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[Federal Register Volume 76, Number 106 (Thursday, June 2, 2011)]
[Notices]
[Pages 31951-31954]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-13654]

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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

[Case No. CAC-031]

Energy Conservation Program for Certain Commercial and Industrial 
Equipment: Decision and Order Granting a Waiver to Carrier Corporation 
From the Department of Energy Commercial Package Air Conditioner and 
Heat Pump Test Procedures

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

ACTION: Decision and Order.

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SUMMARY: This notice publishes the U.S. Department of Energy's (DOE) 
Decision and Order in Case No. CAC-031, which grants Carrier 
Corporation (Carrier) a waiver from the existing DOE test procedures 
applicable to commercial package air-source central air conditioners 
and heat pumps. The waiver is specific to the Carrier Super Modular 
Multi-System (SMMSi) variable refrigerant flow (VRF) multi-split 
commercial heat pumps. As a condition of this waiver, Carrier must use 
the alternate test procedure set forth in this notice to test and rate 
its SMMSi VRF multi-split commercial heat pumps.

DATES: This Decision and Order is effective June 2, 2011.

FOR FURTHER INFORMATION CONTACT: Dr. Michael G. Raymond, U.S. 
Department of Energy, Building Technologies Program, Mailstop EE-2J, 
1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: 
(202) 586-9611. E-mail: Michael.Raymond@ee.doe.gov.
    Ms. Elizabeth Kohl, U.S. Department of Energy, Office of General 
Counsel, Mail Stop GC-71, 1000 Independence Avenue, SW., Washington, DC 
20585-0103, (202) 586-7796; E-mail: Elizabeth.Kohl@hq.doe.gov.

SUPPLEMENTARY INFORMATION: In accordance with Title 10 of the Code of 
Federal Regulations (10 CFR) 431.401(f)(4), DOE provides notice of the 
issuance of the Decision and Order set forth below. In this Decision 
and Order, DOE grants Carrier a waiver from the existing DOE commercial 
package air conditioner and heat pump test procedures for its SMMSi VRF 
multi-split products. Carrier must use the alternate test procedure 
provided in this notice (American National Standards Institute/Air-
Conditioning, Heating and Refrigeration Institute (ANSI/AHRI)

[[Page 31952]]

Standard 1230-2010, ``Performance Rating of Variable Refrigerant Flow 
(VRF) Multi-Split Air-Conditioning and Heat Pump Equipment'') to test 
and rate the specified models from its SMMSi VRF multi-split commercial 
heat pumps identified below. The cooling capacities of Carrier's SMMSi 
VRF multi-split heat pumps at issue in the waiver petition filed by 
Carrier range from 72,000 Btu/h to 220,000 Btu/h. All of this equipment 
is covered by ANSI/AHRI Standard 1230-2010, which includes units with 
capacities from 12,000 Btu/h to 300,000 Btu/h.
    Today's decision prohibits Carrier from making any representations 
concerning the energy efficiency of these products unless the product 
has been tested consistent with the provisions and restrictions in the 
alternate test procedure set forth in the Decision and Order below, and 
the representations fairly disclose the test results. (42 U.S.C. 
6314(d)) Distributors, retailers, and private labelers are held to the 
same standard when making representations regarding the energy 
efficiency of these products. Id.

    Issued in Washington, DC, on May 26, 2011.
Kathleen Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Technology 
Development, Energy Efficiency and Renewable Energy.

Decision and Order

    In the Matter of: Carrier Corporation (Carrier) (Case No. CAC-031).

Background

    Title III, Part C of the Energy Policy and Conservation Act of 1975 
(EPCA), Pub. L. 94-163 (42 U.S.C. 6311-6317, as codified) established 
the Energy Conservation Program for Certain Industrial Equipment, a 
program covering certain industrial equipment, which includes the SMMSi 
VRF commercial multi-split heat pumps that are the focus of this 
notice.\1\ Part C specifically includes definitions (42 U.S.C. 6311), 
test procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C. 6315), 
energy conservation standards (42 U.S.C 6313), and the authority to 
require information and reports from manufacturers. 42 U.S.C. 6316. 
With respect to test procedures, Part C authorizes the Secretary of 
Energy (the Secretary) to prescribe test procedures that are reasonably 
designed to produce results that measure energy efficiency, energy use, 
and estimated annual operating costs, and that are not unduly 
burdensome to conduct. (42 U.S.C. 6314(a)(2))
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    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part C was re-designated Part A-1.
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    For commercial package air-conditioning and heating equipment, EPCA 
provides that ``the test procedures shall be those generally accepted 
industry testing procedures or rating procedures developed or 
recognized by the Air-Conditioning and Refrigeration Institute [ARI] or 
by the American Society of Heating, Refrigerating and Air-Conditioning 
Engineers [ASHRAE], as referenced in ASHRAE/IES Standard 90.1 and in 
effect on June 30, 1992.'' (42 U.S.C. 6314(a)(4)(A)) Under 42 U.S.C. 
6314(a)(4)(B), the statute further directs the Secretary to amend the 
test procedure for a covered commercial product if the industry test 
procedure is amended, unless the Secretary determines, by rule and 
based on clear and convincing evidence, that such a modified test 
procedure does not meet the statutory criteria set forth in 42 U.S.C. 
6314(a)(2) and (3).
    On December 8, 2006, DOE published a final rule adopting test 
procedures for commercial package air-conditioning and heating 
equipment, effective January 8, 2007. 71 FR 71340. For commercial air-
source heat pumps, DOE adopted ARI Standard 340/360-2004. Table 1 to 
Title 10 of the Code of Federal Regulations (10 CFR) 431.96 directs 
manufacturers of commercial package air conditioning and heating 
equipment to use the appropriate procedure when measuring energy 
efficiency of those products. The cooling capacities of Carrier's SMMSi 
VRF multi-split heat pumps in its waiver petition range from 72,000 
Btu/h to 220,000 Btu/h. The current test procedure for this equipment 
is ARI Standard 340/360-2004, which includes units with capacities 
greater than 65,000 Btu/hour.
    DOE's regulations for covered products permit a person to seek a 
waiver from the test procedure requirements for covered commercial 
equipment if at least one of the following conditions is met: (1) The 
petitioner's basic model contains one or more design characteristics 
that prevent testing according to the prescribed test procedures; or 
(2) the prescribed test procedures may evaluate the basic model in a 
manner so unrepresentative of its true energy consumption as to provide 
materially inaccurate comparative data. 10 CFR 431.401(a)(1). 
Petitioners must include in their petition any alternate test 
procedures known to the petitioner to evaluate the basic model in a 
manner representative of its energy consumption. 10 CFR 
431.401(b)(1)(iii). The Assistant Secretary for Energy Efficiency and 
Renewable Energy (Assistant Secretary) may grant a waiver subject to 
conditions, including adherence to alternate test procedures. 10 CFR 
431.401(f)(4). Waivers remain in effect pursuant to the provisions of 
10 CFR 431.401(g).
    The waiver process also permits parties submitting a petition for 
waiver to file an application for interim waiver of the applicable test 
procedure requirements. 10 CFR 431.401(a)(2). The Assistant Secretary 
will grant an interim waiver request if it is determined that the 
applicant will experience economic hardship if the application for 
interim waiver is denied, if it appears likely that the petition for 
waiver will be granted, and/or the Assistant Secretary determines that 
it would be desirable for public policy reasons to grant immediate 
relief pending a determination on the petition for waiver. 10 CFR 
431.401(e)(3). An interim waiver remains in effect for 180 days or 
until DOE issues its determination on the petition for waiver, 
whichever occurs first. It may be extended by DOE for an additional 180 
days. 10 CFR 431.401(e)(4).
    On February 16, 2011, Carrier filed a petition for waiver from the 
test procedure at 10 CFR 431.96 applicable to commercial package air 
source central air conditioners and heat pumps, as well as an 
application for interim waiver. The capacities of Carrier's SMMSi VRF 
multi-split heat pumps range from 72,000 Btu/h to 220,000 Btu/h. The 
applicable test procedure for commercial air-source heat pumps is ARI 
340/360-2004. Manufacturers are directed to use these test procedures 
pursuant to Table 1 of 10 CFR 431.96.
    Carrier seeks a waiver from the applicable test procedures under 10 
CFR 431.96 on the grounds that its SMMSi VRF multi-split heat pumps 
contain design characteristics that prevent testing according to the 
current DOE test procedures. Specifically, Carrier asserts that the two 
primary factors that prevent testing of its multi-split variable speed 
products are the same factors stated in the waivers that DOE granted to 
Mitsubishi Electric & Electronics USA, Inc. (Mitsubishi) and other 
manufacturers for similar lines of commercial multi-split air-
conditioning systems:
     Testing laboratories cannot test products with so many 
indoor units; and
     There are too many possible combinations of indoor and 
outdoor units to test. See, e.g., 72 FR 17528 (April 9, 2007) 
(Mitsubishi); 76 FR 19069 (April 6, 2011) (Carrier); 76 FR 19078 (April 
6, 2011) (Mitsubishi).

[[Page 31953]]

    On April 8, 2011, DOE published Carrier's petition for waiver in 
the Federal Register, seeking public comment pursuant to 10 CFR 
431.401(b)(1)(iv), and granted the application for interim waiver. 76 
FR 19759. DOE received one comment on the Carrier petition, from 
Carrier, requesting the adoption of ANSI/AHRI 1230-2010 as the 
alternate test procedure.

Assertions and Determinations

Carrier's Petition for Waiver
    Carrier seeks a waiver from the DOE test procedures for this 
product class on the grounds that its SMMSi VRF multi-split commercial 
heat pumps contain design characteristics that prevent them from being 
tested using the current DOE test procedures. As stated above, Carrier 
asserts that the two primary factors that prevent testing of multi-
split variable speed products are the same factors stated in the 
waivers that DOE granted to Mitsubishi, Fujitsu General Ltd. (Fujitsu), 
Samsung Air Conditioning (Samsung), Daikin, Sanyo, and LG for similar 
lines of commercial multi-split air-conditioning systems: (1) Testing 
laboratories cannot test products with so many indoor units; and (2) 
there are too many possible combinations of indoor and outdoor unit to 
test.
    The SMMSi systems have operational characteristics similar to the 
commercial multi-split products manufactured by Mitsubishi, Samsung, 
LG, Sanyo, Fujitsu and Daikin. As indicated above, DOE has already 
granted waivers for these products. The SMMSi system consists of 
multiple indoor units connected to an air-cooled outdoor unit. The 
indoor units for these products are available in a number of potential 
configurations, including the following: 4-way cassette, compact 4-way 
cassette, high-wall, slim ducted, medium static ducted, high static 
ducted, and ceiling. There are 7 unique outdoor models and 43 unique 
indoor models. A single outdoor model can be connected to up to 38 
indoor units. According to Carrier, the various indoor and outdoor 
models can be connected in a multitude of configurations, with many 
thousands of possible combinations. Consequently, Carrier requested 
that DOE grant a waiver from the applicable test procedures for its 
SMMSi product designs until a suitable test method can be prescribed.
    In responses to two petitions for waiver from Mitsubishi, DOE 
specified an alternate test procedure to provide a basis upon which 
Mitsubishi could test and make valid energy efficiency representations 
for its R410A CITY MULTI equipment, as well as for its R22 multi-split 
equipment. Alternate test procedures related to the Mitsubishi 
petitions were published in the Federal Register on April 9, 2007. See 
72 FR 17528 and 72 FR 17533. The Carrier SMMSi VRF systems have 
operational characteristics similar to the commercial multi-split 
products manufactured by Mitsubishi, Samsung, Fujitsu, Daikin, LG, and 
Sanyo. DOE has granted waivers for these products with a similar 
alternate test procedure prescribed for Mitsubishi. For reasons similar 
to those published in these prior notices, DOE believes that an 
alternate test procedure is appropriate in this instance.
    We note that after DOE granted a waiver for Mitsubishi's R22 multi-
split products, ARI formed a committee to discuss testing issues and to 
develop a testing protocol for variable refrigerant flow systems. The 
committee has developed a test procedure which has been adopted by the 
Air-Conditioning, Heating and Refrigeration Institute (AHRI) and the 
``American National Standards Institute (ANSI), ANSI/AHRI 1230--2010: 
Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-
Conditioning and Heat Pump Equipment.'' This test procedure has been 
incorporated into ASHRAE 90.1--2010. DOE is currently assessing AHRI 
1230-2010, with respect to the requirements for test procedures 
specified by EPCA (42 U.S.C. 6314(a)(4)(B)), and will provide a 
preliminary determination regarding those test procedures in a future 
notice of proposed rulemaking.
    Carrier's petition proposed that DOE apply ANSI/AHRI Standard 1230-
2010 as the alternate test procedure to apply to its SMMSi VRF multi-
split heat pump equipment as a condition of its requested waiver. As 
stated above, the only comment received by DOE regarding the Carrier 
petition was from Carrier, requesting the adoption of ANSI/AHRI 1230-
2010 as the alternate test procedure. The alternate test procedure in 
the commercial multi-split waivers that DOE granted to Mitsubishi and 
the other manufacturers listed above is similar to ANSI/AHRI 1230-2010.
    DOE issues today's Decision and Order granting Carrier a test 
procedure waiver for its commercial SMMSi VRF multi-split heat pumps. 
As a condition of this waiver, Carrier must use ANSI/AHRI 1230-2010 as 
the alternate test procedure.
Alternate Test Procedure
    The alternate test procedure prescribed by DOE in earlier multi-
split waivers, including the interim waiver granted to Carrier in 
response to the current petition, consisted of a definition of a 
``tested combination'' and a prescription for representations. ANSI/
AHRI 1230-2010 also includes a definition of ``tested combination,'' 
and the two definitions are identical in all relevant respects.
    The earlier alternate test procedure provides for efficiency rating 
of a non-tested combination in one of two ways: (1) At an energy 
efficiency level determined using a DOE-approved alternative rating 
method; or (2) at the efficiency level of the tested combination 
utilizing the same outdoor unit. ANSI/AHRI 1230-2010 requires an 
additional test and in this respect is similar to the residential test 
procedure set forth in 10 CFR part 430, subpart B, appendix M. Multi-
split manufacturers must test two or more combinations of indoor units 
with each outdoor unit. The first system combination is tested using 
only non-ducted indoor units that meet the definition of a tested 
combination. The rating given to any untested multi-split system 
combination having the same outdoor unit and all non-ducted indoor 
units is set equal to the rating of the tested system having all non-
ducted indoor units. The second system combination is tested using only 
ducted indoor units that meet the definition of a tested combination. 
The rating given to any untested multi-split system combination having 
the same outdoor unit and all ducted indoor units is set equal to the 
rating of the tested system having all ducted indoor units. The rating 
given to any untested multi-split system combination having the same 
outdoor unit and a mix of non-ducted and ducted indoor units is set 
equal to the average of the ratings for the two required tested 
combinations.
    With regard to the laboratory testing of commercial products, some 
of the difficulties associated with the existing test procedure are 
avoided by the alternate test procedure's requirements for choosing the 
indoor units to be used in the manufacturer-specified tested 
combination. For example, in addition to limiting the number of indoor 
units, another requirement is that all the indoor units must be 
subjected the same minimum external static pressure. This requirement 
enables the test lab to manifold the outlets from each indoor unit into 
a common plenum that supplies air to a single airflow measuring 
apparatus. This eliminates situations in which some of the indoor units 
are ducted and some are non-ducted. Without this requirement, the 
laboratory must evaluate the capacity of a subgroup of indoor coils 
separately

[[Page 31954]]

and then sum the separate capacities to obtain the overall system 
capacity. Measuring capacity in this way would require that the test 
laboratory be equipped with multiple airflow measuring apparatuses. It 
is unlikely that any test laboratory would be equipped with the 
necessary number of such apparatuses. Alternatively, the test 
laboratory could connect its one airflow measuring apparatus to one or 
more common indoor units until the contribution of each indoor unit had 
been measured. However, that approach would be so time-consuming as to 
be impractical.
    For the reasons discussed above, DOE believes Carrier's SMMSi VRF 
multi-split heat pumps cannot be tested using the procedure prescribed 
in 10 CFR 431.96 (ARI Standard 340/360-2004) and incorporated by 
reference in DOE's regulations at 10 CFR 431.95(b)(2)-(3). After 
careful consideration, DOE has decided to prescribe ANSI/AHRI 1230-2010 
as the alternate test procedure for Carrier's commercial multi-split 
products.
Consultations With Other Agencies
    DOE consulted with the Federal Trade Commission (FTC) staff 
concerning the Carrier petition for waiver. The FTC staff did not have 
any objections to issuing a waiver to Carrier.

Conclusion

    After careful consideration of all the materials submitted by 
Carrier, the absence of any comments, and consultation with the FTC 
staff, it is ordered that:
    (1) The petition for waiver filed by Carrier (Case No. CAC-031) is 
hereby granted as set forth in the paragraphs below.
    (2) Carrier shall not be required to test or rate its SMMSi VRF 
multi-split heat pump models listed below on the basis of the test 
procedures cited in 10 CFR 431.96, specifically ARI Standard 340/360-
2004 (incorporated by reference in 10 CFR 431.95(b)(2-3)). Instead, it 
shall be required to test and rate such products according to the 
alternate test procedure as set forth in paragraph (3).
    Standard model outdoor units:

MMY-MAP0724HT9UL, with a capacity of 72,000 Btu/hr
MMY-MAP0964HT9UL, with a capacity of 96,000 Btu/hr
MMY-MAP1144HT9UL, with a capacity of 114,000 Btu/hr
MMY-AP1444HT9UL, with a capacity of 144,000 Btu/hr
MMY-AP1684HT9UL, with a capacity of 168,000 Btu/hr
MMY-AP1924HT9UL, with a capacity of 192,000 Btu/hr
MMY-AP2284HT9UL, with a capacity of 220,000 Btu/hr

    Indoor units, whose capacities range from 7,000 to 48,000 Btu/hr 
that are compatible with the outdoor units listed above:

4-way cassette
    MMU-AP0182H2UL, MMU-AP0212H2UL, MMU-AP0242H2UL, MMU-AP0302H2UL, 
MMU-AP0362H2UL, and MMU-AP0422H2UL
Compact 4-way cassette
    MMU-AP0071MH2UL, MMU-AP0091MH2UL, MMU-AP0121MH2UL, MMU-AP0151MH2UL, 
and MMU-AP0181MH2UL
Ceiling
    MMC-AP0181H2UL, MMC-AP0241H2UL, MMC-AP0361H2UL, and MMC-AP0421H2UL
High-wall
    MMK-AP0073H2UL, MMK-AP0093H2UL, MMK-AP0123H2UL, MMK-AP0153H2UL, 
MMK-AP0183H2UL, and MMK-AP0243H2UL
Slim ducted
    MMD-AP0071SPH2UL, MMD-AP0091SPH2UL, MMD-AP0121SPH2UL, MMD-
AP0151SPH2UL, and MMD-AP0181SPH2UL
Medium static ducted
    MMD-AP0071BH2UL, MMD-AP0091BH2UL, MMD-AP0121BH2UL, MMD-AP0151BH2UL, 
MMD-AP0181BH2UL, MMD-AP0211BH2UL, MMD-AP0241BH2UL, MMD-AP0301BH2UL, 
MMD-AP0361BH2UL, MMD-AP0421BH2UL, and MMD-AP0481BH2UL
High static ducted
    MMD-AP0151H2UL, MMD-AP0181H2UL, MMD-AP0241H2UL, MMD-AP0301H2UL, 
MMD-AP0361H2UL, and MMD-AP0481H2UL

    (3) Alternate test procedure. Carrier is not required to test the 
products listed in paragraph (2) above according to the test procedure 
for commercial package air conditioners and heat pumps prescribed by 
DOE at 10 CFR 431.96 (ARI Standard 340/360-2004 (incorporated by 
reference in 10 CFR 431.95(b)(2)-(3)), but instead shall use the 
alternate test procedure ANSI/AHRI 1230-2010.
    (4) This waiver shall remain in effect from the date this Decision 
and Order is issued, consistent with the provisions of 10 CFR 
431.401(g).
    (5) This waiver is issued on the condition that the statements, 
representations, and documentary materials provided by the petitioner 
are valid. DOE may revoke or modify the waiver at any time if it 
determines that the factual basis underlying the petition for waiver is 
incorrect, or the results from the alternate test procedure are 
unrepresentative of the basic models' true energy consumption 
characteristics.
    (6) This waiver applies only to those basic models set out in 
Carrier's petition for waiver. Grant of this waiver does not release a 
petitioner from the certification requirements set forth at 10 CFR part 
429.

    Issued in Washington, DC, on May 26, 2011.

Kathleen B. Hogan,
Deputy Assistant Secretary, Energy Efficiency and Renewable Energy.
[FR Doc. 2011-13654 Filed 6-1-11; 8:45 am]
BILLING CODE 6450-01-P
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