[6450-01-P] 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket No. EERE-2009-BT -TP-0004] 

RIN 1904-AB94 

Energy Conservation Program for Consumer Products: Test Procedures for Residential 

Central Air Conditioners and Heat Pumps 

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

ACTION: Supplemental notice of proposed rulemaking. 

SUMMARY: The U.S. Department of Energy (DOE or the Department) proposed amendments 

to the DOE test procedure for residential central air conditioners and heat pumps in a June 20 10 

notice of proposed rulemaking (June 20 I 0 NOPR) and in an April 20 II supplemental notice of 

proposed rulemaking (April 2011 SNOPR). The amendments proposed in this subsequent 

SNOPR would change the off-mode laboratory test steps and calculation algorithm to determine 

off-mode power consumption for residential central air conditioners and heat pumps. DOE 

welcomes written comments from the public on any subject within the scope of this test 

procedure rulemaking for addressing the off-mode energy consumption of residential central air 

conditioners and heat pumps. 

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DATES: DOE will accept comments, data, and other information regarding this supplemental 

notice of proposed rulemaking (SNOPR) no later than [INSERTpATE}QDAYSAFTER 

DATEOFPlrBLICATlONINiTHEFEDERALREGIST"ER]. See section V, "Public 

Participation," of this SNOPR for details. 

ADDRESSES: Interested parties may submit comments, identified by docket number EERE2009-BT-TP-0004 or Regulation Identifier Number (RIN) 1904-AB94, by any of the following 

methods: 

I. Federal eRulemaking Portal: www.regulations.gov. Follow the instructions for 

submitting comments. 

2. E-mail: RCAC-HP-2009-TP-0004@ee.doe.gov. Include the docket number EERE-2009-

BT-TP-0004 and/or RIN 1904-AB94 in the subject line of the message. 

3. Postal Mail: Ms. Brenda Edwards, u.S. Department of Energy, Building Technologies 

Program, Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-

0121. If possible, please submit all items on a compact disc (CD), in which case it is not 

necessary to include printed copies. Otherwise, please submit one signed paper original. 

4. Hand Delivery/Courier: Ms. Brenda Edwards, u.S. Department of Energy, Building 

Technologies Program, 950 L'Enfant Plaza, SW., Suite 600, Washington, DC 20024. 

Telephone: (202) 586-2945. If possible, please submit all items on a CD, in which case it 

is not necessary to include printed copies. Otherwise, please submit one signed paper 

original. 

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Instructions: 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 on the 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 in the docket are listed in 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 on the 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 how to submit comments through regulations.gov. 

F or further information on how to submit or review public comments or view hard copies 

of the docket, contact Ms. Brenda Edwards at (202) 586-2945 or email: 

Brenda.Edwards{al,ee.doe.gov. 

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FOR FURTHER INFORMATION CONTACT: Ashley Annstrong, U.S. Department of 

Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 

EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 586-

6590. Email: Ashley.Annstrong@ee.doe.gov. 

Ms. Jennifer Tiedeman, U.S. Department of Energy, Office ofthe General Counsel, GC-71, 1000 

Independence Avenue, SW., Washington, DC 20585. Telephone: (202) 287-6111. Email: 

Jennifer. Tiedeman@hg.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Authority and Background 

A. Authority 

B. Background 

II. Summary of the Proposal 

III. Discussion 

A. Testing Burden and Complexity 

B. Individual Component Testing 

C. Length of Shoulder and Heating Seasons 

D. Proposed Test Methods and Calculations for Off-Mode Power and Energy Consumption 

of Residential Central Air Conditioners and Heat Pumps 

I. Provisions for Large Tonnage Systems 

2. Special Requirements for Multi-Compressor Systems 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility Act 

C. Review Under the Paperwork Reduction Act of 1995 

D. Review Under the National Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates Reform Act of 1995 

H. Review Under the Treasury and General Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

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

K. Review Under Executive Order 13211 

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

V. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

I. The proposed equation for the calculation of a system's off-mode rating; 

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2. An appropriate scaling factor to account for larger units requiring a larger crankcase heater 

due to bigger compressors and larger refrigerant volume; 

3. The proposed equation to adjust crankcase heater power draw for systems with multiple 

compressors; 

4. The estimate of the number of small entities that may be impacted by the proposed test 

procedure; 

5. The estimate of the impact ofthe proposed test procedure amendments on small entities 

and its conclusion that this impact is not significant. 

VI. Approval of the Office ofthe Secretary 

I. Authority and Background 

A. Authority 

Title III, Part B of the 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 with rated cooling capacities less than 65,000 British thermal 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. 

The testing requirements consist of test procedures that manufacturers of covered products must 

use as the basis for certifying to DOE that their products comply with applicable energy 

conservation standards adopted pursuant to EPCA and for representing the efficiency of those 

products. (42 U.S.C. 6293(c); 42 U.S.C. 6295(s» Similarly, DOE must use these test procedures 

in any enforcement action to determine whether covered products comply with these energy 

conservation standards. (42 U.S.C. 6295(s» Under 42 U.S.C.6293, EPCA sets forth criteria and 

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

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procedures for DOE's adoption and amendment of such test procedures. Specifically, EPCA 

provides that an amended test procedure shall produce results which measure the energy 

efficiency, energy use or estimated annual operating cost of a covered product over an average or 

representative period of use, and shall not be unduly burdensome to conduct (42 U.S.C. 

6293(b)(3)) In addition, if DOE determines that a test procedure amendment is warranted, it must 

publish proposed test procedures and offer the public an opportunity to present oral and written 

comments on them. (42 U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test procedure, 

DOE must determine the extent to which the proposed test procedure would change, if at all, the 

measured efficiency of a system which was tested under the existing test procedure. (42 U.S.C. 

6293(e)(l)) If DOE determines that the amended test procedure would alter the measured 

efficiency of a covered product, DOE must amend the applicable energy conservation standard 

accordingly. (42 U.S.C. 6293(e)(2)) The amendments proposed in today's SNOPR will not alter 

the measured efficiency, as represented in the regulating metrics of seasonal energy efficiency 

ratio (SEER) and heating seasonal performance factor (HSPF) of residential central air 

conditioners and heat pumps. Thus, today's proposed test procedure changes can be adopted 

without amending the existing standards. (42 U.S.C. 6293(e)(2)) 

On December 19,2007, the President signed the Energy Independence and Security Act 

of 2007 (EISA 2007), Pub. L. I 10-I 40, which contains numerous amendments to EPCA. Section 

3 I 0 of EISA 2007 established that the Department's test procedures for all covered products 

must account for standby mode and off-mode energy consumption. (42 U.S.C. 6295(gg)(2)(A)) 

Today's SNOPR includes proposals relevant to these statutory provisions. 

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DOE's existing test procedures for residential central air conditioners and heat pumps 

adopted pursuant to these provisions appear under Title 10 of the Code of Federal Regulations 

(CFR) part 430, subpart B, appendix M ("Uniform Test Method for Measuring the Energy 

Consumption of Central Air Conditioners and Heat Pumps"). These procedures establish the 

currently permitted means for determining energy efficiency and annual energy consumption of 

these products. 

B. Background 

DOE's initial proposals for estimating off-mode energy consumption in the test 

procedure for residential central air conditioners and heat pumps were shared with the public in a 

notice of proposed rulemaking published in the Federal Register on June 2, 2010 (June 2010 

NOPR; 75 FR 31224) and at a public meeting at DOE headquarters in Washington, D.C. on June 

11,2010. Subsequently, DOE published a supplemental notice of proposed rulemaking (SNOPR) 

on April 1,2011 in response to comments received on the June 2010 NOPR, and due to the 

results of additional laboratory testing conducted by DOE. 76 FR 18105,18127. DOE received 

additional comments in response to the April 2011 SNOPR. In today's SNOPR, DOE addresses 

only those comments not previously addressed in the April 2011 SNOPR that concern off-mode 

testing of central air conditioners and heat pumps. DOE will subsequently address the remainder 

of the unrelated comments in response to both the June 2010 NOPR and April 2011 SNOPR in 

the test procedure fmal rule. 

In the June 2010 NOPR, DOE proposed new laboratory tests and calculation algorithms 

for determining the off-mode power and off-mode energy consumption of residential central air 

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conditioners and heat pumps, which were subsequently modified in the April 2011 SNOPR.75 

FR 31238-39; 76 FR 18107-09. The off-mode rating reflects those extended times of the year 

during which a residential central air conditioner or heat pump sits idle. The energy consumed by 

these products during these extended times is not accounted for by the existing seasonal rating 

metrics of SEER and HSPF. 

One of the extended off-mode intervals was designated the "shoulder season" in the June 

2010 NOPR. 75 FR 31239. The shoulder season for central air conditioners is defined as the time 

between the cooling and heating seasons when the unit provides no cooling and when the unit is 

idle during the entire heating season. The shoulder season for residential heat pumps is defined 

as the time between the cooling and heating seasons when the unit provides neither heating nor 

cooling. 

The off-mode testing and calculations proposed in the June 2010 NOPR would be used to 

determine the average power consumption of a residential central air conditioner or heat pump 

during the shoulder season (represented by the variable 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 of hours assigned to the shoulder and heating seasons to obtain the corresponding 

off-mode energy values. In the June 2010 NOPR, DOE proposed an approach for assigning the 

number of hours to the shoulder and heating seasons, as specified in ASHRAE Standard 137-

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2009. Id. For any given location or for each of the six DOE generalized climate regions,2 the sum 

of the hours in the cooling, heating, and shoulder seasons equals 8,760 hours. See Figures 2 and 

3 ofl 0 CFR part 430, subpart B, appendix M. As proposed in the June 20 I 0 NOPR, annual 

operating cost calculations would represent operation of a residential central air conditioner or 

heat pump over a complete 8,760-hour year, not just the cooling season (in the case ofa 

residential central air conditioner) or just the cooling and heating seasons (in the case of a 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 of comments received from interested parties in response to the 

originally proposed off-mode tests and calculations, and as a result of information gained from 

testing conducted by DOE after the close of the public comment period for the June 2010 NOPR. 

76 FR at 18107-09. Most of the proposed revisions introduced in the April 2011 SNOPR applied 

to the laboratory testing of units with compressor crankcase heaters. Id. Rather than attempting to 

formulate a single generic test that would apply to all units with a crankcase heater, DOE 

proposed multiple product-specific tests. The tests were structured to differentiate between 

residential central air conditioners and heat pumps, between fixed-output and self-regulating 

crankcase heaters, between thermostatically controlled and continuously on heater designs, and 

between local and global 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 of the compressor sump. Global 

2 Each of the regions, which is labeled with Roman numbers from I to VI, is representative of a certain climate zone 

in the United States and contains the typical season length for the area. Region IV is considered the average and is 

used for the calculation of ratings. 

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control refers to cases in which the heater's operation is regulated based on a measured or 

inferred temperature that is not influenced by the crankcase heater. Id. The most common 

example of global control is a heater that is powered or unpowered based on the temperature 

measured by an outdoor air thermostat. Id. 

Most of the proposed revisions to the off-mode calculations set forth in the April 2011 

SNOPR specified which laboratory test to conduct based on system characteristics ~, 

presence of crankcase heater controls). For example, separate off-mode calculations were 

provided for fixed-output heaters and self-regulating heaters. Id. at 18117-25. Additionally, 

calculations were proposed to account for use oflocal control, global control or a combination of 

local and global control. rd. Other calculation changes were proposed to better balance test 

burden and test rigor. Id. at 18107-08. Specifically, a method to extrapolate test data in lieu of 

actual testing was proposed for certain crankcase heater controls which would take the longest to 

physically test. rd. 

Finally, in light of the 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, with the heating season off-mode rating, P2. rd. at 18111. When PI and P2 are weighted 

based on the national average values for the lengths of the shoulder and heating seasons, the 

overall off-mode rating is specifically designated by the variable .E'w OFF. rd. The amended offmode energy conservation standards for central air conditioners are defined in terms 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). 

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Stakeholders raised significant issues and suggested changes to the test procedure 

proposals set forth in the April 2011 SNOPR, as further described below. Based on these 

comments and additional laboratory testing conducted by DOE, DOE's position on these topics 

has evolved. Today's SNOPR shares DOE's current position on the test procedure for residential 

central air conditioners and heat pumps, and provides interested parties with an additional 

opportunity to comment on its proposed methodology. 

II. Summary of the Proposal 

Today's SNOPR revisits the test methods and calculations for off-mode power and 

energy consumption, which were originally proposed in the June 2010 NOPR and modified in 

the April 20 II SNOPR. DOE now proposes to revise the off-mode testing procedures and 

calculation algorithms set forth in the April 2011 SNOPR to shorten the duration and burden of 

the off-mode testing, while still adequately measuring the off-mode power consumption of the 

tested residential central air conditioner or heat pump. Specifically, DOE proposes that the 

applicable test and calculation combination will depend on whether the tested unit is equipped 

with a crankcase heater and whether or not the crankcase heater operation is controlled by the 

unit during the test. Furthermore, DOE proposes to alter the calculation for .EWOFF that is used to 

determine the overall off-mode rating for residential central air conditioners and heat pumps. 

DOE proposes to make the off-mode test procedure additions in today's SNOPR effective 

180 days after publication of the test procedure final rule in the Federal Register. By doing so, 

DOE would not require manufacturers to publish the new rating metrics by this time, but rather, 

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would require that manufacturers use the amended test procedure as of this date only if they wish 

to make representations of the off-mode energy consumption of their central air conditioners and 

heat pumps. In addition, DOE proposes to require that the compliance date for these test 

procedure amendments correspond to the January 1,2015 compliance date for the amended 

energy conservation standards for residential central air conditioners and heat pumps. 76 FR at 

39245. 

III. Discussion 

This section provides discussion of the revisions and additions to the test procedure that 

DOE proposes in this SNOPR, based in part on comments DOE received in response to the April 

2011 SNOPR. Section 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 CFR 430, subpart B, appendix M, "Unifo= Test Method for Measuring the 

Energy Consumption of Central Air Conditioners and Heat Pumps" as part of this SNOPR. 

A. Testing Burden and Complexity 

The majority of comments received following publication of the April 2011 SNOPR 

addressed the revised off-mode testing requirements. In ajoint comment, Northwest Energy 

Efficiency Alliance (NEEA) and Northwest Power Coordinating Council (NPCC) stated that the 

lack of test data precludes an interested party from evaluating whether the proposed off-mode 

test method reasonably captures off-mode energy use. (NEEA and NPCC, No. 26 at pp. 2-3i In 

3In the following discussion, comments will be presented 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 of this rulemaking. 

QOE numbers all comments based on when the comment was submitted in the rulemaking process. This particular 

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another joint comment, the Appliance Standards Awareness Project (ASAP), the American 

Council for an Energy-Efficient Economy (ACEEE), and the Natural Resources Defense Council 

(NRDC) encouraged DOE to capture crankcase heater energy consumption in the test procedure 

with minimal testing burden while providing a means to encourage innovative designs that 

minimize off-mode energy consumption. (ASAP, ACEEE, and NRDC, No. 27 at pp. 1-2) The 

California State Investor Owned Utilities (CAIOUs) supported DOE's proposal to account for 

different types of crankcase heaters and crankcase heater controls. (CAIOUs, No. 23 at p. I) 

Both the American Heating and Refrigeration Institute (AHRI) and Trane stated that 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 

because the 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-mode proposal 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 method proposed in the April 2011 SNOPR, AHRI 

questioned whether the same or similar results could be achieved with minimal testing and/or 

analysis. (ARRI, No. 24 at p. I) AHRI went on to offer specific alternatives and modifications to 

DOE's proposed off-mode test method, including reducing the number of samples tested, using 

default values to reduce some of the test burden, and adding an alternative set of more 

component-based off-mode tests (see Section IILA). (AHRI, No. 28 at pp. 2, 6-7, and 35-38) 

notation refers to a comment by (1) by NEEA and NPCC, (2) in document number 26 in this docket, and (3) 

appearing on pages 2-3. 

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DOE agrees with the joint comment from ASAP, ACEEE and NRDC, and notes that one 

of the key objectives considered by DOE in amending the test procedure for residential central 

air conditioners and heat pumps is obtaining a reasonable balance between test burden and offmode ratings that sufficiently differentiate among products. In response to the comment by 

NEEA and NPCC regarding insufficient data, DOE conducted additional testing for this SNOPR, 

which is discussed in detail in section III.D, and collected additional data from stakeholders. 

Based on consideration of comments by AHRI and Trane, as well as results of additional 

laboratory testing, DOE also concurs that the added complexity and burden resulting from 

proposed changes in the April 20 11 SNOPR would outweigh the benefits of distinguishing 

among different types of off-mode systems to more specifically capture a unit's off-mode power 

consumption. Consequently, in today's notice, DOE is proposing additional revisions to the offmode test procedure to reduce the burden and complexity of testing, while still achieving the 

intended purpose of accurately measuring off-mode power consumption. The methodology of 

this revised procedure is discussed in section III.D. 

B. Individual Component Testing 

To reduce the testing burden and complexity, as discussed above, AHRI recommended a 

component-based testing approach and questioned the amount of testing that should be required 

to determine off-mode ratings accurately for a product family. (AHRI, No. 28 at pp. 3-50) 

Specifically, AHRI recommended adding text to the Code of Federal Regulations that would 

allow off-mode ratings to be obtained in one of two ways: (1) by testing a rniuimum of two units 

from each basic model group of a given product family; or (2) by bench testing a minimum of 10 

samples of each component that contributes to off-mode energy use (~, each type of crankcase 

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heater, each type of controller, etc.) and then using the data obtained to conduct off-mode 

calculations. With respect to the first option, ARRI pointed out the need to define "product 

family" and offered the following proposed definition: "any set of basic model groups that have 

the same (or less) power consumption devices, including but not limited to: control board, 

crankcase heater, timer(s), switches, etc." (AHRI, No. 28 at p. 4) According to ARRI's 

recommendation, two or more samples would be tested using the full system, off-mode tests 

specified in the April 2011 SNOPR. DOE believes that the purpose of the 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 of testing a minimum of 10 samples of each relevant 

component would need to be done separately from the complete system testing conducted for 

determining the SEER and RSPF of a particular unit. AHRI notes that this approach reduces the 

"overall testing burden by allowing non-psychometric room testing but yet increasers] 

confidence in values by increasing sample size." (AHRI, No. 28 at p. 4) According to ARRI, its 

proposed "short cut," or component-based testing approach, "may be used for rating products 

only after the manufacturer verifies a single sample using the appropriate section 3.13 procedure 

[i.e., the off-mode tests specified in the April 20 11 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% of each other." (ARRI, No. 28 at p. 35) DOE views this approach as a 

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variation of its alternative rating method (ARM) or alternative energy determination method 

(AEDM)4 approach used for rating untested split system combinations for SEER and HSPF. 

In response to AHRI's proposals, DOE is not considering changes to the definition of 

product family or, by extension, basic model, at this time. DOE recently clarified its definition of 

a basic model in its March 2011 certification, compliance, and enforcement final rule. 76 FR 

12422 (March 7, 2011) Nonetheless, DOE agrees with AHRI's contention that a manufacturer 

will need a sample of sufficient size, which is not less than two units, to determine the certified 

rating for the off-mode energy consumption of a given product. With respect to AHRI's second 

recommendation of using ARMs to calculate off-mode energy consumption, DOE has an open 

rulemaking to address many issues associated with alternate methods of determining the 

efficiency of central air conditioners and heat pumps5 DOE plans to address the applicability of 

ARMs to the off-mode consumption measurement in that rulemaking. While DOE agrees that 

both of AHRI's recommendations provide potential mechanisms for obtaining off-mode ratings 

for a manufacturer's complete product line without requiring excessive testing time and does not 

seek to limit the use of ARMs or AEDMs, DOE believes that its own revised procedure is not 

unduly burdensome and that there is benefit to conducting off-mode tests in conjunction with the 

tests for SEER and HSPF. Consequently, DOE is proposing an off-mode test procedure, which is 

detailed in section m.D, and comprises whole system testing, not testing or simulation of 

individual components . 

..\ ARMs are computer simulations used to rate residential central air conditioners or heat pumps in lieu of actual 

testing to determine the rating. AEDMs accomplish the same purpose as ARMs, but are used for products other than 

residential central air conditioners and heat pumps and do not require DOE approval prior to use. 

5 See Docket Number EERE-20 II-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 FR 21673 (April 

18,2011) 

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C. Length of Shoulder and Heating Seasons 

DOE received several comments regarding DOE's approach proposed in the June 2010 

NOPR and repeated in the April 2011 SNOPR for assigning the number of hours to the heating, 

cooling, and shoulder seasons based on cooling and heating load hour maps. See Figures 2 and 3 

from 10 CFR part 430, subpart B, appendix M. NRDC asserted that the cooling load hour 

distribution is out of date and recommended that new estimates be determined by simulating a 

reference home built to the 2009 International Energy Conservation Code (IECC)6 (NRDC, No. 

22 at p. 2) CAIOUs recommended that DOE update the season hours using Typical 

Meteorological Year 3 (TMY3)7 data from 1952 to 2005, which more accurately reflects current 

climate conditions. (CAIOUs, No. 23 at p. 2) 

The commenters did not further elaborate on how DOE would transition from hourly 

simulation results to a broader definition of "seasons;" did not provide further detail on what 

specifically would constitute a reference home; and did not elaborate on how DOE should most 

appropriately use the results of these simulations. Stakeholders also did not provide results from 

either a previously completed analysis of a 2009 IECC residential building or a revised set of 

season hours based on TMY3 data that DOE could consider within the time frame of this 

rulemaking to substantiate stakeholder concerns that the current load distribution is out of date. 

Finally, there is no assurance that if such a simulation were to be conducted by DOE that the 

6 IECC standards are used to support the design and construction of energy efficient buildings. These standards vary 

by assigned climate zone, with the country divided into eight climate zones and three climate types (dry, marine, 

moist). A summary of these standards and map ofthe climate zones is available at http://recacodes.org/pagesfiecc2009.html. 

7 TMY3 refers to a data set of hourly values of solar radiation and meteorological elements for a I-year period 

recorded in 1,029 locations. This data set is compiled by the National Renewable Energy Laboratory (NREL) and 

allows for the simulation of building systems, such as central air conditioners or heat pumps in various locations. 

See http://rredc.nrel.gov/solar/old datalnsrdbl1991-2005ftmv31 for additional information. 

17 
shoulder season homs calculated would meet stakeholder expectations. While DOE 

acknowledges that a review 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 on the DOE climate regions are adequate to determine typical 

performance of a tested system. 

Neither AHRI nor Trane explicitly suggested a method for updating the lengths of 

seasons, but both disagreed with DOE's definition of shoulder season and opined that the 

number ofhoms assigned to the shoulder season was high and needed to be re-evaluated. (AHRI, 

No. 24 at pp. 1-2; Trane, No. 21 at p. 1) Further, Trane expressed concern that the off-mode 

homs reflected in the April 2011 SNOPR would be over-representative of several southern 

climates in particular. (Trane, No. 21 at p. 1) DOE agrees that the shoulder season will vary with 

climate, but notes that, under EPCA, DOE is not permitted to develop regional off-mode 

standards. (42 U.S.C. 6295(gg)(3)(B)) Consequently, DOE must develop a "typical" profile for 

allocating the homs in a year to each of the seasons considered. 

However, DOE believes that stakeholder concerns regarding the relative length of 

seasons and consequent over-representation for certain areas have merit. Since EPCA does not 

allow for regional off-mode standards, DOE is instead proposing a calculation method that is 

independent of the climate region and bin homs and will instead equally weight the two different 

power measmements in calculating the off mode metric. This approach is discussed in further 

detail below. 

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D. Proposed Test Methods and Calculations for Off-Mode Power and Energy Consumption of 

Residential Central Air Conditioners and Heat Pumps 

Interested parties also provided additional comments on specific elements of the offmode test method proposed in the April 2011 SNOPR. Both NRDC and CAIOUs expressed their 

preference that manufacturers be required to report both the central air conditioner's shoulder 

season off-mode rating, PI, and its heating season off-mode rating, P2, rather than to report the 

proposed combined off-mode rating, .!:WOFF. (NRDC, No. 22 at p. 3; CAIOUs, No. 23 at p. 1) 

AHRI proposed adding definitions for TOO, the temperature at which the crankcase heater begins 

to cycle on, and TlOO, the temperature at which the crankcase heater must operate continuously, 

within the amended Appendix M. (AHRI, No. 28 at p. 10) Trane stated that definitions for TOO 

and T1 00 should not be expressed in terms of ambient temperature, but rather, in terms of 

crankcase temperature for those units that are thermostatically controlled. (Trane, No. 21 at p. 1) 

Because of revisions proposed in today's notice, DOE is no longer planning to use TOO or T1 00, 

and therefore does not intend to add definitions for these terms in appendix M. With respect to 

NRDC's and CAlOUs' comments regarding certification requirements, DOE will consider those 

issues as part of the regional standards enforcement rulemaking, through which it will address all 

of the reporting requirements for central air conditioners and heat pumps. Pursuant to EPCA, 

DOE will begin this rulemaking within 90 days of issuing a final rule for residential central air 

conditioners and heat pmnps. (42 U.S.C. 6295(0)(6) (G)(ii)(I)) 

Further, both Trane and AHRI questioned the need to consider crankcase heater operation 

during the shoulder season, which would be represented by the outdoor temperature bins of 57 

OF, 62 OF, 67 OF, and 72 OF, according to DOE's proposal. (Trane, No. 21 at p. 1; AHRI, No. 24 at 

19 
p. 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 power measurement to begin five 

minutes after the end of the compressor run-time will not measure crankcase heater power 

correctly for heaters that are thermostatically controlled or that use a time delay relay. (Trane, 

No. 21 at p. 1; AHRI, No. 24 at p. 2) 

In response to comments by stakeholders, DOE conducted additional testing on 2 central 

air conditioners and 3 heat pumps, all of which were one compressor systems. This testing was 

done to according to the procedure which is proposed in today's notice and complements the 

prior testing which DOE already conducted. DOE also received off-mode data from AHRI for 80 

heat pumps and 44 central air conditioners; 74 of these 124 systems were two-compressor 

systems. (AHRI, No. 30 at p.1) A summary of AHRI's data, which were produced using the 

procedure in the April 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 Heat Pumps 

While DOE appreciates AHRI's effort, DOE is concerned that it cannot determine the types of 

systems which were used to produce these results and that these results may not be representative 

of the entire market. No explanation was provided as to why the central air conditioner off-mode 

average is significantly higher than the heat pump off-mode average. In its submission, AHRI 

stated that "systems with PWOFF greater than 100 are very efficient (18-20 SEER) and have two 

20 
compressors." This statement indicates that the average central air conditioner reflected in this 

data is a high efficiency system with two compressors; DOE does not believe that such systems 

represent the average central air conditioner in the marketplace. Further, the label on the data 

submitted by AHRl for the two-compressor systems indicates that the data are representative of 

both central air conditioners and heat pumps. However, the lower bound of the range is greater 

than the higher bound of the heat pump range, which suggests that the data only comprise central 

air conditioners. DOE acknowledges AHRl's concerns, but believes that its own data are more 

representative of the market and chose to base the analysis on this data. 

Additionally, DOE disagrees with Trane and AHRI that crankcase heater operation may 

not need to be accounted for during the shoulder season. While a crankcase heater with controls 

may not tum on during the shoulder season, an uncontrolled crankcase heater would run 

constantly during the shoulder season. Therefore, DOE believes that it is important to consider 

crankcase heater operation during the shoulder season. 

Previously, DOE considered testing at four different temperatures (57°F, 62 OF, 67 OF, 72 

OF), but believes that testing at four temperatures is unnecessary and does not provide sufficient 

benefit to justifY the additional test burden. With four test temperatures, the intermediate points 

will be equal to either the higher test point or the lower test point, depending on when the 

crankcase heater turns on (because it is always either on or off). Based on this conclusion and 

the results of the additional testing, DOE agrees with stakeholder observations regarding test 

temperatures, and proposes to base the off-mode rating,J:w.OFF for units with a cooling capacity 

of36,000 Btulh or less, on an average of wattages, PI and P2, which are recorded at two 

21 
different 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 between measurements taken at the two different temperatures. Consequently, DOE 

proposes to only test these systems at 82 OF and use this measured value for both P2 and Pl. 

Pi = Pix - Px, 

where, 

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

Ex = the power draw at 82°F of components not associated with the residential central air 

conditioner or heat pump, W, and 

P2 = P2x - Px, 

where, 

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

Pland P2 are then combined to calculate PWOFF : - - -~ 

Pi + P2 

PW,OFF = --2--

To address concerns from AHRI and Trane with respect to time delay switches and the 

potential for inaccurate results due to a thermostat being placed on a warm compressor, DOE 

proposes to require the manufacturer to specify the presence of these components in the 

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 that the time delay switch has not 

been activated and also that the thermostat will not be influenced by any heat from the 

compressor because the unit would not have yet been run. For units without these components 

and for units with time delay switches and for which there is no indication of their presence in 

their installation manual, the off-mode tests would be done after the steady state 'B' test8

. DOE 

seeks comment on its equation for calculating a system's oil·mode rating. (See Issue I in section 

V.B, "Issues on Which DOE Seeks Comment"). 

I. Provisions for Large Tonnage Systems 

For its off-mode analysis, DOE analyzed units with a cooling capacity of three tons 

(36,000 BtuIh), which is the capacity most representative of units in the marketplace. However, 

DOE is concerned that larger capacity units have characteristics which could make it more 

difficult for them to achieve the same standard as those at the representative three-ton capacity. 

Specifically, DOE believes that larger units may require a larger crankcase heater to ensure safe 

compressor operation because four and five- ton units typically have larger compressors as well 

as larger refrigerant volumes. These two characteristics could necessitate a crankcase heater with 

a higher power than 40 W crankcase heaters, which DOE observed in units at the representative 

capacity. Based on further research into system specification sheets and teardown data from the 

standards rulemaking for these products, DOE believes that larger capacity units require a larger 

crankcase heater and is now proposing a scaling factor for units at capacities greater than the 

8 As specified in Appendix M of Subpart B to Part 430 of Title 10 in the Code of Federal Regulations, the 'B' test is 

a steady state test conducted at an outdoor ambient dry bulb inlet temperature of 82 OF and an indoor ambient dry 

bulb inlet temperature of 80 OF. 

23 
representative capacity of36,000 Btulh. This scaling factor would be directly proportional to the 

cooling capacity and detennined by the following equation: 

where, 

Qc(95) 

Fsca1e = 36,000' 

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

This scaling factor would then be applied to the two power measurements, PI and P2, to 

determine fW.OFF as follows: 

(PI + P2)/2 

PW •OFF = F . 

scale 

However, in its analysis DOE also found that units smaller than the representative 

capacity still required the same components and crankcase heater as units at the representative 

capacity. DOE does not want to unduly create a market constraint on the manufacture and 

purchase of smaller central air conditioning systems that otherwise would be right -sized for 

smaller or more efficient homes by setting an exceedingly stringent off-mode standard. 

Consequently, DOE is not proposing to apply a scaling factor to units which have a cooling 

capacity that is less than that of the representative capacity. DOE seeks comment on both the 

necessity of a scaling factor for large tonnage units, and its approach of making this factor 

directly proportional to capacity. (See Issue 2 in section V.B, "Issues on Which DOE Seeks 

Comment"). 

24 
2. Special Requirements for Multi-Compressor Systems 

DOE is also aware that certain high efficiency residential central air conditioners and heat 

pumps that utilize a two compressor design to provide varying levels of cooling. With different 

capacity compressors operating at close to full load, the two-compressor unit is able to operate 

more efficiently and achieve a higher efficiency rating than would be possible with a single 

compressor. Because there are two compressors in these units, it is likely that the system would 

have two crankcase heaters (one for each compressor), which would result in higher off-mode 

power consumption because of the significant affect that crankcase heaters have on a system's 

off-mode power consumption. However, DOE's analysis for the June 2010 NOPR and the April 

2011 SNOPR did not account for this type of unit, and DOE does not want to prevent these high 

efficiency products from being developed or being made available to the consumer. Therefore, in 

today's notice, DOE is proposing a method for normalizing the crankcase heater power 

consumption on a per compressor basis for multi-compressor systems with controlled crankcase 

heaters using the following equation: 

where, 

P2x - Pix 

P2 = --b:---j::,--"----+ Pi, 

num er 0 compressors 

Pix = overall system measured power draw at 82 OF, W; 

P2x = overall system measured power draw at 57 OF, W. 

This equation isolates and averages the power draw associated with the crankcase heaters 

because, as mentioned previously, DOE believes that units with controlled crankcase heaters 

would have the crankcase heater off at the PI temperature of 82 OF and on at the P2 temperature 

of 57 OF. This belief is based on manufacturer interviews during the standards rulemaking, as 

well as on testing done following the April 2011 SNOPR. 

25 
For systems with uncontrolled crankcase heaters, DOE recognizes that there is a need to 

isolate the crankcase heater power in order to normalize it on a per compressor basis. Multicompressor systems with controls are likely to have crankcase heaters off during the PI test and 

on during the P2 test, which allows for the first term in the equation above to determine the 

crankcase heater power. However, in these cases, the PI test would yield incorrect results 

because the power consumption of the components not associated with the residential central air 

conditioner or heat pump would have to be divided by the number of compressors, while the 

number of controls does not scale with the number of compressors. Therefore, DOE proposes to 

require a slightly different approach to determine the off mode power consumption of these 

systems. In such cases, DOE proposes that, first, the crankcase heater should be disconnected 

and then the overall system power draw with the disconnected crankcase heater should be 

recorded as PI D. Next, the average power draw on a per compressor basis should be calculated 

by dividing the difference between the overall system power draws CI'l.x and PI!)). Then this 

difference should be combined with the previously recorded PI D : 

P1x - P1D P1 = + P1 D, number of compressors 

where, 

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

DOE seeks comment on the use of this equation to calculate an average power draw and for 

determining the off-mode rating for multiple compressor units. (See Issue 3 in section V.B, 

"Issues on Which DOE Seeks Comment.") 

26 
IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget (OMB) has determined that test procedure 

rulemalcings do not constitute "significant regulatory actions" under section 3(f) of Executive 

Order 12866, Regulatory Planning and Review, 58 FR 51735 (Oct. 4,1993). Accordingly, this 

proposed action was not subject to review under the Executive Order by the Office of 

Information and Regulatory Affairs (OIRA) in the OMB. 

B. Review Under the Regulatory Flexibility Act 

The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires preparation of an initial 

regulatory flexibility analysis (IRF A) for any rule proposed for public comment, unless the 

agency certifies that the rule, if promulgated, will not have a significant economic impact on a 

substantial number of small entities. As required by Executive Order 13272, "Proper 

Consideration of Small Entities in Agency Rulemaking," 67 FR 53461 (Aug. 16,2002), DOE 

published procedures and policies on February 19,2003, so that the potential impacts of its rules 

on small entities are properly considered during the rulemaking process. 68 FR 7990. DOE has 

made its procedures and policies available on the Office of the General Counsel's website: 

www.gc.doe.gov. 

DOE reviewed today's proposed rule, which would amend the test procedure for 

residential central air conditioners and heat pumps, under the provisions of the Regulatory 

Flexibility Act and the procedures and policies published on February 19,2003. DOE tentatively 

27 
concludes and certifies that the proposed rule, if adopted, would not result in a significant impact 

on a substantial number of small entities. The factual basis for this certification is set forth . 

below. 

For the purpose of the regulatory flexibility analysis for this rule, the DOE adopts the 

Small Business Administration (SBA) definition of a small entity within this industry as a 

manufacturing enterprise with 750 employees or fewer. DOE used the small business size 

standards published on January 31, 1996, as amended, by the SBA to determine whether any 

small entities would be required to comply with the rule. 61 FR 3280,3286, as amended at 67 

FR 3041, 3045 (Jan. 23, 2002) and at 69 FR 29192,29203 (May 21, 2004); see also 65 FR 

30836,30850 (May 15, 2000), as amended at 65 FR 53533,53545 (Sept. 5,2000). The size 

standards are codified at 13 CFR part 121. The standards are listed by North American Industry 

Classification System (NAICS) code and industry description and are available at 

wViw.sba.gov/idc/groups/public/documents/sba homepage/serv sstd tablepdf.pdf. 

Residential central air conditioner and heat pump equipment manufacturing is classified 

under NAICS 333415, "Air-Conditioning and Warm Air Heating Equipment and Commercial 

and Industrial Refrigeration Equipment Manufacturing." 70 FR 12395 (March 11, 2005). DOE 

reviewed AHRI's listing of residential central air conditioner and heat pump product 

manufacturer members and surveyed the industry to develop a list of domestic manufacturers. As 

a result ofthis review, DOE identified 22 manufacturers of residential central air conditioners 

and heat pumps, of which 15 would be considered small manufacturers with a total of 

approximately 3 percent of the market sales. DOE seeks comment on its estimate of the number 

28 
of small entities that may be impacted by the proposed test procedure. (See Issue 4 in section 

V.B, "Issues on Wbich DOE Seeks Comment"). 

Potential impacts of the proposed test procedure on all manufacturers, including small 

businesses, come from impacts associated with the cost of proposed additional testing. DOE 

estimates the incremental cost of the proposed additional tests described in 10 CFR part 430, 

subpart B, appendix M (proposed section 3.13) to be an increase of$l,OOO to $1,500 per unit 

tested. This estimate is based on private testing services quoted on behalf of DOE in the last two 

years for residential central air conditioners and heat pumps. Typical costs for 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 of running the extra tests is the same for all manufacturers, 

DOE believes that all manufacturers would incur comparable costs for testing of individual basic 

models as a result ofthe proposed test procedure. DOE expects that small manufacturers will 

incur less testing expense compared with larger manufacturers as a result of the proposed testing 

requirements because they have fewer basic models and thus require proportionally less testing 

when compared with large manufacturers that have many basic models. DOE recognizes, 

however, that smaller manufacturers may have less capital available over which to spread the 

increased costs of testing. 

29 
DOE compared the cost of the testing to the total value added by the manufacturers to 

determine whether the impact of the proposed test procedure amendments is significant. The 

value added represents the net economic value that a business creates when it takes 

manufacturing inputs~, materials) and turns them into manufacturing outputs~, 

manufactured goods). Specifically, as defined by the u.S. Census, the value added statistic is 

calculated as the total value of shipments (products manufactured plus receipts for services 

rendered) minus the cost of materials, supplies, containers, fuel, purchased electricity, and 

contract work expenses. 

DOE analyzed the impact on the smallest manufacturers of residential central air 

conditioners and heat pumps because these manufacturers would likely be the most vulnerable to 

cost increases. DOE calculated the additional testing expense as a percentage of the average 

value added statistic for the five individual firms in the 25 to 49 employee size category in 

NAICS 333415 as reported by the u.S. Census (U.S. Bureau of the Census, American 

Factfinder, 2002 Economic Census, Manufacturing, Industry Series, Industry Statistics by 

Employment Size, 

http://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 $1.26 million in 2001$, per the 2002 Economic Census, or approximately 

$1.52 million per year in 2009$ after adjusting for inflation using the implicit price deflator for 

gross domestic product (U.S. Department of Commerce Bureau of Economic Analysis, 

www.bea.gov/national/nipaweb/SelectTable.asp). 

30 
DOE also examined the average value added statistic provided by census for all 

manufacturers with fewer than 500 employees in this NArCS classification as the most 

representative value from the 2002 Economic Census data of the residential central air 

conditioner manufacturers with fewer than 750 employees that are considered small businesses 

by the SBA (15 manufacturers). The average annual value added statistic for all small 

manufacturers with fewer than 500 employees was $7.88 million (2009$). 

Given this data, and assuming the high-end estimate of $1 ,500 for the additional testing 

costs, DOE concluded that the additional costs for testing of a single basic model product under 

the proposed requirements would be approximately 0.1 percent of annual value added for the 5 

smallest firms, and approximately 0.02 percent of the average annual value added for all small 

residential central air conditioner or heat pump manufacturers (15 firms). DOE estimates that 

testing of basic models may not have to be updated more than once every 5 years, and therefore 

the average incremental burden of testing one basic model may be one fifth of these values when 

the cost is spread over several years. 

DOE requires that only the highest sales volume split system combinations be laboratory 

tested. 10 CFR 430.24(m). The majority of residential central air conditioners and heat pumps 

offered by a manufacturer are typically split systems that are not required to be laboratory tested 

but can be certified using an alternative rating method that does not require DOE testing of these 

units. DOE reviewed the available data for five of the smallest manufacturers to estimate the 

incremental testing cost burden for those small firms that might experience the greatest relative 

burden from the revised test procedure. These manufacturers had an average of 10 models 

31 
requiring testing (AHRI Directory of Certified 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 last the product life, 

estimated to be at least 5 years based on the time frame established in EPCA for DOE review of 

residential central air conditioner efficiency standards. This test burden is therefore estimated to 

be approximately 0.2 percent of the estimated 5-year value added for the smallest five 

manufacturers. DOE believes that these costs are not significant given other, much more 

significant costs that the small manufacturers of residential central air conditioners and heat 

pmnps incur in the course of doing business. DOE seeks comment on its estimate of the impact 

of the proposed test procedure amendments on small entities and its conclusion that this impact 

is not significant.(See Issue 5 in section V.B, "Issues on Which DOE Seeks Comment"). 

Accordingly, as stated above, DOE tentatively concludes and certifies that this proposed 

rule would not have a significant economic impact on a substantial nmnber of small entities. 

Accordingly, DOE has not prepared an initial regulatory flexibility analysis (IRF A) for this 

rulemaking. DOE will provide its certification and supporting statement of factual basis to the 

Chief Counsel for Advocacy of the SBA for review under 5 U.S.C. 605(b). 

C. Review Under the Paperwork Reduction Act of 1995 

Manufacturers of residential central air conditioners and heat pumps must certify to DOE 

that their product complies with any applicable energy conservation standard. In certifying 

compliance, manufacturers must test their product according to the DOE test procedure for 

32 
residential central air conditioners and heat pumps, including any amendments adopted for that 

test procedure. DOE has proposed regulations for the certification and recordkeeping 

requirements for all covered consumer products and commercial equipment, including residential 

central air conditioners and heat pumps. 75 FR 56796 (Sept. 16,2010). The collection-ofinformation requirement for the certification and recordkeeping is subject to review and approval 

by OMB under the Paperwork Reduction Act of 1995 (PRA). This requirement has been 

submitted to OMB for approval. Public reporting burden for the certification is estimated to 

average 20 hours per response, including the time for reviewing instructions, searching existing 

data sources, gathering and maintaining the data needed, and completing and reviewing the 

collection of information. 

D. Review Under the National Environmental Policy Act of 1969 

In this proposed rule, DOE proposes amendments to test procedures that may be used to 

implement future energy conservation standards for residential central air conditioners and heat 

pumps. DOE has determined that this rule falls into a class of actions that are categorically 

excluded from review under the National Environmental Policy Act of 1969 (NEPA; 42 U.S.C. 

4321 et seq.). The rule is covered by Categorical Exclusion A5, for rulemakings that interpret or 

amend an existing rule without changing the environmental effect, as set forth in DOE's NEPA 

regulations in appendix A to subpart D, 10 CFR part 1021. This rule will not affect the quality or 

distribution of energy usage and, therefore, will not result in any environmental impacts. 

Accordingly, neither an environmental assessment nor an environmental impact statement is 

required. 
E. Review Under Executive Order 13132 

Executive Order 13132, "Federalism," 64 FR43255 (Aug. 4,1999), imposes certain 

requirements on agencies formulating and implementing policies or regulations that preempt 

State law or that have Federalism implications. The Executive Order requires agencies to 

examine the constitutional and statutory authority supporting any action that would limit the 

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 of regulatory policies that have 

Federalism implications. On March 14, 2000, DOE published a statement of policy describing 

the intergovernmental consultation process it will follow in the development of such regulations. 

65 FR 13735. DOE has examined today's proposed rule and has determined that it does not 

preempt State law and does not have a substantial direct effect on the States, on the relationship 

between the national government and the States, or on the distribution of power and 

responsibilities among the various levels of government. EPCA governs and prescribes Federal 

preemption of State regulations as to energy conservation for the products that are the subj ects of 

today's proposed rule. States can petition DOE for a waiver of such preemption to the extent, and 

based on criteria, set forth in EPCA. (42 U.S.C. 6297) No further action is required by Executive 

Order 13132. 

F. Review Under Executive Order 12988 

With respect to the review of existing regulations and the promulgation of new 

regulations, section 3 (a) of Executive Order 12988, "Civil Justice Reform," 61 FR 4729 (Feb. 7, 

1996), imposes on Federal agencies the general duty to adhere to the following requirements: (I) 

34 
eliminate drafting errors and ambiguity; (2) write regulations to minimize litigation; (3) provide 

a clear legal standard for affected conduct rather than a general standard; and (4) promote 

simplification and burden reduction. Section 3(b) of Executive Order 12988 specifically requires 

that Executive agencies make every reasonable effort so that the regulation: (1) clearly specifies 

the preemptive effect, if any; (2) clearly specifies any effect on existing Federal law or 

regulation; (3) provides a clear legal standard for affected conduct while promoting 

simplification and burden reduction; (4) specifies the retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses other important issues affecting clarity and general 

draftsmanship under any guidelines issued by the United States Attorney General (Attorney 

General). Section 3( c) of Executive Order 12988 requires Executive agencies to review 

regulations in light of applicable standards in sections 3(a) and 3 (b) to determine whether they 

are met or it is unreasonable to meet one or more of them. DOE has completed the required 

review and determined that, to the extent permitted by law, the proposed rule meets the relevant 

standards of Executive Order 12988. 

G. Review Under the Unfunded Mandates Reform Act of 1995 

Title II of the Unfunded Mandates Reform Act of 1995 (UMRA; Pub. 1. 104-4, codified 

at 2 U.S.c. 1501 et seg.) requires each Federal agency to assess the effects of Federal regulatory 

actions on State, local, and Tribal governments and the private sector. For proposed regulatory 

actions likely to result in a rule that may cause expenditures by State, local, and Tribal 

governments in the aggregate or by the private sector of $1 00 million or more in anyone year 

(adjusted annually for inflation), section 202 ofUMRA requires a Federal agency to publish 

estimates of the resulting costs, benefits, and other effects on the national economy. (2 U.S.C. 

35 
1532(a), (b)) UMRA also requires a Federal agency to develop an effective process to permit 

timely input by elected officers of State, local, and Tribal governments on a proposed 

"significant intergovernmental mandate" and requires an agency plan for giving notice and 

opportunity for timely input to potentially affected small governments before establishing any 

requirements that might significantly or uniquely affect small governments. On March 18, 1997, 

DOE published a statement of policy on its process for intergovernmental consultation under 

UMRA. 62 FR 12820. (This policy is also available at www.gc.doe.gov.) Today's proposed rule 

contains neither an intergovernmental mandate nor a mandate that may result in the expenditure 

of $100 million or more in any year, so these requirements do not apply. 

H. Review Under the Treasury and General Government Appropriations Act, 1999 

Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 

105-277) requires Federal agencies to issue a Family Policymaking Assessment for any proposed 

rule that may affect family well-being. Today's proposed rule would not have any impact on the 

autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is 

unnecessary to prepare a Family Policymaking Assessment. 

1, Review Under Executive Order 12630 

DOE has determined, under Executive Order 12630, "Governmental Actions and 

Interference with Constitutionally Protected Property Rights," 53 FR 8859 (March 15, 1988), 

that this proposed regulation, if promulgated as a final rule, would not result in any takings that 

might require compensation under the Fifth Amendment to the U.S. Constitution. 

36 
L Review Under the Treasury and General Government Appropriations Act, 2001 

Section 515 of the Treasury and General Government Appropriations Act, 2001 (44 

U.S.C. 3516, note) provides for agencies to review most disseminations of information to the 

public under guidelines established by each agency pursuant to general guidelines issued by 

OMB. The OMB's guidelines were published in 67 FR 8452 (Feb. 22, 2002), and DOE's 

guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed today's proposed 

rule under the OMB and DOE guidelines and has concluded that it is consistent with applicable 

policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, "Actions Concerning Regulations That Significantly Affect 

Energy Supply, Distribution, or Use," 66 FR 28355 (May 22,2001), requires Federal agencies to 

prepare and submit to OIRA, Office of Management and Budget, a Statement of Energy Effects 

for any proposed significant energy action. A "significant energy action" is defined as any action 

by an agency that promulgated or is expected to lead to promulgation of a final rule, and that (1) 

is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is 

likely to have a significant adverse effect on the supply, distribution, or use of energy; or (3) is 

designated by the Administrator of OIRA as a significant energy action. For any proposed 

significant energy action, the agency must give a detailed statement of any adverse effects on 

energy supply, distribution, or use should the proposal be implemented, and of reasonable 

alternatives to the action and their expected benefits on energy supply, distribution, and use. 

37 
Today's regulatory action would not have a significant adverse effect on the supply, 

distribution, or use of energy and, therefore, it is not a significant energy action. Accordingly, 

DOE has not prepared a Statement of Energy Effects. 

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

Under section 301 of the Department of Energy Organization Act (Pub. L. 95-91), DOE 

must comply with section 32 of the Federal Energy Administration Act of 1974 (Pub. L. 93-275), 

as amended by the Federal Energy Administration Authorization Act of 1977 (15 U.S.C. 788). 

Section 32 essentially provides, in relevant part, that where a proposed rule contains or involves 

use of commercial standards, the notice of proposed rulemaking must inform the public of the 

use and background of such standards. In addition, section 32( c) requires DOE to consult with 

the Attorney General and the Chairman of the FTC concerning the impact of the commercial or 

industry standards on competition. 

Today's SNOPR does not incorporate testing methods contained in commercial 

standards. 

V. Public Participation 

A. Submission of Comments 

DOE will accept comments, data, and other information regarding the SN OPR no later 

than the date provided in the DATES section at the beginning of this notice. Interested parties 

38 
may submit comments using any oftbe methods described in tbe ADDRESSES section at tbe 

beginning of this rulemaking. 

Submitting comments via regulations.gov. The WVvw.regulations.gov webpage will 

require you to provide yom name and contact information. Your contact information will be 

viewable to DOE Building Technologies staff only. Yom contact information will not be 

publicly viewable except for your first and last names, organization name (if any), and submitter 

representative name (if any). If yom comment is not processed properly because of technical 

difficulties, DOE will use this information to contact you. If DOE cannot read yom comment due 

to technical difficulties and cannot contact you for clarification, DOE may not be able to 

consider yom comment. 

However, yom contact information will be publicly viewable if you include it in tbe 

comment or in any documents attached to yom comment. Any information that you do not want 

to be publicly viewable should not be included in yom comment, nor in any document attached 

to yom comment. Persons viewing comments will see only first and last names, organization 

names, correspondence containing comments, and any documents submitted with tbe comments. 

Do not submit to regulations.gov information for which disclosme is restricted by statute, 

such as trade secrets and commercial or financial information (hereinafter referred to as 

Confidential Business Information (CBI». Comments submitted through regulations.gov cannot 

be claimed as CBl. Comments received through the website will waive any CBI claims for tbe 

39 
infonnation submitted. For infonnation on submitting CEl, see the Confidential Business 

Infonnation section. 

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Include contact infonnation each time you submit comments, data, documents, and other 

infonnation to DOE. Email submissions are preferred. If you submit via mail or hand delivery, 

please provide all items on a CD, if feasible. It is not necessary to submit printed copies. No 

telefacsimiles (faxes) will be accepted. 

40 
Comments, data, and other information submitted to DOE electronically should be 

provided in PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) file format. 

Provide documents that are not secured, are written in English, and are free of any defects or 

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Confidential Business Information. Pursuant to 10 CFR 1004.11, any person submitting 

information that he or she believes to be confidential and exempt by law from public disclosure 

should submit via email, postal mail, or hand delivery two well-marked copies: one copy of the 

document marked confidential including all the information believed to be confidential, and one 

copy of the document marked non-confidential with the information believed to be confidential 

deleted. Submit these documents via email or on a CD, if feasible. DOE will make its own 

determination about the confidential status of the information and treat it according to its 

determination. 

Factors of interest to DOE when evaluating requests to treat submitted information as 

confidential include: (1) a description of the items; (2) whether and why such items are 

customarily treated as confidential within the industry; (3) whether the information is generally 

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 of time; and (7) why 

disclosure ofthe information would be contrary to the public interest. 

It is DOE's policy that all comments may be included in the public docket, without 

change and as received, including any personal information provided in the comments (except 

information deemed to be exempt from public disclosure). 

B. Issues on Which DOE Seeks Comment 

Although comments are welcome on all aspects of this rulemaking, DOE is particularly 

interested in receiving comments on the following issues: 

1. The proposed equation for the calculation of a system's off-mode rating; 

2. An appropriate scaling factor to account for larger units requiring a larger crankcase heater 

due to bigger compressors and larger refrigerant volume; 

3. The proposed equation to adjust crankcase heater power draw for systems with multiple 

compressors; 

4. The estimate of the number of small entities that may be impacted by the proposed test 

procedure; 

5. The estimate of the impact of the proposed test procedure amendments on small entities and 

its conclusion that this impact is not significant. 

42 
VI. Approval of the Office of the Secretary 

The Secretary of Energy has approved publication ofthis SNOPR. 

List of Subjects in 10 CFR Part 430 

Administrative practice and procedure, Confidential business information, Energy 

conservation test procedures, Household appliances, Imports, Intergovernmental relations, Small 

businesses. 

Issued in Washington, DC, on September 29,2011. 

43 
For the reasons set forth in the preamble, DOE proposes to amend part 430 of chapter II, 

subchapter D, of title 10 of the Code of Federal Regulations, to read as set forth below: 

PART 430-ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS 

1. The authority citation for Part 430 continues to read as follows: 

Authority: 42 U.S.C. 6291--6309; 28 U.S.C. 2461 note. 

Appendix M [Amended] 

2. Appendix M to subpart B of part 430 is amended as follows: 

a. In section 1, DefInitions, by: 

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 section 4, Calculations of Seasonal Performance Descriptors, by: 

i. Adding sections 4.2.6 through 4.2.6.2.4; 

44 
11. Revising section 4.3.1. 

The additions and revisions read as follows: 

APPENDIX M TO SUBPART B OF PART 430 - UNIFORM TEST METHOD FOR 

MEASURING THE ENERGY CONSUMPTION OF CENTRAL AIR CONDITIONERS 

AND HEAT PUMPS 

* * * * * 

1.13 Blower coil unit means a residential central air conditioner or heat pump where the 

indoor-side refrigerant-to-air heat exchanger coil is packaged in the same cabinet as the indoor 

blower. All single-packaged units are blower coiltmits; split-system units may be either blower 

coil units or coil-only units. 

* * * * * 

1.16 Coil-only unit means a split-system residential central air conditioner or splitsystem heat pump where the indoor section includes a refrigerant-to-air heat exchanger coil but 

not a blower (fan). Coil-only units are designed to be installed and used in combination with a 

furnace or a modular blower. 

* * • * * 

1.20 Crankcase heater includes all devices and mechanisms for intentionally generating 

heat within and/or around the compressor sump volume to minimize the diluting of the 

compressor's refrigerant oil by condensed refrigerant. 

* * * * * 

45 
1.46 Time delay switch or relay means, with respect to off-mode testing, a device that 

controls the crankcase heater and prevents the crankcase heater from turning on until the unit has 

been off for a specified amount oftime. 

* * * * * 

2.2. * * * 

* * * • • 

d. When testing coil-only residential central air conditioners and heat pumps, install a 

toroidal type transfo=er to power the low-voltage components of the coil-only system. The 

manufacturer shall designate any additional specification for this transfo=er. If the 

manufacturer does not so designate, use a transfo=er having the following features: a nominal 

V -amp rating that results in the transfo=er being loaded from 25 and 90 percent based on the 

highest power value expected and then confi=ed during the off-mode test; designed to operate 

with a primary input of 230 V, single phase, 60 Hz; and that provides an output voltage that is 

within the allowed range for each low-voltage component. The power consumption of the 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 system power for the 

coil-only unit, however, must then be reduced by the power consumed by 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 of the unit when conducting an already 

completed test, then repeat all tests affected by the adjustment. For cyclic tests, instead of 

maintaining an air volume rate for each airflow nozzle, maintain the static pressure difference or 

46 
velocity pressure during an ON period at the same pressure difference or velocity pressure as 

measured during the steady-state test conducted at the same test conditions. 

b. Use the testing procedures in this section to collect the data used for calculating: 

1. Performance metrics for residential central air conditioners and heat pumps during the 

cooling season; 

2. Performance metrics for heat pumps during the heating season; and 

3. Power consumption metric( s) for residential central air conditioners and heat pumps 

during the off-mode season(s). For residential central air conditioners, the off-mode seasons are 

the shoulder seasons that separate the cooling and heating seasons and the entire heating season. 

For residential heat pumps, the shoulder season is the only off-mode season. 

* * * * * 

3.13 Laboratory testing to determine off-mode average power ratings. 

3.13.1 Determine if the residential central air conditioner or heat pump has a compressor 

crankcase heater (see definition 1.20). If so equipped, detennine from the manufacturer if the 

compressor crankcase heater's onJoff operation is regulated or is unregulated, with the heater 

operating continuously when the compressor is off. Also determine from the manufacturer if the 

crankcase heater is regulated with a time delay relay (see definition 1.46) or has thermostat 

sensor located on the compressor shell. Use Table 17 to determine the required test methods 

based on the presence of a crankcase heater and how it is controlled. 

3.13.2 For residential central air conditioners or heat pumps not having a compressor 

crankcase heater or having a crankcase heating which is unregulated, conduct the following offmode test. 

47 
3.13.2.1 Configure the controls of the residential central air conditioner or heat pump to 

mimic the operating mode as if connected to a building thermostat that is set to the OFF position. 

No requirements are placed on the ambient conditions within the indoor and outdoor test rooms. 

The room conditions are allowed to change for the duration of this particular test. 

3.13.2.2 After the controls have been configured, wait at least 2 minutes. Then integrate 

the power consumption of the residential central air conditioner or heat pump over a 5-minute 

interval. This integrated power consumption must include the power consumed by the lowvoltage transformer and the low-voltage components connected to it. Calculate the average 

power consumption rate for the integration interval 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 of the 

fully unloaded transformer over a 5-minute interval. Calculate the average power consumption 

rate for the integration interval and designate it as .Ex. 

3.13.2.4 Blower-coil system (see definition 1.13) power adjustment: If tested and rated 

with a specific furnace or specific modular blower, measure only the power supplied to the 

furnace or modular blower while idle (~, disconnect the low-voltage wiring for the 

components housed in the residential central air conditioner parts of the system from the 

transformer) and integrate this power over a 5-minute interval. Calculate the average power 

consumption of the fully unloaded transformer, idle furnace, or idle modular blower over the 

integration interval and designate it as.Ex. 

3.13.2.5 For both coil-only and blower-coil systems with a single compressor: To 

calculate PI, the off-mode power solely attributable to the residential central air conditioner or 

48 
heat pump, subtract this average power consumption (f>x) from the previously calculated overall 

system average power a'.lx): 

Pi = Pix - Px. 

3.13.2.6 For both 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 pump at 82 of, first discO!l.l1ect the cran_kcase heater and then record the overall system 

power draw with the disconnected crankcase heater as PI!.). Next, calculate an average power 

draw on a per compressor basis by dividing the difference between the overall system power 

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

Pix - PiD Pi = _----:-_-=c_----=. ___ + PiD • 

number of compressors 

3.13.2.7 Round PI to the nearest integer wattage value and record this rounded value as 

both P2 and PI. Ifthe resulting P2 and PI are each less than 1 watt, assign each of them the value 

of zero. 

3.13.3 For residential central air conditioners or heat pumps having a compressor 

crankcase heater whose on/off operation is regulated, but according to the manufacturer does not 

have either a time delay switch (see definition 1.46) controlling the crankcase heater or a 

temperature sensor for the crankcase heater located on the compressor shelL 

3.13.3.1 Configure the controls of the residential central air conditioner or heat pump to 

mimic the operating mode as if connected to a building thermostat that is set to the OFF position. 

Position a lab-added temperature sensor in the air between 2 and 6 inches from the crankcase 

heater temperature sensor. For this off-mode test and the one that follows at 57 OF, use this labadded temperature sensor to measure the outdoor dry bulb temperature. Conduct these tests 

49 
following the steady state 'B' test and maintain an indoor dry bulb temperature of between 75 of 

and 85 of during the off-mode tests. 

3.13.3.2 After the controls have been configured, wait at least 2 minutes. Then integrate 

the power consumption of the residential central air conditioner or heat pump over a 5-minute 

interval. This integrated power consumption must include the power consumed by the lowvoltage transformer and the low-voltage components connected to it. Calculate the average 

power consumption rate 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, by the power supplied to components not pact of the 

residential central air conditioner or heat pump. Disconnect all low-voltage wiring from the lowvoltage transformer and integrate the power consumption of the fully unloaded transformer over 

a 5-minute interval. Calculate the average power consumption rate for the integration interval 

and designate it as .!"x. 

3.13.3.4 Blower-coil system (see definition 1.13) power adjustment: If tested and rated 

with a specific furnace or specific modular blower, measure only the power supplied to the 

furnace or modular blower while idle (e.g., disconnect the low-voltage wiring for the 

components housed in the residential central air conditioner pacts of the system from the 

transformer) and integrate this power over a 5-minute interval. Calculate the average power 

consumption of the fully unloaded transformer, idle furnace, or idle modular blower over the 

integration interval and designate it as b. 

3.13.3.5 For both coil-only and blower-coil systems with a single compressor: To 

calculate PI, the off-mode power solely attributable to the residential central air conditioner or 

50 
heat pump at 82 of, subtract this 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 of between 75 OF and 

85 of, but decrease the outdoor temperature until the lab-added temperature sensor achieves an 

outdoor ambient dry bulb temperature of 57 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 of the residential central air conditioner or heat pump over a 5-minute 

interval. This integrated power consumption must include the power consumed by the lowvoltage transformer and the low-voltage components connected to it. Calculate the average 

power consumption rate 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-mode power 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 (P2K) and round P2 to the nearest integer wattage value: 

P2 = P2x -Px . 

3.13.3.9 For both coil-only and blower-coil systems with multiple compressors: To 

calculate P2, the off-mode power solely attributable to the residential central air conditioner or 

heat pump at 57 OF, first calculate an average power draw on a per compressor basis by dividing 

51 
the difference between the overall system power 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 of compressors 

3.13.4 For residential central air conditioners or heat pumps having a compressor 

crankcase heater whose on/off operation is regulated and, according to the manufacturer, has 

either a time delay switch (see definition 1.46) controlling the crankcase heater or a temperature 

sensor for the crankcase heater located on the compressor shell. 

3.13.4.1 Configure the controls of the residential central air conditioner or heat pump to 

mimic the operating mode as if connected to a building thermostat that is set to the OFF position. 

Position a lab-added temperature sensor in the air between 2 and 6 inches from the crankcase 

heater temperature sensor. For this off-mode test and the one that follows at 57 OF, use this labadded temperature sensor to measure the outdoor dry bulb temperature. Conduct these tests 

before any other tests and maintain an indoor dry bulb temperature of between 75 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 

the power consumption of the residential central air conditioner or heat pump over a 5-minute 

interval. This integrated power consumption must include the power consumed by the lowvoltage transformer and the low-voltage components connected to it. Calculate the average 

power consumption rate 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 

system off-mode power measurement, fu, by the power supplied to components not part of the 

residential central air conditioner or heat pump. Disconnect all low-voltage wiring from the lowvoltage transformer and integrate the power consumption of the fully unloaded transformer over 

52 
a 5-minute interval. Calculate the average power consumption rate for the integration interval 

and designate it as Ex. 

3.13.4.4 Blower-coil system (see definition 1.13) power adjustment: If tested and rated 

with a specific furnace or specific modular blower, measure only the power supplied to the 

furnace or modular blower while idle (~, disconnect the low-voltage wiring for the 

components housed in the residential central air conditioner parts of the system from the 

transformer) and integrate this power over a 5-minute interval. Calculate the average power 

consumption of the fully unloaded transformer, idle furnace, or idle modular blower over the 

integration interval and designate it as Ex. 

3.13.4.5 For both 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, subtract this 

average power consumption (Ex) from the previously calculated overall system average power 

CI.'lx) round PI to the nearest integer wattage value: 

P1 = P1x - Px . 

3.13.4.6 Continue to maintain an indoor dry bulb temperature of between 75 OF and 

85 OF, but decrease the outdoor temperature until the lab-added temperature sensor achieves an 

outdoor ambient dry bulb temperature of 57 OF, +/- 2 OF for at least 5 minutes. Then integrate the 

power consumption of the residential central air conditioner or heat pwnp over a 5-rninute 

interval. Calculate the average power conswnption rate for the integration interval and designate 

it as P2. 

3.13.4.7 After the controls have been configured, wait at least 2 minutes. Then integrate 

the power conswnption of the residential central air conditioner or heat pwnp over a 5-minute 

interval. This integrated power conswnption must include the power consumed by the low53 
voltage 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 For both coil-only and blower-coil systems with a single compressor: To 

calculate P2, the off-mode power solely attributable to the residential central air conditioner or 

heat pump at 57 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 - Px . 

3.13.4.9 For both coil-only and blower-coil systems with multiple compressors: To 

calculate P2, the off-mode power solely attributable to the residential central air conditioner or 

heat pump at 57 of, first calculate an average power draw on a per compressor basis by dividing 

the difference between the 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 

of less 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 

of greater than 36,000 BtuIh, calculate the capacity scaling factor according to: 

Qc(95) 

Fsca1e = 36,000' 

Where, 

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

Then, average the off-mode power ratings and divide by the scaling factor to determine a 

system's off-mode rating: 

(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, E I, 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 Heating Load Hours and the Corresponding Set of 

Seasonal Hours for E ach GeneralIZed . CIim·R· 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 of a residential 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 with the national average rating values. 

4.2.6.2.3 For residential central air conditioners only. Calculate the annual off-mode 

energy consumption of a residential central air conditioner ETOTAL, using 

ETOTAL = El + E2. 

4.2.6.2.4 For residential heat pumps only, the annual off-mode energy consumption of a 

residential central air conditioner ETOTAL equals E1. 

• • * * * 

4.3.1 Calculation of actual regional annual performance factors (APF A) for a particular 

location and for each standardized design heating requirement. 

CLHA " Q~(95) + HLHA . DHR" C 

APFA = "k 

CLHA " Qc (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 of the unit as determined from the A or A2 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 heating requirement 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 of interest (see Figure 

2), BtulW·h. The HSPF should correspond to the actual design heating requirement 

(DHR), if known. Ifit does not, it may correspond to one of the standardized design 

heating requirements referenced in section 4.2; 

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 of interest relative to 

Figure 2. For the six generalized climatic regions, this equation simplifies to the following set of 

equations: 

Region I 

Region II 

Region III 

Region IV 

Region V 

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