x. 3.13.2.6 Forboth coil-only and blower-coil systems with multiple compressors: To calculate PI, the off-mode power solely attributable to the residential central air conditioner or heat pumpat 82 

### of, first discO!l.l1ect the cran_kcase heater and thenrecord the overall system power draw with the disconnected crankcase heater as PI!.). Next, calculate an average power draw on a per compressorbasis by dividing the difference betweenthe overall systempower draws 

### Cf'lx andfln). Then combine this difference with the previous recorded PIn:

- - - 

### Pix

- Pi D 

### Pi = _----:-_-=c_----=. ___

## + PiD • 

### numberofcompressors 3.13.2.7 Round PI to the nearest integer wattage value and record this rounded value as both P2 andPI. Ifthe resulting P2 and 

### PI are each less than 1 watt, assign each ofthemthe value ofzero.3.13.3 For residential central air conditioners or heatpumps having a compressor crankcaseheater whose on/offoperation is regulated, but according to the manufacturer does not have either a time delay switch (see definition 1.46) controllingthe crankcase heater or a temperature sensor for the crankcase heater located on the compressor shelL 3.13.3.1 Configure the controls ofthe residential central air conditioner or heat pump to mimicthe operating mode as ifconnected to a building thermostat that is set to the OFF position. Position a lab-added temperature sensor inthe air between 2 and 6 inches from the crankcase heatertemperature sensor. Forthis off-mode test and the one that follows at 57 OF, use this labadded temperature sensorto measure the outdoor dry bulb temperature. Conductthese tests

49following the steady state 'B' test and maintain anindoor dry bulb temperature ofbetween 75 of and 85 of during the off-mode tests. 3.13.3.2 After the controls havebeen configured, wait at least 2 minutes. Then integrate the power consumption oftheresidential central air conditioner or heatpump over a 5-minute interval. This integrated power consumptionmustinclude the power consumed bythe lowvoltage transformer and the low-voltage components connected to it. Calculate the average power consumptionrate for the integration interval and designate it as Pix. 3.13.3.3 Coil-only system (see definition 1.16) power adjustment: Reduce the overall system off-mode power measurement,

### fu, bythe power suppliedto components notpact ofthe residential central air conditioner or heatpump. Disconnect all low-voltage wiring from the lowvoltage transformer and integrate the power consumption ofthe fully unloaded transformer over
a 5-minute interval. Calculate the average power consumptionrate for the integrationinterval and designate it as 

### .!"x. 3.13.3.4 Blower-coil system (see definition 1.13) power adjustment: Iftested and rated with a specific furnace or specific modular blower, measure onlythepower suppliedto the furnace or modular blower while idle (e.g., disconnect the low-voltage wiring for the components housed inthe residential central air conditionerpacts ofthe system from the transformer) and integrate this power over a 5-minute interval. Calculatethe averagepower consumption ofthe fully unloaded transformer, idle furnace, or idle modular blower overthe integration interval and designate it as 

## b. 3.13.3.5 For both coil-only and blower-coil systems with a single compressor: To calculate PI, the off-modepower solely attributable to the residential central air conditioner or

50heat pump at 82 

### of, subtractthis average power consumption (5U from the previously calculated overall system average power (PIX) and round PI to the nearest integer wattage value: 

### P1 = 

### P1x - 

### Px3.13.3.6 Continue to maintain an indoor dry bulb temperature ofbetween 75 OF and 85 

### of,but decrease the outdoortemperature until the lab-added temperature sensor achieves an outdoor ambient dry bulb temperature of57 OF, +/- 2 OF for at least 5 minutes. Then integrate the power consumption ofthe 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 ofthe residential central air conditioner or heat pump over a 5-minute interval. This integratedpower consumption mustinclude the power consumed by the lowvoltage transformer and the low-voltage components connected to it. Calculate the average power consumptionrate for the integration interval and designate it as P2K . 3.13.3.8 For both coil-only and blower-coil systems with a single compressor: To calculate P2, the off-modepower solely attributable to the residential central air conditioner or heatpump at 57 

### of, subtract this average power consumption (Ex) from the previously calculated overall system average power (P2K ) and round P2 to the nearest integer wattage value: P2 

### = P2x -P x. 3.13.3.9 For bothcoil-only and blower-coil systems withmultiple compressors: To calculate P2, the off-modepower solely attributable to the residential central air conditioner or heatpump at 57 OF, first calculate an average power draw on a per compressor basis by dividing



### 51the difference betweenthe overall systempower draws (PIx and P2x). Then combine this value with the previously determined PI. and round P2 to the nearest integer wattage value: 

### P2 = 

### P2x - Pix b +Pi. 

### num er ofcompressors 3.13.4 Forresidential central air conditioners orheat pumpshaving a compressor crankcase heater whose on/offoperation 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 onthe compressor shell. 3.13.4.1 Configure the controls ofthe residential central air conditioner orheat pumpto mimic the operating mode as ifconnected to a buildingthermostat that is set to the OFF position. Position a lab-added temperature sensor inthe air between 2 and 6 inches from the crankcase heatertemperature sensor. Forthis off-mode test and the one that follows at 57 OF, use this labadded temperature sensor to measure the outdoor dry bulb temperature. Conductthese tests before any other tests and maintain an indoor dry bulb temperature ofbetween 75 OF and 85 OF during the off-mode tests. 3.13.4.2 After the controls have been configured, wait at least 2 minutes. Then integrate thepower consumption ofthe residential central air conditioner or heatpump over a 5-minute interval. This integrated powerconsumption must include the power consumed by the lowvoltage transformer and the low-voltage components connectedto it. Calculate the average power consumptionrate for the integration interval and designate it as PIx. 3.13.4.3 Coil-only system (see defmition 1.16) power adjustment: Reduce the overall systemoff-mode power measurement,

### fu, by the power supplied to components not part ofthe residential central air conditioner or heat pump. Disconnect all low-voltage wiring from the lowvoltage transformer and integrate the power consumption ofthe fully unloaded transformer over
52a 5-minute interval. Calculate the average power consumptionrate for the integration interval and designate it as

## Ex. 3.13.4.4 Blower-coil system (see definition 1.13) power adjustment: Iftested andrated with a specific furnace or specific modularblower, measure onlythepower supplied to the furnace or modularblower while idle**(~,** disconnect the low-voltage wiring for the components housed inthe residential central air conditionerparts ofthe system from the transformer) and integrate this power over a 5-minute interval. Calculate the averagepower consumption ofthe fully unloaded transformer, idle furnace, or idle modularblower overthe integration interval and designate it as

## Ex. 3.13.4.5 Forboth coil-only and blower-coil systems: To calculate 

### PI, the off-mode power solely attributable to the residential central air conditioner or heat pwnp at 82 OF, subtractthis averagepower consumption (Ex) from thepreviously calculated overall system average power 

## CI.'lx) round 

### PI to the nearest integer wattage value: 

### P1 = 

### P1x - 

### P x. 3.13.4.6 Continueto maintain an indoor drybulb temperature ofbetween 75 OF and 85 OF, but decrease the outdoortemperature until the lab-addedtemperature sensor achieves an outdoor ambient drybulbtemperature of57 OF, +/- 2 OF for at least 5 minutes. Then integratethe powerconsumption ofthe residential central air conditioner or heat pwnp over a 5-rninute interval. Calculatethe average power conswnption rate for the integration interval and designate it as P2. 3.13.4.7 Afterthe controls have been configured, wait at least 2 minutes. Thenintegrate the power conswnption oftheresidential central air conditioner or heatpwnp over a 5-minute interval. This integratedpower conswnption must includethepower consumed by the low53voltage transformer and the low-voltage components connected to it. Calculate the average power consumption rate for the integration interval and designate it as 

### lli. 3.13.4.8 Forboth coil-only and blower-coil systems with a single compressor: To calculate P2, the off-modepower solely attributable to the residential central air conditioner or heat pump at 57 of, subtract this average power consumption (Ex) from the previously calculated overall system average power (P2x) and round P2 to the nearest integer wattage value: 

### P2 = 

### P2x - P x. 3.13.4.9 Forboth coil-only and blower-coil systems with multiple compressors: To calculate P2, the off-modepower solely attributable to the residential central air conditioner or heat pump at 57 of, first calculate an average power draw on a per compressorbasis by dividing the difference betweenthe overall system power draws 

## cP1x and P2x). Then combine this with

- - the previously determined 

### PI ,and round P2 to the nearest integer wattage value:

4. 

## * * * * * 

## * P2x - Pix P2 = 

### --b:---t":---"--:-,

- 

## +Pl. 

### num er 0 

### compressors


## * 

## * 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 ofless than 36,000 Btulh, determine a systems off-mode rating, PW• OFF, by using the following equation: 

### Pl+P2 PW,OFF = --:2:---

54

### 4.2.6.1.2 For residential central air conditioners and heat pumps with a cooling capacity ofgreaterthan 36,000 BtuIh, calculate the capacity scaling factor according to: Qc(95) F

sca1e 

### = 

### 36,000' Where, Qc(95) = 

### the total cooling capacity at the A 

### or A2 

### Test condition. Then, average the off-modepower ratings and divide bythe scaling factor to determine a system's off-mode rating: (PI 

## + P2)/2 PW,OFF 

# = F
. scale 

### 4.2.6.2.1 For the shoulder seasons. Calculate the off-mode energy consumption for the shoulder season, EI, using El = 

### Pl'SSH 

### where PI 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 HeatingLoad Hours and the Corresponding Set of SeasonalHours for 

### E
. CIim·R· ach GeneralIZed atic eglOn Cooling Heating Cooling Heating Shoulder Climatic Region Load Load Season Season Season Hours Hours Hours Hours Hours CLHR HLHR CSHR HSHR 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 ofaresidential central air conditioner during the heating season, E2, using
55

### E2=P2"HSH where PI 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 withthe national average rating values. 4.2.6.2.3 Forresidential central air conditioners only. Calculate the annual off-mode energy consumption ofa residential central air conditioner ETOTAL, using 

### ETOTAL = 

### El 

## +E2. 4.2.6.2.4 For residential heat pumps only, the annual off-mode energy consumption ofa residential central air conditioner ETOTAL equals E1. 

# • • * * 

## * 4.3.1 Calculation ofactual regional annual performance factors (APFA) for a particular location and for each standardized design heating requirement.


### CLH A "**Q~(95)** 

## +HLHA
.DHR" C APF A 

### = "k 

### CLH A "

### Q c (95) 

## +HLHA "DHR "C 

### Pl" SSH P2 "HSH SEER HSPF 

## + + where, CLHA= the actual cooling hours for a particular location as determined using the map given in Figure 3, hr;**Q~(95)** = the space cooling capacity ofthe unit as determined from the A orA2 Test, whichever applies, BtuJh; HLHA = the actual heating hours for a particular location as determined using the map given 

### in Figure 2, hr; 

### DHR= the design heatingrequirement used in determining the HSPF; refer to section 4.2 and definition 1.22, BtuJh; C = defined in section 4.2 following Equation 4.2-2, dimensionless;
56

### SEER= the seasonal energy efficiency ratio calculated as specified in section 4.1, Btu/W'h; HSPF = the heating seasonal performance factor calculated as specified in section 4.2 for the generalized climatic region that includes the particular location ofinterest (see Figure 2), BtulW·h. The HSPF should correspond to the actual design heating requirement (DHR), ifknown. Ifit does not, it may correspond to one ofthe standardized design heating requirements referenced in section4.2; PI = the off-mode power consumption taken at 82 of, 

### as determined in section 3.13, W, and P2 = the off-mode power consumption taken at 57 OF, as determined in section 3.13, W. Evaluate the HSH using

Where lOD 

### and giN 

### are listed in Table 19 and depend on the location ofinterest relative to Figure 2. Forthe six generalized climatic regions, this equation simplifies to the following set of equations: Region I Region II Region III 

### Region IV RegionV 

### Region VI HSH = 2.4348 x HLH HSH= 2.5182 x HLH HSH = 2.5444 x HLH HSH = 2.5078 x HLH HSH = 2.5295 x HLH HSH = 2.2757 x HLH
Evaluate the shoulder season hours using SSH 

### = 

### 8760

- (CSH 

## + HSH) 

### where, CSH= the cooling season hours calculated using CSH = 2.8045 x 

### CLH. 57

## • 

# • • * *

58