This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

65616 

Vol. 76, No. 205 

Monday, October 24, 2011 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket No. EERE–2009–BT–TP–0004] 

RIN 1904–AB94 

Energy Conservation Program for 

Consumer Products: Test Procedures 

for Residential Central Air 

Conditioners and Heat Pumps 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Supplemental notice of 

proposed rulemaking. 

SUMMARY: The U.S. Department of 

Energy (DOE or the Department) 

proposed amendments to the DOE test 

procedure for residential central air 

conditioners and heat pumps in a June 

2010 notice of proposed rulemaking 

(June 2010 NOPR) and in an April 2011 

supplemental notice of proposed 

rulemaking (April 2011 SNOPR). The 

amendments proposed in this 

subsequent SNOPR would change the 

off-mode laboratory test steps and 

calculation algorithm to determine offmode power consumption for 

residential central air conditioners and 

heat pumps. DOE welcomes written 

comments from the public on any 

subject within the scope of this test 

procedure rulemaking for addressing the 

off-mode energy consumption of 

residential central air conditioners and 

heat pumps. 

DATES: DOE will accept comments, data, 

and other information regarding this 

supplemental notice of proposed 

rulemaking (SNOPR) no later than 

November 23, 2011. See section 0, 

‘‘Public Participation,’’ of this SNOPR 

for details. 

ADDRESSES: Interested parties may 

submit comments, identified by docket 

number EERE–2009–BT–TP–0004 or 

Regulation Identifier Number (RIN) 

1904–AB94, by any of the following 

methods: 

1. Federal eRulemaking Portal: 

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

instructions for submitting comments. 

2. E-mail: RCAC-HP-2009-TP0004@ee.doe.gov. Include the docket 

number EERE–2009–BT–TP–0004 and/ 

or RIN 1904–AB94 in the subject line of 

the message. 

3. Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. If 

possible, please submit all items on a 

compact disc (CD), in which case it is 

not necessary to include printed copies. 

Otherwise, please submit one signed 

paper original. 

4. Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza, SW., Suite 600, 

Washington, DC 20024. Telephone: 

(202) 586–2945. If possible, please 

submit all items on a CD, in which case 

it is not necessary to include printed 

copies. Otherwise, please submit one 

signed paper original. 

Instructions: No telefacsimilies (faxes) 

will be accepted. All submissions must 

include the docket number or RIN for 

this rulemaking. For detailed 

instructions on submitting comments 

and additional information on the 

rulemaking process, see section 0, 

‘‘Public Participation,’’ of this 

document. 

Docket: The docket is available for 

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

including Federal Register notices, 

framework documents, public meeting 

attendee lists and transcripts, 

comments, and other supporting 

documents/materials. All documents in 

the docket are listed in the http:// 

www.regulations.gov index. However, 

not all documents listed in the index 

may be publicly available, such as 

information that is exempt from public 

disclosure. 

A link to the docket web page can be 

found at: http://www1.eere.energy.gov/

buildings/appliance_standards/

residential/residential_cac_hp.html. 

This web page will contain a link to the 

docket for this notice on the Web site 

http://www.regulations.gov. The http:// 

www.regulations.gov Web page will 

contain simple instructions on how to 

access all documents, including public 

comments, in the docket. See section 0, 

‘‘Public Participation,’’ for information 

on how to submit comments through 

regulations.gov. 

For further information on how to 

submit or review public comments or 

view hard copies of the docket, contact 

Ms. Brenda Edwards at (202) 586–2945 

or e-mail: Brenda.Edwards@ee.doe.gov. 

FOR FURTHER INFORMATION CONTACT: 

Ashley Armstrong, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–6590. E-mail: 

Ashley.Armstrong@ee.doe.gov. Ms. 

Jennifer Tiedeman, U.S. Department of 

Energy, Office of the General Counsel, 

GC–71, 1000 Independence Avenue, 

SW., Washington, DC 20585. Telephone: 

(202) 287–6111. E-mail: 

Jennifer.Tiedeman@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Authority and Background 

A. Authority 

B. Background 

II. Summary of the Proposal 

III. Discussion 

A. Testing Burden and Complexity 

B. Individual Component Testing 

C. Length of Shoulder and Heating Seasons 

D. Proposed Test Methods and 

Calculations for Off-Mode Power and 

Energy Consumption of Residential 

Central Air Conditioners and Heat 

Pumps 

1. Provisions for Large Tonnage Systems 

2. Special Requirements for MultiCompressor Systems 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under the Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

V. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

1. The Proposed Equation for the 

Calculation of a System’s Off-Mode 

Rating 


srobinson on DSK4SPTVN1PROD with PROPOSALS
Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 65617 

1For editorial reasons, upon codification in the 

U.S. Code, Part B was re-designated Part A. 

2. An Appropriate Scaling Factor To 

Account for Larger Units Requiring a 

Larger Crankcase Heater Due to Bigger 

Compressors and Larger Refrigerant 

Volume 

3. The Proposed Equation To Adjust 

Crankcase Heater Power Draw for 

Systems With Multiple Compressors 

4. The Estimate of the Number of Small 

Entities That May Be Impacted by the 

Proposed Test Procedure 

5. The Estimate of the Impact of the 

Proposed Test Procedure Amendments 

on Small Entities and Its Conclusion 

That This Impact Is Not Significant 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

A. Authority 

Title III, Part B of the Energy Policy 

and Conservation Act of 1975 (EPCA or 

the Act), Public Law 94–163 (42 U.S.C. 

6291–6309, as codified), established the 

Energy Conservation Program for 

Consumer Products Other Than 

Automobiles, a program covering most 

major household appliances, including 

the single phrase residential central air 

conditioners and heat pumps with rated 

cooling capacities less than 65,000 

British thermal units per hour (Btu/h) 

that are the focus of this notice.1 (42 

U.S.C. 6291(1)–(2), (21) and 6292(a)(3)) 

Under EPCA, the program consists of 

four activities: (1) Testing; (2) labeling; 

and (3) Federal energy conservation 

standards, and also (4) certification, 

compliance, and enforcement. The 

testing requirements consist of test 

procedures that manufacturers of 

covered products must use as the basis 

for certifying to DOE that their products 

comply with applicable energy 

conservation standards adopted 

pursuant to EPCA and for representing 

the efficiency of those products. (42 

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

Similarly, DOE must use these test 

procedures in any enforcement action to 

determine whether covered products 

comply with these energy conservation 

standards. (42 U.S.C. 6295(s)) Under 42 

U.S.C. 6293, EPCA sets forth criteria and 

procedures for DOE’s adoption and 

amendment of such test procedures. 

Specifically, EPCA provides that an 

amended test procedure shall produce 

results which measure the energy 

efficiency, energy use or estimated 

annual operating cost of a covered 

product over an average or 

representative period of use, and shall 

not be unduly burdensome to conduct 

(42 U.S.C. 6293(b)(3)) In addition, if 

DOE determines that a test procedure 

amendment is warranted, it must 

publish proposed test procedures and 

offer the public an opportunity to 

present oral and written comments on 

them. (42 U.S.C. 6293(b)(2)) Finally, in 

any rulemaking to amend a test 

procedure, DOE must determine the 

extent to which the proposed test 

procedure would change, if at all, the 

measured efficiency of a system which 

was tested under the existing test 

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

determines that the amended test 

procedure would alter the measured 

efficiency of a covered product, DOE 

must amend the applicable energy 

conservation standard accordingly. (42 

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

proposed in today’s SNOPR will not 

alter the measured efficiency, as 

represented in the regulating metrics of 

seasonal energy efficiency ratio (SEER) 

and heating seasonal performance factor 

(HSPF) of residential central air 

conditioners and heat pumps. Thus, 

today’s proposed test procedure changes 

can be adopted without amending the 

existing standards. (42 U.S.C. 

6293(e)(2)) 

On December 19, 2007, the President 

signed the Energy Independence and 

Security Act of 2007 (EISA 2007), Public 

Law 110–140, which contains numerous 

amendments to EPCA. Section 310 of 

EISA 2007 established that the 

Department’s test procedures for all 

covered products must account for 

standby mode and off-mode energy 

consumption. (42 U.S.C. 6295(gg)(2)(A)) 

Today’s SNOPR includes proposals 

relevant to these statutory provisions. 

DOE’s existing test procedures for 

residential central air conditioners and 

heat pumps adopted pursuant to these 

provisions appear under Title 10 of the 

Code of Federal Regulations (CFR) part 

430, subpart B, appendix M (‘‘Uniform 

Test Method for Measuring the Energy 

Consumption of Central Air 

Conditioners and Heat Pumps’’). These 

procedures establish the currently 

permitted means for determining energy 

efficiency and annual energy 

consumption of these products. 

B. Background 

DOE’s initial proposals for estimating 

off-mode energy consumption in the test 

procedure for residential central air 

conditioners and heat pumps were 

shared with the public in a notice of 

proposed rulemaking published in the 

Federal Register on June 2, 2010 (June 

2010 NOPR; 75 FR 31224) and at a 

public meeting at DOE headquarters in 

Washington, DC on June 11, 2010. 

Subsequently, DOE published a 

supplemental notice of proposed 

rulemaking (SNOPR) on April 1, 2011 in 

response to comments received on the 

June 2010 NOPR, and due to the results 

of additional laboratory testing 

conducted by DOE. 76 FR 18105, 18127. 

DOE received additional comments in 

response to the April 2011 SNOPR. In 

today’s SNOPR, DOE addresses only 

those comments not previously 

addressed in the April 2011 SNOPR that 

concern off-mode testing of central air 

conditioners and heat pumps. DOE will 

subsequently address the remainder of 

the unrelated comments in response to 

both the June 2010 NOPR and April 

2011 SNOPR in the test procedure final 

rule. 

In the June 2010 NOPR, DOE 

proposed new laboratory tests and 

calculation algorithms for determining 

the off-mode power and off-mode 

energy consumption of residential 

central air conditioners and heat pumps, 

which were subsequently modified in 

the April 2011 SNOPR. 75 FR 31238–39; 

76 FR 18107–09. The off-mode rating 

reflects those extended times of the year 

during which a residential central air 

conditioner or heat pump sits idle. The 

energy consumed by these products 

during these extended times is not 

accounted for by the existing seasonal 

rating metrics of SEER and HSPF. 

One of the extended off-mode 

intervals was designated the ‘‘shoulder 

season’’ in the June 2010 NOPR. 75 FR 

31239. The shoulder season for central 

air conditioners is defined as the time 

between the cooling and heating seasons 

when the unit provides no cooling and 

when the unit is idle during the entire 

heating season. The shoulder season for 

residential heat pumps is defined as the 

time between the cooling and heating 

seasons when the unit provides neither 

heating nor cooling. 

The off-mode testing and calculations 

proposed in the June 2010 NOPR would 

be used to determine the average power 

consumption of a residential central air 

conditioner or heat pump during the 

shoulder season (represented by the 

variable P1) and, for residential central 

air conditioners, the unit’s average 

power consumption during the heating 

season (represented by the variable P2). 

75 FR at 31238–39. The resulting 

average power values may then be 

multiplied by the number of hours 

assigned to the shoulder and heating 

seasons to obtain the corresponding offmode energy values. In the June 2010 

NOPR, DOE proposed an approach for 

assigning the number of hours to the 

shoulder and heating seasons, as 

specified in ASHRAE Standard 137– 

2009. Id. For any given location or for 

each of the six DOE generalized climate 


srobinson on DSK4SPTVN1PROD with PROPOSALS
65618 Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 

2Each 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. 

3 In the following discussion, comments will be 

presented along with a notation in the form ‘‘NEEA 

and NPCC, No. 26 at pp. 2–3,’’ which identifies a 

written comment DOE received and included in the 

docket of this rulemaking. DOE numbers all 

comments based on when the comment was 

submitted in the rulemaking process. This 

particular notation refers to a comment by (1) By 

NEEA and NPCC, (2) in document number 26 in 

this docket, and (3) appearing on pages 2–3. 

regions,2 the sum of the hours in the 

cooling, heating, and shoulder seasons 

equals 8,760 hours. See Figures 2 and 3 

of 10 CFR part 430, subpart B, appendix 

M. As proposed in the June 2010 NOPR, 

annual operating cost calculations 

would represent operation of a 

residential central air conditioner or 

heat pump over a complete 8,760-hour 

year, not just the cooling season (in the 

case of a residential central air 

conditioner) or just the cooling and 

heating seasons (in the case of a heat 

pump). Id. at 31238–39. 

DOE included off-mode testing and 

calculations among the issues revisited 

in the April 2011 SNOPR as a result of 

comments received from interested 

parties in response to the originally 

proposed off-mode tests and 

calculations, and as a result of 

information gained from testing 

conducted by DOE after the close of the 

public comment period for the June 

2010 NOPR. 76 FR at 18107–09. Most of 

the proposed revisions introduced in 

the April 2011 SNOPR applied to the 

laboratory testing of units with 

compressor crankcase heaters. Id. Rather 

than attempting to formulate a single 

generic test that would apply to all units 

with a crankcase heater, DOE proposed 

multiple product-specific tests. The 

tests were structured to differentiate 

between residential central air 

conditioners and heat pumps, between 

fixed-output and self-regulating 

crankcase heaters, between 

thermostatically controlled and 

continuously on heater designs, and 

between local and global thermostatic 

control options. Id. at 18109. 

As explained in the April 2011 

SNOPR, ‘‘local’’ control refers to cases 

in which the heater is regulated based 

on a measured or inferred temperature 

of the compressor sump. Global control 

refers to cases in which the heater’s 

operation is regulated based on a 

measured or inferred temperature that is 

not influenced by the crankcase heater. 

Id. The most common example of global 

control is a heater that is powered or 

unpowered based on the temperature 

measured by an outdoor air thermostat. 

Id. 

Most of the proposed revisions to the 

off-mode calculations set forth in the 

April 2011 SNOPR specified which 

laboratory test to conduct based on 

system characteristics (e.g., presence of 

crankcase heater controls). For example, 

separate off-mode calculations were 

provided for fixed-output heaters and 

self-regulating heaters. Id. at 18117–25. 

Additionally, calculations were 

proposed to account for use of local 

control, global control or a combination 

of local and global control. Id. Other 

calculation changes were proposed to 

better balance test burden and test rigor. 

Id. at 18107–08. Specifically, a method 

to extrapolate test data in lieu of actual 

testing was proposed for certain 

crankcase heater controls which would 

take the longest to physically test. Id. 

Finally, in light of the need for an 

overall off-mode rating for residential 

central air conditioners, DOE 

introduced an algorithm for weighting 

the shoulder season off-mode rating, P1, 

with the heating season off-mode rating, 

P2. Id. at 18111. When P1 and P2 are 

weighted based on the national average 

values for the lengths of the shoulder 

and heating seasons, the overall offmode rating is specifically designated 

by the variable PW,OFF. Id. The amended 

off-mode energy conservation standards 

for central air conditioners are defined 

in terms of PW,OFF and are set forth in 

the recently published direct final rule 

(DFR) for amended energy conservation 

standards for these products. 76 FR 

37408, 37411(June 27, 2011). 

Stakeholders raised significant issues 

and suggested changes to the test 

procedure proposals set forth in the 

April 2011 SNOPR, as further described 

below. Based on these comments and 

additional laboratory testing conducted 

by DOE, DOE’s position on these topics 

has evolved. Today’s SNOPR shares 

DOE’s current position on the test 

procedure for residential central air 

conditioners and heat pumps, and 

provides interested parties with an 

additional opportunity to comment on 

its proposed methodology. 

II. Summary of the Proposal 

Today’s SNOPR revisits the test 

methods and calculations for off-mode 

power and energy consumption, which 

were originally proposed in the June 

2010 NOPR and modified in the April 

2011 SNOPR. DOE now proposes to 

revise the off-mode testing procedures 

and calculation algorithms set forth in 

the April 2011 SNOPR to shorten the 

duration and burden of the off-mode 

testing, while still adequately measuring 

the off-mode power consumption of the 

tested residential central air conditioner 

or heat pump. Specifically, DOE 

proposes that the applicable test and 

calculation combination will depend on 

whether the tested unit is equipped 

with a crankcase heater and whether or 

not the crankcase heater operation is 

controlled by the unit during the test. 

Furthermore, DOE proposes to alter the 

calculation for PWOFF that is used to 

determine the overall off-mode rating 

for residential central air conditioners 

and heat pumps. 

DOE proposes to make the off-mode 

test procedure additions in today’s 

SNOPR effective 180 days after 

publication of the test procedure final 

rule in the Federal Register. By doing 

so, DOE would not require 

manufacturers to publish the new rating 

metrics by this time, but rather, would 

require that manufacturers use the 

amended test procedure as of this date 

only if they wish to make 

representations of the off-mode energy 

consumption of their central air 

conditioners and heat pumps. In 

addition, DOE proposes to require that 

the compliance date for these test 

procedure amendments correspond to 

the January 1, 2015 compliance date for 

the amended energy conservation 

standards for residential central air 

conditioners and heat pumps. 76 FR 

39245. 

III. Discussion 

This section provides discussion of 

the revisions and additions to the test 

procedure that DOE proposes in this 

SNOPR, based in part on comments 

DOE received in response to the April 

2011 SNOPR. Section 0 describes DOE’s 

proposed changes to test methods and 

calculations for off-mode power and 

energy consumption. Additionally, DOE 

provides the specific proposed revisions 

to 10 CFR 430, subpart B, appendix M, 

‘‘Uniform Test Method for Measuring 

the Energy Consumption of Central Air 

Conditioners and Heat Pumps’’ as part 

of this SNOPR. 

A. Testing Burden and Complexity 

The majority of comments received 

following publication of the April 2011 

SNOPR addressed the revised off-mode 

testing requirements. In a joint 

comment, Northwest Energy Efficiency 

Alliance (NEEA) and Northwest Power 

Coordinating Council (NPCC) stated that 

the lack of test data precludes an 

interested party from evaluating 

whether the proposed off-mode test 

method reasonably captures off-mode 

energy use. (NEEA and NPCC, No. 26 at 

pp. 2–3) 3 In another joint comment, the 

Appliance Standards Awareness Project 

(ASAP), the American Council for an 


srobinson on DSK4SPTVN1PROD with PROPOSALS
Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 65619 

4ARMs 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. 

5See Docket Number EERE–2011–BP–TP–00024 

at regulations.gov for more information on the 

AEDM and ARM rulemaking. A request for 

information was published in the Federal Register 

on April 18, 2011. 76 FR 21673 (April 18, 2011) 

Energy-Efficient Economy (ACEEE), and 

the Natural Resources Defense Council 

(NRDC) encouraged DOE to capture 

crankcase heater energy consumption in 

the test procedure with minimal testing 

burden while providing a means to 

encourage innovative designs that 

minimize off-mode energy 

consumption. (ASAP, ACEEE, and 

NRDC, No. 27 at pp. 1–2) The California 

State Investor Owned Utilities (CAIOUs) 

supported DOE’s proposal to account for 

different types of crankcase heaters and 

crankcase heater controls. (CAIOUs, No. 

23 at p. 1) 

Both the American Heating and 

Refrigeration Institute (AHRI) and Trane 

stated that the proposed off-mode test 

procedure is unnecessarily complex. 

(AHRI, No. 24 at p. 1; Trane, No. 21 at 

p. 1) AHRI further stated that it does not 

support DOE’s proposed off-mode test 

procedure because the procedure is too 

expensive and will not achieve the 

desired result. (AHRI, No. 24 at p. 1) 

Trane submitted similar comments, 

noting that the off-mode proposal will 

significantly increase testing time, thus 

adding to the cumulative regulatory 

burden. (Trane, No. 21 at p. 1) In 

exploring an alternative to the off-mode 

test method proposed in the April 2011 

SNOPR, AHRI questioned whether the 

same or similar results could be 

achieved with minimal testing and/or 

analysis. (AHRI, No. 24 at p. 1) AHRI 

went on to offer specific alternatives 

and modifications to DOE’s proposed 

off-mode test method, including 

reducing the number of samples tested, 

using default values to reduce some of 

the test burden, and adding an 

alternative set of more component-based 

off-mode tests (see Section 0). (AHRI, 

No. 28 at pp. 2, 6–7, and 35–38) 

DOE agrees with the joint comment 

from ASAP, ACEEE and NRDC, and 

notes that one of the key objectives 

considered by DOE in amending the test 

procedure for residential central air 

conditioners and heat pumps is 

obtaining a reasonable balance between 

test burden and off-mode ratings that 

sufficiently differentiate among 

products. In response to the comment 

by NEEA and NPCC regarding 

insufficient data, DOE conducted 

additional testing for this SNOPR, 

which is discussed in detail in section 

0, and collected additional data from 

stakeholders. Based on consideration of 

comments by AHRI and Trane, as well 

as results of additional laboratory 

testing, DOE also concurs that the added 

complexity and burden resulting from 

proposed changes in the April 2011 

SNOPR would outweigh the benefits of 

distinguishing among different types of 

off-mode systems to more specifically 

capture a unit’s off-mode power 

consumption. Consequently, in today’s 

notice, DOE is proposing additional 

revisions to the off-mode test procedure 

to reduce the burden and complexity of 

testing, while still achieving the 

intended purpose of accurately 

measuring off-mode power 

consumption. The methodology of this 

revised procedure is discussed in 

section 0. 

B. Individual Component Testing 

To reduce the testing burden and 

complexity, as discussed above, AHRI 

recommended a component-based 

testing approach and questioned the 

amount of testing that should be 

required to determine off-mode ratings 

accurately for a product family. (AHRI, 

No. 28 at pp. 3–50) Specifically, AHRI 

recommended adding text to the Code of 

Federal Regulations that would allow 

off-mode ratings to be obtained in one 

of two ways: (1) By testing a minimum 

of two units from each basic model 

group of a given product family; or (2) 

by bench testing a minimum of 10 

samples of each component that 

contributes to off-mode energy use (e.g., 

each type of crankcase heater, each type 

of controller, etc.) and then using the 

data obtained to conduct off-mode 

calculations. With respect to the first 

option, AHRI pointed out the need to 

define ‘‘product family’’ and offered the 

following proposed definition: ‘‘any set 

of basic model groups that have the 

same (or less) power consumption 

devices, including but not limited to: 

control board, crankcase heater, 

timer(s), switches, etc.’’ (AHRI, No. 28 at 

p. 4) According to AHRI’s 

recommendation, two or more samples 

would be tested using the full system, 

off-mode tests specified in the April 

2011 SNOPR. DOE believes that the 

purpose of the AHRI proposal is to 

identify a single off-mode rating for all 

central air conditioners or heat pumps 

of the same product family. 

The second AHRI recommendation of 

testing a minimum of 10 samples of 

each relevant component would need to 

be done separately from the complete 

system testing conducted for 

determining the SEER and HSPF of a 

particular unit. AHRI notes that this 

approach reduces the ‘‘overall testing 

burden by allowing non-psychometric 

room testing but yet increase[s] 

confidence in values by increasing 

sample size.’’ (AHRI, No. 28 at p. 4) 

According to AHRI, its proposed ‘‘short 

cut,’’ or component-based testing 

approach, ‘‘may be used for rating 

products only after the manufacturer 

verifies a single sample using the 

appropriate section 3.13 procedure [i.e., 

the off-mode tests specified in the April 

2011 SNOPR] and [that] the P1 and P2 

values measured via section 3.13 and 

calculated per section 3.14 [i.e., the 

AHRI component-based method] are 

within 10% of each other.’’ (AHRI, No. 

28 at p. 35) DOE views this approach as 

a variation of its alternative rating 

method (ARM) or alternative energy 

determination method (AEDM) 4

approach used for rating untested split 

system combinations for SEER and 

HSPF. 

In response to AHRI’s proposals, DOE 

is not considering changes to the 

definition of product family or, by 

extension, basic model, at this time. 

DOE recently clarified its definition of 

a basic model in its March 2011 

certification, compliance, and 

enforcement final rule. 76 FR 12422 

(March 7, 2011) Nonetheless, DOE 

agrees with AHRI’s contention that a 

manufacturer will need a sample of 

sufficient size, which is not less than 

two units, to determine the certified 

rating for the off-mode energy 

consumption of a given product. With 

respect to AHRI’s second 

recommendation of using ARMs to 

calculate off-mode energy consumption, 

DOE has an open rulemaking to address 

many issues associated with alternate 

methods of determining the efficiency of 

central air conditioners and heat 

pumps.5 DOE plans to address the 

applicability of ARMs to the off-mode 

consumption measurement in that 

rulemaking. While DOE agrees that both 

of AHRI’s recommendations provide 

potential mechanisms for obtaining offmode ratings for a manufacturer’s 

complete product line without requiring 

excessive testing time and does not seek 

to limit the use of ARMs or AEDMs, 

DOE believes that its own revised 

procedure is not unduly burdensome 

and that there is benefit to conducting 

off-mode tests in conjunction with the 

tests for SEER and HSPF. Consequently, 

DOE is proposing an off-mode test 

procedure, which is detailed in section 

0, and comprises whole system testing, 

not testing or simulation of individual 

components. 


srobinson on DSK4SPTVN1PROD with PROPOSALS
65620 Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 

6 IECC standards are used to support the design 

and construction of energy efficient buildings. 

These standards vary by assigned climate zone, 

with the country divided into eight climate zones 

and three climate types (dry, marine, moist). A 

summary of these standards and map of the climate 

zones is available at http://reca-codes.org/pages/ 

iecc2009.html. 

7TMY3 refers to a data set of hourly values of 

solar radiation and meteorological elements for a 1- 

year period recorded in 1,029 locations. This data 

set is compiled by the National Renewable Energy 

Laboratory (NREL) and allows for the simulation of 

building systems, such as central air conditioners 

or heat pumps in various locations. See http:// 

rredc.nrel.gov/solar/old_data/nsrdb/1991–2005/ 

tmy3/ for additional information. 

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 shoulder season hours 

calculated would meet stakeholder 

expectations. While DOE acknowledges 

that a review of the load hour maps is 

perhaps a useful exercise, DOE does not 

intend to conduct this analysis during 

this rulemaking because it believes that 

its proposed season lengths which are 

based on the DOE climate regions are 

adequate to determine typical 

performance of a tested system. 

Neither AHRI nor Trane explicitly 

suggested a method for updating the 

lengths of seasons, but both disagreed 

with DOE’s definition of shoulder 

season and opined that the number of 

hours assigned to the shoulder season 

was high and needed to be re-evaluated. 

(AHRI, No. 24 at pp. 1–2; Trane, No. 21 

at p. 1) Further, Trane expressed 

concern that the off-mode hours 

reflected in the April 2011 SNOPR 

would be over-representative of several 

southern climates in particular. (Trane, 

No. 21 at p. 1) DOE agrees that the 

shoulder season will vary with climate, 

but notes that, under EPCA, DOE is not 

permitted to develop regional off-mode 

standards. (42 U.S.C. 6295(gg)(3)(B)) 

Consequently, DOE must develop a 

‘‘typical’’ profile for allocating the hours 

in a year to each of the seasons 

considered. 

However, DOE believes that 

stakeholder concerns regarding the 

relative length of seasons and 

consequent over-representation for 

certain areas have merit. Since EPCA 

does not allow for regional off-mode 

standards, DOE is instead proposing a 

calculation method that is independent 

of the climate region and bin hours and 

will instead equally weight the two 

different power measurements in 

calculating the off mode metric. This 

approach is discussed in further detail 

below. 

D. Proposed Test Methods and 

Calculations for Off-Mode Power and 

Energy Consumption of Residential 

Central Air Conditioners and Heat 

Pumps 

Interested parties also provided 

additional comments on specific 

elements of the off-mode test method 

proposed in the April 2011 SNOPR. 

Both NRDC and CAIOUs expressed their 

preference that manufacturers be 

required to report both the central air 

conditioner’s shoulder season off-mode 

rating, P1, and its heating season offmode rating, P2, rather than to report 

the proposed combined off-mode rating, 

P w,off. (NRDC, No. 22 at p. 3; CAIOUs, 

No. 23 at p. 1) AHRI proposed adding 

definitions for T00, the temperature at 

which the crankcase heater begins to 

cycle on, and T100, the temperature at 

which the crankcase heater must 

operate continuously, within the 

amended Appendix M. (AHRI, No. 28 at 

p. 10) Trane stated that definitions for 

T00 and T100 should not be expressed 

in terms of ambient temperature, but 

rather, in terms of crankcase 

temperature for those units that are 

thermostatically controlled. (Trane, No. 

21 at p. 1) Because of revisions 

proposed in today’s notice, DOE is no 

longer planning to use T00 or T100, and 

therefore does not intend to add 

definitions for these terms in appendix 

M. With respect to NRDC’s and CAIOUs’ 

comments regarding certification 

requirements, DOE will consider those 

issues as part of the regional standards 

enforcement rulemaking, through which 

it will address all of the reporting 

requirements for central air conditioners 

and heat pumps. Pursuant to EPCA, 

DOE will begin this rulemaking within 

90 days of issuing a final rule for 

residential central air conditioners and 

heat pumps. (42 U.S.C. 

6295(o)(6)(G)(ii)(I)) 

Further, both Trane and AHRI 

questioned the need to consider 

crankcase heater operation during the 

shoulder season, which would be 

represented by the outdoor temperature 

bins of 57 °F, 62 °F, 67 °F, and 72 °F, 

according to DOE’s proposal. (Trane, 

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

AHRI commented that off-mode power 

consumption at 57 ßF should be the only 

temperature set-point that matters. 

(AHRI, No. 24 at p. 2) Additionally, 

Trane and AHRI stated that DOE’s 

proposed requirement for the crankcase 

heater power measurement to begin five 

minutes after the end of the compressor 

run-time will not measure crankcase 

heater power correctly for heaters that 

are thermostatically controlled or that 

use a time delay relay. (Trane, No. 21 at 

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

In response to comments by 

stakeholders, DOE conducted additional 

testing on 2 central air conditioners and 

3 heat pumps, all of which were one 

compressor systems. This testing was 

done to according to the procedure 

which is proposed in today’s notice and 

complements the prior testing which 

DOE already conducted. DOE also 

received off-mode data from AHRI for 

80 heat pumps and 44 central air 

conditioners; 74 of these 124 systems 

were two-compressor systems. (AHRI, 

No. 30 at p.1) A summary of AHRI’s 

data, which were produced using the 

procedure in the April 2011 SNOPR, is 

contained below in Table 0–1: 

TABLE 0–1—AHRI OFF-MODE DATA

Average 

PWOFF

(W) 

Range 

(W) 

Heat Pumps .............. 69 32–103 

Central Air Conditioners ................... 122 45–136 

Two Compressor 

Central Air Conditioners and Heat 

Pumps ................... 120.1 103–136 


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Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 65621 

8As 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 °F 

and an indoor ambient dry bulb inlet temperature 

of 80 °F. 

While DOE appreciates AHRI’s effort, 

DOE is concerned that it cannot 

determine the types of systems which 

were used to produce these results and 

that these results may not be 

representative of the entire market. No 

explanation was provided as to why the 

central air conditioner off-mode average 

is significantly higher than the heat 

pump off-mode average. In its 

submission, AHRI stated that ‘‘systems 

with PWOFF greater than 100 are very 

efficient (18–20 SEER) and have two 

compressors.’’ This statement indicates 

that the average central air conditioner 

reflected in this data is a high efficiency 

system with two compressors; DOE does 

not believe that such systems represent 

the average central air conditioner in the 

marketplace. Further, the label on the 

data submitted by AHRI for the twocompressor systems indicates that the 

data are representative of both central 

air conditioners and heat pumps. 

However, the lower bound of the range 

is greater than the higher bound of the 

heat pump range, which suggests that 

the data only comprise central air 

conditioners. DOE acknowledges 

AHRI’s concerns, but believes that its 

own data are more representative of the 

market and chose to base the analysis on 

this data. 

Additionally, DOE disagrees with 

Trane and AHRI that crankcase heater 

operation may not need to be accounted 

for during the shoulder season. While a 

crankcase heater with controls may not 

turn on during the shoulder season, an 

uncontrolled crankcase heater would 

run constantly during the shoulder 

season. Therefore, DOE believes that it 

is important to consider crankcase 

heater operation during the shoulder 

season. 

Previously, DOE considered testing at 

four different temperatures (57 °F, 62 °F, 

67 °F, 72 °F), but believes that testing at 

four temperatures is unnecessary and 

does not provide sufficient benefit to 

justify the additional test burden. With 

four test temperatures, the intermediate 

points will be equal to either the higher 

test point or the lower test point, 

depending on when the crankcase 

heater turns on (because it is always 

either on or off). Based on this 

conclusion and the results of the 

additional testing, DOE agrees with 

stakeholder observations regarding test 

temperatures, and proposes to base the 

off-mode rating,PW,OFF, for units with a 

cooling capacity of 36,000 Btu/h or less, 

on an average of wattages, P1 and P2, 

which are recorded at two different 

outdoor ambient temperatures: 82 °F for 

P1 and 57 °F for P2. For systems with 

crankcase heater controls, the higher 

temperature set point would measure 

the off-mode contribution from 

components other than the crankcase 

heater, while DOE believes that the 

lower test point is sufficiently low that 

the crankcase heater would be 

energized. However, for systems 

without a crankcase heater or with an 

uncontrolled crankcase heater, there 

would be no difference between 

measurements taken at the two different 

temperatures. Consequently, DOE 

proposes to only test these systems at 

82 °F and use this measured value for 

both P2 and P1. 

Where, 

P1X = the overall system power draw at 82 °F, 

W, 

PX = the power draw at 82 °F of components 

not associated with the residential 

central air conditioner or heat pump, W, 

and 

Where, 

P2X = the overall system power draw at 57 °F, 

W. 

P1 and P2 are then combined to 

calculate PW,OFF: 

To address concerns from AHRI and 

Trane with respect to time delay 

switches and the potential for 

inaccurate results due to a thermostat 

being placed on a warm compressor, 

DOE proposes to require the 

manufacturer to specify the presence of 

these components in the installation 

manuals, so that the off-mode tests for 

these systems may be run prior to the 

tests for SEER and HSPF. Running offmode tests first would ensure that the 

time delay switch has not been activated 

and also that the thermostat will not be 

influenced by any heat from the 

compressor because the unit would not 

have yet been run. For units without 

these components and for units with 

time delay switches and for which there 

is no indication of their presence in 

their installation manual, the off-mode 

tests would be done after the steady 

state ‘B’ test.8 DOE seeks comment on 

its equation for calculating a system’s 

off-mode rating. (See Issue 1 in section 

0, ‘‘Issues on Which DOE Seeks 

Comment’’). 

1. Provisions for Large Tonnage Systems 

For its off-mode analysis, DOE 

analyzed units with a cooling capacity 

of three tons (36,000 Btu/h), which is 

the capacity most representative of units 

in the marketplace. However, DOE is 

concerned that larger capacity units 

have characteristics which could make 

it more difficult for them to achieve the 

same standard as those at the 

representative three-ton capacity. 

Specifically, DOE believes that larger 

units may require a larger crankcase 

heater to ensure safe compressor 

operation because four- and five-ton 

units typically have larger compressors 

as well as larger refrigerant volumes. 

These two characteristics could 

necessitate a crankcase heater with a 

higher power than 40 W crankcase 

heaters, which DOE observed in units at 

the representative capacity. Based on 

further research into system 

specification sheets and teardown data 

from the standards rulemaking for these 

products, DOE believes that larger 

capacity units require a larger crankcase 

heater and is now proposing a scaling 

factor for units at capacities greater than 

the representative capacity of 36,000 

Btu/h. This scaling factor would be 

directly proportional to the cooling 

capacity and determined by the 

following equation: 

Where, 

Qc(95) = the total cooling capacity at the A 

or A2 Test condition. This scaling factor 

would then be applied to the two power 

measurements, P1 and P2, to determine 

PW,OFF as follows: 

However, in its analysis DOE also 

found that units smaller than the 

representative capacity still required the 

same components and crankcase heater 

as units at the representative capacity. 

DOE does not want to unduly create a 

market constraint on the manufacture 

and purchase of smaller central air 

conditioning systems that otherwise 

would be right-sized for smaller or more 

efficient homes by setting an 

exceedingly stringent off-mode 

standard. Consequently, DOE is not 

proposing to apply a scaling factor to 

units which have a cooling capacity that 

is less than that of the representative 

capacity. DOE seeks comment on both 

the necessity of a scaling factor for large 

tonnage units, and its approach of 

making this factor directly proportional 

to capacity. (See Issue 2 in section 0, 


srobinson on DSK4SPTVN1PROD with PROPOSALSEP24OC11.059</GPH> EP24OC11.060</GPH> EP24OC11.061</GPH> EP24OC11.062</GPH> EP24OC11.063</GPH>
65622 Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 

‘‘Issues on Which DOE Seeks 

Comment’’). 

2. Special Requirements for MultiCompressor Systems 

DOE is also aware that certain high 

efficiency residential central air 

conditioners and heat pumps utilize a 

two compressor design to provide 

varying levels of cooling. With different 

capacity compressors operating at close 

to full load, the two-compressor unit is 

able to operate more efficiently and 

achieve a higher efficiency rating than 

would be possible with a single 

compressor. Because there are two 

compressors in these units, it is likely 

that the system would have two 

crankcase heaters (one for each 

compressor), which would result in 

higher off-mode power consumption 

because of the significant effect that 

crankcase heaters have on a system’s 

off-mode power consumption. However, 

DOE’s analysis for the June 2010 NOPR 

and the April 2011 SNOPR did not 

account for this type of unit, and DOE 

does not want to prevent these high 

efficiency products from being 

developed or being made available to 

the consumer. Therefore, in today’s 

notice, DOE is proposing a method for 

normalizing the crankcase heater power 

consumption on a per compressor basis 

for multi-compressor systems with 

controlled crankcase heaters using the 

following equation: 

Where, 

P1x = overall system measured power draw 

at 82 °F, W; 

P2x = overall system measured power draw 

at 57 °F, W. 

This equation isolates and averages the 

power draw associated with the 

crankcase heaters because, as mentioned 

previously, DOE believes that units with 

controlled crankcase heaters would 

have the crankcase heater off at the P1 

temperature of 82 °F and on at the P2 

temperature of 57 °F. This belief is 

based on manufacturer interviews 

during the standards rulemaking, as 

well as on testing done following the 

April 2011 SNOPR. 

For systems with uncontrolled 

crankcase heaters, DOE recognizes that 

there is a need to isolate the crankcase 

heater power in order to normalize it on 

a per compressor basis. Multicompressor systems with controls are 

likely to have crankcase heaters off 

during the P1 test and on during the P2 

test, which allows for the first term in 

the equation above to determine the 

crankcase heater power. However, in 

these cases, the P1 test would yield 

incorrect results because the power 

consumption of the components not 

associated with the residential central 

air conditioner or heat pump would 

have to be divided by the number of 

compressors, while the number of 

controls does not scale with the number 

of compressors. Therefore, DOE 

proposes to require a slightly different 

approach to determine the off mode 

power consumption of these systems. In 

such cases, DOE proposes that, first, the 

crankcase heater should be 

disconnected and then the overall 

system power draw with the 

disconnected crankcase heater should 

be recorded as P1D. Next, the average 

power draw on a per compressor basis 

should be calculated by dividing the 

difference between the overall system 

power draws (P1X andP1D). Then this 

difference should be combined with the 

previously recorded P1D: 

Where, 

P1D = the measured power draw with the 

crankcase heater disconnected, W. 

DOE seeks comment on the use of this 

equation to calculate an average power 

draw and for determining the off-mode 

rating for multiple compressor units. 

(See Issue 3 in section 0, ‘‘Issues on 

Which DOE Seeks Comment.’’) 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

(OMB) has determined that test 

procedure rulemakings do not constitute 

‘‘significant regulatory actions’’ under 

section 3(f) of Executive Order 12866, 

Regulatory Planning and Review, 58 FR 

51735 (Oct. 4, 1993). Accordingly, this 

proposed action was not subject to 

review under the Executive Order by the 

Office of Information and Regulatory 

Affairs (OIRA) in the OMB. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis (IRFA) for any rule proposed 

for public comment, unless the agency 

certifies that the rule, if promulgated, 

will not have a significant economic 

impact on a substantial number of small 

entities. As required by Executive Order 

13272, ‘‘Proper Consideration of Small 

Entities in Agency Rulemaking,’’ 67 FR 

53461 (Aug. 16, 2002), DOE published 

procedures and policies on February 19, 

2003, so that the potential impacts of its 

rules on small entities are properly 

considered during the rulemaking 

process. 68 FR 7990. DOE has made its 

procedures and policies available on the 

Office of the General Counsel’s Web 

site: http://www.gc.doe.gov. 

DOE reviewed today’s proposed rule, 

which would amend the test procedure 

for residential central air conditioners 

and heat pumps, under the provisions of 

the Regulatory Flexibility Act and the 

procedures and policies published on 

February 19, 2003. DOE tentatively 

concludes and certifies that the 

proposed rule, if adopted, would not 

result in a significant impact on a 

substantial number of small entities. 

The factual basis for this certification is 

set forth below. 

For the purpose of the regulatory 

flexibility analysis for this rule, the DOE 

adopts the Small Business 

Administration (SBA) definition of a 

small entity within this industry as a 

manufacturing enterprise with 750 

employees or fewer. DOE used the small 

business size standards published on 

January 31, 1996, as amended, by the 

SBA to determine whether any small 

entities would be required to comply 

with the rule. 61 FR 3280, 3286, as 

amended at 67 FR 3041, 3045 (Jan. 23, 

2002) and at 69 FR 29192, 29203 (May 

21, 2004); see also 65 FR 30836, 30850 


srobinson on DSK4SPTVN1PROD with PROPOSALSEP24OC11.064</GPH> EP24OC11.065</GPH>
Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 65623 

(May 15, 2000), as amended at 65 FR 

53533, 53545 (Sept. 5, 2000). The size 

standards are codified at 13 CFR part 

121. The standards are listed by North 

American Industry Classification 

System (NAICS) code and industry 

description and are available at http:// 

www.sba.gov/idc/groups/public/ 

documents/sba_homepage/ 

serv_sstd_tablepdf.pdf. 

Residential central air conditioner 

and heat pump equipment 

manufacturing is classified under 

NAICS 333415, ‘‘Air-Conditioning and 

Warm Air Heating Equipment and 

Commercial and Industrial Refrigeration 

Equipment Manufacturing.’’ 70 FR 

12395 (March 11, 2005). DOE reviewed 

AHRI’s listing of residential central air 

conditioner and heat pump product 

manufacturer members and surveyed 

the industry to develop a list of 

domestic manufacturers. As a result of 

this review, DOE identified 22 

manufacturers of residential central air 

conditioners and heat pumps, of which 

15 would be considered small 

manufacturers with a total of 

approximately 3 percent of the market 

sales. DOE seeks comment on its 

estimate of the number of small entities 

that may be impacted by the proposed 

test procedure. (See Issue 4 in section 0, 

‘‘Issues on Which DOE Seeks 

Comment’’). 

Potential impacts of the proposed test 

procedure on all manufacturers, 

including small businesses, come from 

impacts associated with the cost of 

proposed additional testing. DOE 

estimates the incremental cost of the 

proposed additional tests described in 

10 CFR part 430, subpart B, appendix M 

(proposed section 3.13) to be an increase 

of $1,000 to $1,500 per unit tested. This 

estimate is based on private testing 

services quoted on behalf of DOE in the 

last two years for residential central air 

conditioners and heat pumps. Typical 

costs for running the cooling tests 

appear to be approximately $5,000. DOE 

estimated that the additional activities 

required by the revised test procedure 

would introduce a 20 to 30 percent 

increase in testing time, resulting in the 

additional cost. 

Because the incremental cost of 

running the extra tests is the same for 

all manufacturers, DOE believes that all 

manufacturers would incur comparable 

costs for testing of individual basic 

models as a result of the proposed test 

procedure. DOE expects that small 

manufacturers will incur less testing 

expense compared with larger 

manufacturers as a result of the 

proposed testing requirements because 

they have fewer basic models and thus 

require proportionally less testing when 

compared with large manufacturers that 

have many basic models. DOE 

recognizes, however, that smaller 

manufacturers may have less capital 

available over which to spread the 

increased costs of testing. 

DOE compared the cost of the testing 

to the total value added by the 

manufacturers to determine whether the 

impact of the proposed test procedure 

amendments is significant. The value 

added represents the net economic 

value that a business creates when it 

takes manufacturing inputs (e.g., 

materials) and turns them into 

manufacturing outputs (e.g., 

manufactured goods). Specifically, as 

defined by the U.S. Census, the value 

added statistic is calculated as the total 

value of shipments (products 

manufactured plus receipts for services 

rendered) minus the cost of materials, 

supplies, containers, fuel, purchased 

electricity, and contract work expenses. 

DOE analyzed the impact on the 

smallest manufacturers of residential 

central air conditioners and heat pumps 

because these manufacturers would 

likely be the most vulnerable to cost 

increases. DOE calculated the additional 

testing expense as a percentage of the 

average value added statistic for the five 

individual firms in the 25 to 49 

employee size category in NAICS 

333415 as reported by the U.S. Census 

(U.S. Bureau of the Census, American 

Factfinder, 2002 Economic Census, 

Manufacturing, Industry Series, 

Industry Statistics by Employment Size, 

http://factfinder.census.gov/servlet/ 

EconSectorServlet?_lang=en&ds_

name=EC0200A1&_SectorId=31&_ts=

288639767147). The average annual 

value for manufacturers in this size 

range from the census data was $1.26 

million in 2001$, per the 2002 

Economic Census, or approximately 

$1.52 million per year in 2009$ after 

adjusting for inflation using the implicit 

price deflator for gross domestic product 

(U.S. Department of Commerce Bureau 

of Economic Analysis, http:// 

www.bea.gov/national/nipaweb/ 

SelectTable.asp). 

DOE also examined the average value 

added statistic provided by census for 

all manufacturers with fewer than 500 

employees in this NAICS classification 

as the most representative value from 

the 2002 Economic Census data of the 

residential central air conditioner 

manufacturers with fewer than 750 

employees that are considered small 

businesses by the SBA (15 

manufacturers). The average annual 

value added statistic for all small 

manufacturers with fewer than 500 

employees was $7.88 million (2009$). 

Given this data, and assuming the 

high-end estimate of $1,500 for the 

additional testing costs, DOE concluded 

that the additional costs for testing of a 

single basic model product under the 

proposed requirements would be 

approximately 0.1 percent of annual 

value added for the 5 smallest firms, 

and approximately 0.02 percent of the 

average annual value added for all small 

residential central air conditioner or 

heat pump manufacturers (15 firms). 

DOE estimates that testing of basic 

models may not have to be updated 

more than once every 5 years, and 

therefore the average incremental 

burden of testing one basic model may 

be one fifth of these values when the 

cost is spread over several years. 

DOE requires that only the highest 

sales volume split system combinations 

be laboratory tested. 10 CFR 430.24(m). 

The majority of residential central air 

conditioners and heat pumps offered by 

a manufacturer are typically split 

systems that are not required to be 

laboratory tested but can be certified 

using an alternative rating method that 

does not require DOE testing of these 

units. DOE reviewed the available data 

for five of the smallest manufacturers to 

estimate the incremental testing cost 

burden for those small firms that might 

experience the greatest relative burden 

from the revised test procedure. These 

manufacturers had an average of 10 

models requiring testing (AHRI 

Directory of Certified Product 

Performance, http:// 

www.ahridirectory.org/ahridirectory/ 

pages/home.aspx), while large 

manufacturers will have well over 100 

such models. The additional testing cost 

for final certification for 10 models was 

estimated at $15,000. Meanwhile, these 

certifications would be expected to last 

the product life, estimated to be at least 

5 years based on the time frame 

established in EPCA for DOE review of 

residential central air conditioner 

efficiency standards. This test burden is 

therefore estimated to be approximately 

0.2 percent of the estimated 5-year value 

added for the smallest five 

manufacturers. DOE believes that these 

costs are not significant given other, 

much more significant costs that the 

small manufacturers of residential 

central air conditioners and heat pumps 

incur in the course of doing business. 

DOE seeks comment on its estimate of 

the impact of the proposed test 

procedure amendments on small 

entities and its conclusion that this 

impact is not significant. (See Issue 5 in 

section 0, ‘‘Issues on Which DOE Seeks 

Comment’’). 

Accordingly, as stated above, DOE 

tentatively concludes and certifies that 


srobinson on DSK4SPTVN1PROD with PROPOSALS
65624 Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 

this proposed rule would not have a 

significant economic impact on a 

substantial number of small entities. 

Accordingly, DOE has not prepared an 

initial regulatory flexibility analysis 

(IRFA) for this rulemaking. DOE will 

provide its certification and supporting 

statement of factual basis to the Chief 

Counsel for Advocacy of the SBA for 

review under 5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of residential central 

air conditioners and heat pumps must 

certify to DOE that their product 

complies with any applicable energy 

conservation standard. In certifying 

compliance, manufacturers must test 

their product according to the DOE test 

procedure for residential central air 

conditioners and heat pumps, including 

any amendments adopted for that test 

procedure. DOE has proposed 

regulations for the certification and 

recordkeeping requirements for all 

covered consumer products and 

commercial equipment, including 

residential central air conditioners and 

heat pumps. 75 FR 56796 (Sept. 16, 

2010). The collection-of-information 

requirement for the certification and 

recordkeeping is subject to review and 

approval by OMB under the Paperwork 

Reduction Act of 1995 (PRA). This 

requirement has been submitted to OMB 

for approval. Public reporting burden 

for the certification is estimated to 

average 20 hours per response, 

including the time for reviewing 

instructions, searching existing data 

sources, gathering and maintaining the 

data needed, and completing and 

reviewing the collection of information. 

D. Review Under the National 

Environmental Policy Act of 1969 

In this proposed rule, DOE proposes 

amendments to test procedures that may 

be used to implement future energy 

conservation standards for residential 

central air conditioners and heat pumps. 

DOE has determined that this rule falls 

into a class of actions that are 

categorically excluded from review 

under the National Environmental 

Policy Act of 1969 (NEPA; 42 U.S.C. 

4321 et seq.). The rule is covered by 

Categorical Exclusion A5, for 

rulemakings that interpret or amend an 

existing rule without changing the 

environmental effect, as set forth in 

DOE’s NEPA regulations in appendix A 

to subpart D, 10 CFR part 1021. This 

rule will not affect the quality or 

distribution of energy usage and, 

therefore, will not result in any 

environmental impacts. Accordingly, 

neither an environmental assessment 

nor an environmental impact statement 

is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (Aug. 4, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in the development of 

such regulations. 65 FR 13735. DOE has 

examined today’s proposed rule and has 

determined that it does not preempt 

State law and does not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subjects of 

today’s proposed rule. States can 

petition DOE for a waiver of such 

preemption to the extent, and based on 

criteria, set forth in EPCA. (42 U.S.C. 

6297) No further action is required by 

Executive Order 13132. 

F. Review Under Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort so that the 

regulation: (1) clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the United States 

Attorney General (Attorney General). 

Section 3(c) of Executive Order 12988 

requires Executive agencies to review 

regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA; Pub. L. 

104–4, codified at 2 U.S.C. 1501 et seq.) 

requires each Federal agency to assess 

the effects of Federal regulatory actions 

on State, local, and Tribal governments 

and the private sector. For proposed 

regulatory actions likely to result in a 

rule that may cause expenditures by 

State, local, and Tribal governments in 

the aggregate or by the private sector of 

$100 million or more in any one year 

(adjusted annually for inflation), section 

202 of UMRA requires a Federal agency 

to publish estimates of the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

UMRA also requires a Federal agency to 

develop an effective process to permit 

timely input by elected officers of State, 

local, and Tribal governments on a 

proposed ‘‘significant intergovernmental 

mandate’’ and requires an agency plan 

for giving notice and opportunity for 

timely input to potentially affected 

small governments before establishing 

any requirements that might 

significantly or uniquely affect small 

governments. On March 18, 1997, DOE 

published a statement of policy on its 

process for intergovernmental 

consultation under UMRA. 62 FR 

12820. (This policy is also available at 

http://www.gc.doe.gov.) Today’s 

proposed rule contains neither an 

intergovernmental mandate nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year, so these requirements do not 

apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 


srobinson on DSK4SPTVN1PROD with PROPOSALS
Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 65625 

Federal agencies to issue a Family 

Policymaking Assessment for any 

proposed rule that may affect family 

well-being. Today’s proposed rule 

would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is unnecessary to 

prepare a Family Policymaking 

Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights,’’ 53 FR 8859 

(March 15, 1988), that this proposed 

regulation, if promulgated as a final 

rule, would not result in any takings 

that might require compensation under 

the Fifth Amendment to the U.S. 

Constitution. 

J. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516, note) 

provides for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. The OMB’s 

guidelines were published in 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). DOE has reviewed 

today’s proposed rule under the OMB 

and DOE guidelines and has concluded 

that it is consistent with applicable 

policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OIRA, Office of 

Management and Budget, a Statement of 

Energy Effects for any proposed 

significant energy action. A ‘‘significant 

energy action’’ is defined as any action 

by an agency that promulgated or is 

expected to lead to promulgation of a 

final rule, and that (1) is a significant 

regulatory action under Executive Order 

12866, or any successor order; and (2) 

is likely to have a significant adverse 

effect on the supply, distribution, or use 

of energy; or (3) is designated by the 

Administrator of OIRA as a significant 

energy action. For any proposed 

significant energy action, the agency 

must give a detailed statement of any 

adverse effects on energy supply, 

distribution, or use should the proposal 

be implemented, and of reasonable 

alternatives to the action and their 

expected benefits on energy supply, 

distribution, and use. 

Today’s regulatory action would not 

have a significant adverse effect on the 

supply, distribution, or use of energy 

and, therefore, it is not a significant 

energy action. Accordingly, DOE has not 

prepared a Statement of Energy Effects. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91), DOE must comply with section 32 

of the Federal Energy Administration 

Act of 1974 (Pub. L. 93–275), as 

amended by the Federal Energy 

Administration Authorization Act of 

1977 (15 U.S.C. 788). Section 32 

essentially provides, in relevant part, 

that where a proposed rule contains or 

involves use of commercial standards, 

the notice of proposed rulemaking must 

inform the public of the use and 

background of such standards. In 

addition, section 32(c) requires DOE to 

consult with the Attorney General and 

the Chairman of the FTC concerning the 

impact of the commercial or industry 

standards on competition. 

Today’s SNOPR does not incorporate 

testing methods contained in 

commercial standards. 

V. Public Participation 

A. Submission of Comments 

DOE will accept comments, data, and 

other information regarding the SNOPR 

no later than the date provided in the 

DATES section at the beginning of this 

notice. Interested parties may submit 

comments using any of the methods 

described in the ADDRESSES section at 

the beginning of this rulemaking. 

Submitting comments via 

regulations.gov. The http:// 

www.regulations.gov webpage will 

require you to provide your name and 

contact information. Your contact 

information will be viewable to DOE 

Building Technologies staff only. Your 

contact information will not be publicly 

viewable except for your first and last 

names, organization name (if any), and 

submitter representative name (if any). 

If your comment is not processed 

properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment or in any documents 

attached to your comment. Any 

information that you do not want to be 

publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Persons viewing comments will see only 

first and last names, organization 

names, correspondence containing 

comments, and any documents 

submitted with the comments. 

Do not submit to regulations.gov 

information for which disclosure is 

restricted by statute, such as trade 

secrets and commercial or financial 

information (hereinafter referred to as 

Confidential Business Information 

(CBI)). Comments submitted through 

regulations.gov cannot be claimed as 

CBI. Comments received through the 

Web site will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through regulations.gov before posting 

them online. Normally, comments will 

be posted within a few days of being 

submitted. However, if large volumes of 

comments are processed 

simultaneously, your comment may not 

be viewable for up to several weeks. 

Please keep the comment tracking 

number that regulations.gov provides 

after you have successfully uploaded 

your comment. 

Submitting comments via e-mail, 

hand delivery, or mail. Comments and 

documents submitted via email, hand 

delivery, or mail also will be posted to 

regulations.gov. If you do not want your 

personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information on a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. The cover 

letter will not be publicly viewable as 

long as it does not include any 

comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. E-mail 

submissions are preferred. If you submit 

via mail or hand delivery, please 

provide all items on a CD, if feasible. It 

is not necessary to submit printed 

copies. No telefacsimiles (faxes) will be 

accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are not 

secured, are written in English, and are 

free of any defects or viruses. 


srobinson on DSK4SPTVN1PROD with PROPOSALS
65626 Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 

Documents should not contain special 

characters or any form of encryption 

and, if possible, they should carry the 

electronic signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 

and 500 form letters per PDF, or as one 

form letter with a list of supporters’ 

names compiled into one or more PDFs. 

This reduces comment processing and 

posting time. 

Confidential Business Information. 

Pursuant to 10 CFR 1004.11, any person 

submitting information that he or she 

believes to be confidential and exempt 

by law from public disclosure should 

submit via email, postal mail, or hand 

delivery two well-marked copies: one 

copy of the document marked 

confidential including all the 

information believed to be confidential, 

and one copy of the document marked 

non-confidential with the information 

believed to be confidential deleted. 

Submit these documents via email or on 

a CD, if feasible. DOE will make its own 

determination about the confidential 

status of the information and treat it 

according to its determination. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include: (1) 

A description of the items; (2) whether 

and why such items are customarily 

treated as confidential within the 

industry; (3) whether the information is 

generally known by or available from 

other sources; (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality; (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure; (6) when 

such information might lose its 

confidential character due to the 

passage of time; and (7) why disclosure 

of the information would be contrary to 

the public interest. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

B. Issues on Which DOE Seeks Comment 

Although comments are welcome on 

all aspects of this rulemaking, DOE is 

particularly interested in receiving 

comments on the following issues: 

1. The proposed equation for the 

calculation of a system’s off-mode 

rating; 

2. An appropriate scaling factor to 

account for larger units requiring a 

larger crankcase heater due to bigger 

compressors and larger refrigerant 

volume; 

3. The proposed equation to adjust 

crankcase heater power draw for 

systems with multiple compressors; 

4. The estimate of the number of small 

entities that may be impacted by the 

proposed test procedure; 

5. The estimate of the impact of the 

proposed test procedure amendments 

on small entities and its conclusion that 

this impact is not significant. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this SNOPR. 

List of Subjects in 10 CFR Part 430 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation test 

procedures, Household appliances, 

Imports, Intergovernmental relations, 

Small businesses. 

Issued in Washington, DC, on September 

29, 2011. 

Kathleen B. Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency, Office of Technology 

Development, Energy Efficiency and 

Renewable Energy. 

For the reasons set forth in the 

preamble, DOE proposes to amend part 

430 of chapter II, subchapter D, of title 

10 of the Code of Federal Regulations, 

to read as set forth below: 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

1. The authority citation for Part 430 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 

2461 note. 

Appendix M [Amended] 

2. Appendix M to subpart B of part 

430 is amended as follows: 

a. In section 1, Definitions, by revising 

sections 1.13 through 1.51: 

b. In section 2, Testing Conditions, by 

adding paragraph d. in section 2.2. 

c. In section 3,Testing Procedures, by: 

i. Revising section 3.1; 

ii. Adding sections 3.13 through 

3.13.4.9. 

d. In section 4, Calculations of 

Seasonal Performance Descriptors, by: 

i. Adding sections 4.2.6 through 

4.2.6.2.4; 

ii. Revising section 4.3.1. 

The additions and revisions read as 

follows: 

Appendix M to Subpart B of Part 430— 

Uniform Test Method for Measuring the 

Energy Consumption of Central Air 

Conditioners and Heat Pumps 

* * * * * 

1.13 Blower coil unit means a residential 

central air conditioner or heat pump where 

the indoor-side refrigerant-to-air heat 

exchanger coil is packaged in the same 

cabinet as the indoor blower. All singlepackaged units are blower coil units; splitsystem units may be either blower coil units 

or coil-only units. 

1.14 CFR means Code of Federal 

Regulations. 

1.15 Coefficient of Performance (COP) 

means the ratio of the average rate of space 

heating delivered to the average rate of 

electrical energy consumed by the heat 

pump. These rate quantities must be 

determined from a single test or, if derived 

via interpolation, must be tied to a single set 

of operating conditions. COP is a 

dimensionless quantity. When determined 

for a ducted unit tested without an indoor fan 

installed, COP must include the section 3.7, 

3.8, and 3.9.1 default values for the heat 

output and power input of a fan motor. 

1.16 Coil-only unit means a split-system 

residential central air conditioner or 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. 

1.17 Constant-air-volume-rate indoor fan 

means a fan that varies its operating speed to 

provide a fixed air-volume-rate from a ducted 

system. 

1.18 Continuously recorded, when 

referring to a dry bulb measurement, means 

that the specified temperature must be 

sampled at regular intervals that are equal to 

or less than the maximum intervals specified 

in section 4.3 part ‘‘a’’ of ASHRAE Standard 

41.1–86 (RA 01). If such dry bulb 

temperatures are used only for test room 

control, it means that one samples at regular 

intervals equal to or less than the maximum 

intervals specified in section 4.3 part ‘‘b’’ of 

the same ASHRAE Standard. Regarding wet 

bulb temperature, dew point temperature, or 

relative humidity measurements, 

continuously recorded means that the 

measurements must be made at regular 

intervals that are equal to or less than 1 

minute. 

1.19 Cooling load factor (CLF) means the 

ratio having as its numerator the total cooling 

delivered during a cyclic operating interval 

consisting of one ON period and one OFF 

period. The denominator is the total cooling 

that would be delivered, given the same 

ambient conditions, had the unit operated 

continuously at its steady-state space cooling 

capacity for the same total time (ON + OFF) 

interval. 

1.20 Crankcase heater includes all 

devices and mechanisms for intentionally 

generating heat within and/or around the 

compressor sump volume to minimize the 

diluting of the compressor’s refrigerant oil by 

condensed refrigerant. 

1.21 Cyclic Test means a test where the 

unit’s compressor is cycled on and off for 


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9Systems that vary defrost intervals according to 

outdoor dry-bulb temperature are not demand 

defrost systems. 

specific time intervals. A cyclic test provides 

half the information needed to calculate a 

degradation coefficient. 

1.22 Damper box means a short section of 

duct having an air damper that meets the 

performance requirements of section 2.5.7. 

1.23 Degradation coefficient (CD) means a 

parameter used in calculating the part load 

factor. The degradation coefficient for cooling 

is denoted by CDc. The degradation 

coefficient for heating is denoted by CDh . 

1.24 Demand-defrost control system 

means a system that defrosts the heat pump 

outdoor coil only when measuring a 

predetermined degradation of performance. 

The heat pump’s controls monitor one or 

more parameters that always vary with the 

amount of frost accumulated on the outdoor 

coil (e.g., coil to air differential temperature, 

coil differential air pressure, outdoor fan 

power or current, optical sensors, etc.) at 

least once for every ten minutes of 

compressor ON-time when space heating. 

One acceptable alternative to the criterion 

given in the prior sentence is a feedback 

system that measures the length of the defrost 

period and adjusts defrost frequency 

accordingly.9 In all cases, when the frost 

parameter(s) reaches a predetermined value, 

the system initiates a defrost. In a demanddefrost control system, defrosts are 

terminated based on monitoring a 

parameter(s) that indicates that frost has been 

eliminated from the coil. 

A demand-defrost control system, which 

otherwise meets the above requirements, may 

allow time-initiated defrosts if, and only if, 

such defrosts occur after 6 hours of 

compressor operating time. 

1.25 Design heating requirement (DHR) 

predicts the space heating load of a residence 

when subjected to outdoor design conditions. 

Estimates for the minimum and maximum 

DHR are provided for six generalized U.S. 

climatic regions in section 4.2. 

1.26 Dry-coil tests are cooling mode tests 

where the wet-bulb temperature of the air 

supplied to the indoor coil is maintained low 

enough that no condensate forms on this coil. 

1.27 Ducted system means an air 

conditioner or heat pump that is designed to 

be permanently installed equipment and 

delivers conditioned air to the indoor space 

through a duct(s). The air conditioner or heat 

pump may be either a split system or a 

single-packaged unit. 

1.28 Energy efficiency ratio (EER) means 

the ratio of the average rate of space cooling 

delivered to the average rate of electrical 

energy consumed by the air conditioner or 

heat pump. These rate quantities must be 

determined from a single test or, if derived 

via interpolation, must be tied to a single set 

of operating conditions. EER is expressed in 

units of 

When determined for a ducted unit tested 

without an indoor fan installed, EER must 

include the section 3.3 and 3.5.1 default 

values for the heat output and power input 

of a fan motor. 

1.29 Heating load factor (HLF) means the 

ratio having as its numerator the total heating 

delivered during a cyclic operating interval 

consisting of one ON period and one OFF 

period. The denominator is the total heating 

that would be delivered, given the same 

ambient conditions, if the unit operated 

continuously at its steady-state space heating 

capacity for the same total time (ON plus 

OFF) interval. 

1.30 Heating seasonal performance factor 

(HSPF) means the total space heating 

required during the space heating season, 

expressed in Btu’s, divided by the total 

electrical energy consumed by the heat pump 

system during the same season, expressed in 

watt-hours. The HSPF used to evaluate 

compliance with the Energy Conservation 

Standards (see 10 CFR 430.32(c), subpart C) 

is based on Region IV, the minimum 

standardized design heating requirement, 

and the sampling plan stated in 10 CFR 

430.24(m), subpart B. 

1.31 Heat pump having a heat comfort 

controller means equipment that regulates 

the operation of the electric resistance 

elements to assure that the air temperature 

leaving the indoor section does not fall below 

a specified temperature. This specified 

temperature is usually field adjustable. Heat 

pumps that actively regulate the rate of 

electric resistance heating when operating 

below the balance point (as the result of a 

second stage call from the thermostat) but do 

not operate to maintain a minimum delivery 

temperature are not considered as having a 

heat comfort controller. 

1.32 Mini-split air conditioners and heat 

pumps means systems that have a single 

outdoor section and one or more indoor 

sections. The indoor sections cycle on and off 

in unison in response to a single indoor 

thermostat. 

1.33 Multiple-split air conditioners and 

heat pumps means systems that have two or 

more indoor sections. The indoor sections 

operate independently and can be used to 

condition multiple zones in response to 

multiple indoor thermostats. 

1.34 Non-ducted system means an air 

conditioner or heat pump that is designed to 

be permanently installed equipment and 

directly heats or cools air within the 

conditioned space using one or more indoor 

coils that are mounted on room walls and/ 

or ceilings. The unit may be of a modular 

design that allows for combining multiple 

outdoor coils and compressors to create one 

overall system. Non-ducted systems covered 

by this test procedure are all split systems. 

1.35 Part-load factor (PLF) means the 

ratio of the cyclic energy efficiency ratio 

(coefficient of performance) to the steadystate energy efficiency ratio (coefficient of 

performance). Evaluate both energy 

efficiency ratios (coefficients of performance) 

based on operation at the same ambient 

conditions. 

1.36 Seasonal energy efficiency ratio 

(SEER) means the total heat removed from 

the conditioned space during the annual 

cooling season, expressed in Btu’s, divided 

by the total electrical energy consumed by 

the air conditioner or heat pump during the 

same season, expressed in watt-hours. The 

SEER calculation in section 4.1 of this 

appendix and the sampling plan stated in 10 

CFR 429.16, subpart B are used to evaluate 

compliance with the Energy Conservation 

Standards. (See 10 CFR 430.32(c), subpart C.) 

1.37 Single-packaged unit means any 

central air conditioner or heat pump that has 

all major assemblies enclosed in one cabinet. 

1.38 Small-duct, high-velocity system 

means a system that contains a blower and 

indoor coil combination that is designed for, 

and produces, at least 1.2 inches (of water) 

of external static pressure when operated at 

the full-loadair volume rate of 220–350 cfm 

per rated ton of cooling. When applied in the 

field, small-duct products use high-velocity 

room outlets (i.e., generally greater than 1000 

fpm) having less than 6.0 square inches of 

free area. 

1.39 Split system means any air 

conditioner or heat pump that has one or 

more of the major assemblies separated from 

the others. 

1.40 Standard Air means dry air having a 

mass density of 0.075 lb/ft3. 

1.41 Steady-state test means a test where 

the test conditions are regulated to remain as 

constant as possible while the unit operates 

continuously in the same mode. 

1.42 Temperature bin means the 5 °F 

increments that are used to partition the 

outdoor dry-bulb temperature ranges of the 

cooling (≥ 65 °F) and heating (< 65 °F) 

seasons. 

1.43 Test condition tolerance means the 

maximum permissible difference between the 

average value of the measured test parameter 

and the specified test condition. 

1.44 Test operating tolerance means the 

maximum permissible range that a 

measurement may vary over the specified test 

interval. The difference between the 

maximum and minimum sampled values 

must be less than or equal to the specified 

test operating tolerance. 

1.45 Time adaptive defrost control system 

is a demand-defrost control system (see 

definition 1.24) that measures the length of 


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65628 Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 

the prior defrost period(s) and uses that 

information to automatically determine when 

to initiate the next defrost cycle. 

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 

of time. 

1.47 Time-temperature defrost control 

systems initiate or evaluate initiating a 

defrost cycle only when a predetermined 

cumulative compressor ON-time is obtained. 

This predetermined ON-time is generally a 

fixed value (e.g., 30, 45, 90 minutes) although 

it may vary based on the measured outdoor 

dry-bulb temperature. The ON-time counter 

accumulates if controller measurements (e.g., 

outdoor temperature, evaporator 

temperature) indicate that frost formation 

conditions are present, and it is reset/remains 

at zero at all other times. In one application 

of the control scheme, a defrost is initiated 

whenever the counter time equals the 

predetermined ON-time. The counter is reset 

when the defrost cycle is completed. 

In a second application of the control 

scheme, one or more parameters are 

measured (e.g., air and/or refrigerant 

temperatures) at the predetermined, 

cumulative, compressor ON-time. A defrost 

is initiated only if the measured parameter(s) 

falls within a predetermined range. The ONtime counter is reset regardless of whether a 

defrost is initiated. If systems of this second 

type use cumulative ON-time intervals of 10 

minutes or less, then the heat pump may 

qualify as having a demand defrost control 

system (see definition 1.24). 

1.48 Triple-split system means an air 

conditioner or heat pump that is composed 

of three separate components: An outdoor fan 

coil section, an indoor fan coil section, and 

an indoor compressor section. 

1.49 Two-capacity (or two-stage) 

compressor means an air conditioner or heat 

pump that has one of the following: 

(1) A two-speed compressor, 

(2) Two compressors where only one 

compressor ever operates at a time, 

(3) Two compressors where one 

compressor (Compressor #1) operates at low 

loads and both compressors (Compressors #1 

and #2) operate at high loads but Compressor 

#2 never operates alone, or 

(4) A compressor that is capable of cylinder 

or scroll unloading. 

For such systems, low capacity means: 

(1) Operating at low compressor speed, 

(2) Operating the lower capacity 

compressor, 

(3) Operating Compressor #1, or 

(4) Operating with the compressor 

unloaded (e.g., operating one piston of a two 

piston reciprocating compressor, using a 

fixed fractional volume of the full scroll, 

etc.). 

For such systems, high capacity means: 

(1) Operating at high compressor speed, 

(2) Operating the higher capacity 

compressor, 

(3) Operating Compressors #1 and #2, or 

(4) Operating with the compressor loaded 

(e.g., operating both pistons of a two-piston 

reciprocating compressor, using the full 

volume of the scroll). 

1.50 Two-capacity, northern heat pump 

means a heat pump that has a factory or fieldselectable lock-out feature to prevent space 

cooling at high-capacity. Two-capacity heat 

pumps having this feature will typically have 

two sets of ratings, one with the feature 

disabled and one with the feature enabled. 

The indoor coil model number should reflect 

whether the ratings pertain to the lockout 

enabled option via the inclusion of an extra 

identifier, such as ‘‘+LO.’’ When testing as a 

two-capacity, northern heat pump, the 

lockout feature must remain enabled for all 

tests. 

1.51 Wet-coil test means a test conducted 

at test conditions that typically cause water 

vapor to condense on the test unit evaporator 

coil. 

2.2. * * * 

* * * * * 

d. When testing coil-only residential 

central air conditioners and heat pumps, 

install a toroidal type transformer to power 

the low-voltage components of the coil-only 

system. The manufacturer shall designate any 

additional specification for this transformer. 

If the manufacturer does not so designate, use 

a transformer having the following features: 

a nominal V-amp rating that results in the 

transformer being loaded from 25 and 90 

percent based on the highest power value 

expected and then confirmed during the offmode 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 lowvoltage component. The power consumption 

of the lab-added low-voltage transformer, and 

the components connected to it, must be 

measured as part of the total system power 

consumption during the off-mode tests. This 

total system power for the coil-only unit, 

however, must then be reduced by the power 

consumed by the lab-added transformer 

when no load is connected to it. 

* * * * * 

3.1 General Requirements. a. If, during 

the testing process, an equipment set-up 

adjustment is made that would alter the 

performance of the unit when conducting an 

already completed test, then repeat all tests 

affected by the adjustment. For cyclic tests, 

instead of maintaining an air volume rate for 

each airflow nozzle, maintain the static 

pressure difference or velocity pressure 

during an ON period at the same pressure 

difference or velocity pressure as measured 

during the steady-state test conducted at the 

same test conditions. 

b. Use the testing procedures in this 

section to collect the data used for 

calculating: 

1. Performance metrics for residential 

central air conditioners and heat pumps 

during the cooling season; 

2. Performance metrics for heat pumps 

during the heating season; and 

3. Power consumption metric(s) for 

residential central air conditioners and heat 

pumps during the off-mode season(s). For 

residential central air conditioners, the offmode 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 offmode season. 

* * * * * 

3.13 Laboratory testing to determine offmode average power ratings. 

3.13.1 Determine if the residential central 

air conditioner or heat pump has a 

compressor crankcase heater (see definition 

1.20). If so equipped, determine from the 

manufacturer if the compressor crankcase 

heater’s on/off operation is regulated or is 

unregulated, with the heater operating 

continuously when the compressor is off. 

Also determine from the manufacturer if the 

crankcase heater is regulated with a time 

delay relay (see definition 1.46) or has 

thermostat sensor located on the compressor 

shell. Use Table 17 to determine the required 

test methods based on the presence of a 

crankcase heater and how it is controlled. 

3.13.2 For residential central air 

conditioners or heat pumps not having a 

compressor crankcase heater or having a 

crankcase heating which is unregulated, 

conduct the following off-mode test. 

3.13.2.1 Configure the controls of the 

residential central air conditioner or heat 

pump to mimic the operating mode as if 

connected to a building thermostat that is set 

to the OFF position. No requirements are 

placed on the ambient conditions within the 

indoor and outdoor test rooms. The room 

conditions are allowed to change for the 

duration of this particular test. 

3.13.2.2 After the controls have been 

configured, wait at least 2 minutes. Then 

integrate the power consumption of the 

residential central air conditioner or heat 

pump over a 5-minute interval. This 

integrated power consumption must include 

the power consumed by the low-voltage 

transformer and the low-voltage components 

connected to it. Calculate the average power 

consumption rate for the integration interval 

and designate it as P1x. 

3.13.2.3 Coil-only system (see definition 

1.16) power adjustment: Disconnect all 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 Px. 

3.13.2.4 Blower-coil system (see 

definition 1.13) power adjustment: If tested 

and rated with a specific furnace or specific 

modular blower, measure only the power 

supplied to the furnace or modular blower 

while idle (e.g., disconnect the low-voltage 

wiring for the components housed in the 

residential central air conditioner parts of the 

system from the transformer) and integrate 

this power over a 5-minute interval. 

Calculate the average power consumption of 

the fully unloaded transformer, idle furnace, 

or idle modular blower over the integration 

interval and designate it as Px. 

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

calculate P1, the off-mode power solely 

attributable to the residential central air 

conditioner or heat pump, subtract this 

average power consumption (Px) from the 

previously calculated overall system average 

power (P1x): 


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Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 65629 

3.13.2.6 For both coil-only and blowercoil systems with multiple compressors: To 

calculate P1, the off-mode power solely 

attributable to the residential central air 

conditioner or heat pump at 82 °F, first 

disconnect the crankcase heater and then 

record the overall system power draw with 

the disconnected crankcase heater as P1D. 

Next, calculate an average power draw on a 

per compressor basis by dividing the 

difference between the overall system power 

draws (P1X and P1D). Then combine this 

difference with the previous recorded P1D: 

3.13.2.7 Round P1 to the nearest integer 

wattage value and record this rounded value 

as both P2 and P1. If the resulting P2 and P1 

are each less than 1 watt, assign each of them 

the value of zero. 

3.13.3 For residential central air 

conditioners or heat pumps having a 

compressor crankcase heater whose on/off 

operation is regulated, but according to the 

manufacturer does not have either a time 

delay switch (see definition 1.46) controlling 

the crankcase heater or a temperature sensor 

for the crankcase heater located on the 

compressor shell. 

3.13.3.1 Configure the controls of the 

residential central air conditioner or heat 

pump to mimic the operating mode as if 

connected to a building thermostat that is set 

to the OFF position. Position a lab-added 

temperature sensor in the air between 2 and 

6 inches from the crankcase heater 

temperature sensor. For this off-mode test 

and the one that follows at 57 °F, use this labadded temperature sensor to measure the 

outdoor dry bulb temperature. Conduct these 

tests following the steady state ‘B’ test and 

maintain an indoor dry bulb temperature of 

between 75 °F and 85 °F during the off-mode 

tests. 

3.13.3.2 After the controls have been 

configured, wait at least 2 minutes. Then 

integrate the power consumption of the 

residential central air conditioner or heat 

pump over a 5-minute interval. This 

integrated power consumption must include 

the power consumed by the low-voltage 

transformer and the low-voltage components 

connected to it. Calculate the average power 

consumption rate for the integration interval 

and designate it as P1X. 

3.13.3.3 Coil-only system (see definition 

1.16) power adjustment: Reduce the overall 

system off-mode power measurement, P1x, 

by the power supplied to components not 

part of the residential central air conditioner 

or heat pump. Disconnect all low-voltage 

wiring from the low-voltage transformer and 

integrate the power consumption of the fully 

unloaded transformer over a 5-minute 

interval. Calculate the average power 

consumption rate for the integration interval 

and designate it as PX. 

3.13.3.4 Blower-coil system (see 

definition 1.13) power adjustment: If tested 

and rated with a specific furnace or specific 

modular blower, measure only the power 

supplied to the furnace or modular blower 

while idle (e.g., disconnect the low-voltage 

wiring for the components housed in the 

residential central air conditioner parts of the 

system from the transformer) and integrate 

this power over a 5-minute interval. 

Calculate the average power consumption of 

the fully unloaded transformer, idle furnace, 

or idle modular blower over the integration 

interval and designate it as PX. 

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

calculate P1, the off-mode power solely 

attributable to the residential central air 

conditioner or heat pump at 82 °F, subtract 

this average power consumption (PX) from 

the previously calculated overall system 

average power (P1X) and round P1 to the 

nearest integer wattage value: 

3.13.3.6 Continue to maintain an indoor 

dry bulb temperature of between 75 °F and 

85 °F, but decrease the outdoor temperature 

until the lab-added temperature sensor 

achieves an outdoor ambient dry bulb 

temperature of 57 °F, +/¥ 2 °F for at least 

5 minutes. Then integrate the power 

consumption of the residential central air 

conditioner or heat pump over a 5-minute 

interval. Calculate the average power 

consumption rate for the integration interval 

and designate it as P2. 

3.13.3.7 After the controls have been 

configured, wait at least 2 minutes. Then 

integrate the power consumption of the 

residential central air conditioner or heat 

pump over a 5-minute interval. This 

integrated power consumption must include 

the power consumed by the low-voltage 

transformer and the low-voltage components 

connected to it. Calculate the average power 

consumption rate for the integration interval 

and designate it as P2X. 

3.13.3.8 For both coil-only and blowercoil 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 °F, subtract 

this average power consumption (PX) from 

the previously calculated overall system 

average power (P2X) and round P2 to the 

nearest integer wattage value: 

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

calculate P2, the off-mode power solely 

attributable to the residential central air 

conditioner or heat pump at 57 °F, first 

calculate an average power draw on a per 

compressor basis by dividing the difference 

between the overall system power draws (P1X

and P2X). Then combine this value with the 

previously determined P1, and round P2 to 

the nearest integer wattage value: 

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 °F, 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 

°F and 85 °F during the off-mode tests. 

3.13.4.2 After the controls have been 

configured, wait at least 2 minutes. Then 

integrate the power consumption of the 

residential central air conditioner or heat 

pump over a 5-minute interval. This 

integrated power consumption must include 

the power consumed by the low-voltage 

transformer and the low-voltage components 

connected to it. Calculate the average power 

consumption rate for the integration interval 

and designate it as P1X. 

3.13.4.3 Coil-only system (see definition 

1.16) power adjustment: Reduce the overall 

system off-mode power measurement, P1X, 

by the power supplied to components not 

part of the residential central air conditioner 

or heat pump. Disconnect all low-voltage 

wiring from the low-voltage transformer and 

integrate the power consumption of the fully 

unloaded transformer over a 5-minute 

interval. Calculate the average power 

consumption rate for the integration interval 

and designate it as PX. 

3.13.4.4 Blower-coil system (see 

definition 1.13) power adjustment: If tested 

and rated with a specific furnace or specific 

modular blower, measure only the power 

supplied to the furnace or modular blower 

while idle (e.g., disconnect the low-voltage 

wiring for the components housed in the 

residential central air conditioner parts of the 

system from the transformer) and integrate 

this power over a 5-minute interval. 

Calculate the average power consumption of 

the fully unloaded transformer, idle furnace, 

or idle modular blower over the integration 

interval and designate it as PX. 

3.13.4.5 For both coil-only and blowercoil systems: To calculate P1, the off-mode 

power solely attributable to the residential 

central air conditioner or heat pump at 82 °F, 

subtract this average power consumption (PX) 

from the previously calculated overall system 


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65630 Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 

average power (P1X) round P1 to the nearest 

integer wattage value: 

3.13.4.6 Continue to maintain an indoor 

dry bulb temperature of between 75 °F and 

85 °F, but decrease the outdoor temperature 

until the lab-added temperature sensor 

achieves an outdoor ambient dry bulb 

temperature of 57 °F, +/¥2 °F for at least 5 

minutes. Then integrate the power 

consumption of the residential central air 

conditioner or heat pump over a 5-minute 

interval. Calculate the average power 

consumption rate for the integration interval 

and designate it as P2. 

3.13.4.7 After the controls have been 

configured, wait at least 2 minutes. Then 

integrate the power consumption of the 

residential central air conditioner or heat 

pump over a 5-minute interval. This 

integrated power consumption must include 

the power consumed by the low-voltage 

transformer and the low-voltage components 

connected to it. Calculate the average power 

consumption rate for the integration interval 

and designate it as P2X. 

3.13.4.8 For both coil-only and blowercoil 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 °F, subtract 

this average power consumption (PX) from 

the previously calculated overall system 

average power (P2X) and round P2 to the 

nearest integer wattage value: 

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

calculate P2, the off-mode power solely 

attributable to the residential central air 

conditioner or heat pump at 57 °F, first 

calculate an average power draw on a per 

compressor basis by dividing the difference 

between the overall system power draws (P1X

and P2X). Then combine this with the 

previously determined P1, and round P2 to 

the nearest integer wattage value: 

4. * * * 

* * * * * 

4.2.6 Off-mode seasonal power and 

energy consumption calculations. 

4.2.6.1.1 For residential central air 

conditioners and heat pumps with a cooling 

capacity of less than 36,000 Btu/h, determine 

a systems off-mode rating, PW,OFF, by using 

the following equation: 

4.2.6.1.2 For residential central air 

conditioners and heat pumps with a cooling 

capacity of greater than 36,000 Btu/h, 

calculate the capacity scaling factor 

according to: 

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: 

4.2.6.2.1 For the shoulder seasons. 

Calculate the off-mode energy consumption 

for the shoulder season, E1, using 

Where P1 is determined as specified in 

section 3.13 and the SSH are provided in 

Table 19 for the six generalized climatic 

regions along with the national average rating 

values. 

TABLE 19—REPRESENTATIVE COOLING AND HEATING LOAD HOURS AND THE CORRESPONDING SET OF SEASONAL HOURS

FOR EACH GENERALIZED CLIMATIC REGION

Climatic region 

Cooling load 

hours 

CLHR

Heating load 

hours 

HLHR

Cooling season 

hours 

CSHR

Heating season 

hours 

HSHR

Shoulder season 

hours 

SSHR

I ........................................................................ 2400 750 6731 1826 203 

II ....................................................................... 1800 1250 5048 3148 564 

III ...................................................................... 1200 1750 3365 4453 942 

IV ...................................................................... 800 2250 2244 5643 873 

Rating Values ................................................... 1000 2080 2805 5216 739 

V ....................................................................... 400 2750 1122 6956 682 

VI ...................................................................... 200 2750 561 6258 1941 

4.2.6.2.2 For the heating season— 

residential central air conditioners only. 

Calculate the off-mode energy consumption 

of a residential central air conditioner during 

the heating season, E2, using 

Where P1 is determined as specified in 

section 4.2.6.2 and the HSH are provided in 

Table 19 for the six generalized climatic 

regions along with the national average rating 

values. 

4.2.6.2.3 For residential central air 

conditioners only. Calculate the annual offmode energy consumption of a residential 

central air conditioner ETOTAL, using 

4.2.6.2.4 For residential heat pumps only, 

the annual off-mode energy consumption of 

a residential central air conditioner ETOTAL

equals E1. 

* * * * * 

4.3.1 Calculation of actual regional 

annual performance factors (APFA) for a 

particular location and for each standardized 

design heating requirement. 


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Federal Register / Vol. 76, No. 205 / Monday, October 24, 2011 / Proposed Rules 65631 

Where, 

CLHA = the actual cooling hours for a 

particular location as determined using 

the map given in Figure 3, hr; 

the space cooling capacity of the unit as 

determined from the A or A2 Test, 

whichever applies, Btu/h; 

HLHA = the actual heating hours for a 

particular location as determined using 

the map given in Figure 2, hr; 

DHR = the design heating requirement used 

in determining the HSPF; refer to section 

4.2 and definition 1.22, Btu/h; 

C = defined in section 4.2 following Equation 

4.2–2, dimensionless; 

SEER = the seasonal energy efficiency ratio 

calculated as specified in section 4.1, 

Btu/W·h; 

HSPF = the heating seasonal performance 

factor calculated as specified in section 

4.2 for the generalized climatic region 

that includes the particular location of 

interest (see Figure 2), Btu/W·h. The 

HSPF should correspond to the actual 

design heating requirement (DHR), if 

known. If it does not, it may correspond 

to one of the standardized design heating 

requirements referenced in section 4.2; 

P1 = the off-mode power consumption taken 

at 82 °F, as determined in section 3.13, 

W, and 

P2 = the off-mode power consumption taken 

at 57 °F, as determined in section 3.13, 

W. 

Evaluate the HSH using 

Where TOD and nj/N are listed in Table 19 

and depend on the location of interest 

relative to Figure 2. For the six generalized 

climatic regions, this equation simplifies to 

the following set of equations: 

Region I HSH = 2.4348 × HLH 

Region II HSH = 2.5182 × HLH 

Region III HSH = 2.5444 × HLH 

Region IV HSH = 2.5078 × HLH 

Region V HSH = 2.5295 × HLH 

Region VI HSH = 2.2757 × HLH 

Evaluate the shoulder season hours using 

Where, 

CSH = the cooling season hours calculated 

using CSH = 2.8045 × CLH. 

* * * * * 

[FR Doc. 2011–25813 Filed 10–21–11; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket Number EERE–2010–BT–TP–0023] 

RIN 1904–AC26 

Energy Conservation Program: Test 

Procedures for Microwave Ovens 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Request for information. 

SUMMARY: The U.S. Department of 

Energy (DOE) has initiated a test 

procedure rulemaking to develop active 

mode testing methodologies for 

residential microwave ovens. DOE 

specifically is seeking information, data, 

and comments regarding representative 

and repeatable methods for measuring 

the energy use of microwave-only ovens 

and combination microwave ovens, 

including: Food loads representative of 

consumer use; the repeatability of 

energy use measurements using 

different food loads; and consumer 

usage data on the hours of operation in 

active mode, standby mode, and off 

mode for the development of an 

integrated energy use metric. 

DATES: Written comments and 

information are requested on or before 

November 23, 2011. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

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

instructions for submitting comments. 

Alternatively, interested persons may 

submit comments, identified by docket 

number EERE–2010–BT–TP–0023 and/ 

or RIN 1904–AC26, by any of the 

following methods: 

• E-mail: MWO–2010–TP– 

0023@ee.doe.gov. Include docket 

number EERE–2010–BT–TP–0023 and/ 

or RIN 1904–AC26 in the subject line of 

the message. Submit electronic 

comments in WordPerfect, Microsoft 

Word, PDF, or ASCII file format and 

avoid the use of special characters or 

any form of encryption. 

• Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–2945. Please 

submit one signed original paper copy. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza, SW., 6th Floor, 

Washington, DC 20024. Please submit 

one signed original paper copy. 

Docket: For access to the docket to 

read background documents, or 

comments received, go to the Federal 

eRulemaking Portal at http:// 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Wes Anderson, 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: 202–586–7335. E-mail: 

Wes.Anderson@ee.doe.gov. 

In the Office of the General Counsel, 

contact Mr. Ari Altman, U.S. 

Department of Energy, 1000 

Independence Ave., SW., Room 6B–159, 

Washington, DC 20585. Telephone: 

202–287–6307; E-mail: 

Ari.Altman@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: On July 

22, 2010, DOE published in the Federal 

Register a final rule for the microwave 

oven test procedure rulemaking (July TP 

repeal final rule), in which it repealed 

the regulatory provisions for 

establishing the cooking efficiency test 

procedure for microwave ovens under 

the Energy Policy and Conservation Act 

(EPCA). 75 FR 42579. In the July TP 

repeal final rule, DOE determined that 

the existing microwave oven test 

procedure to measure the cooking 

efficiency did not produce 

representative and repeatable test 

results and was unaware of any test 

procedures that have been developed 

that address DOE’s concerns with the 

microwave oven cooking efficiency test 

procedure. DOE was also unaware of 

any research or data on consumer usage 

indicating what a representative food 

load would be, or any data showing the 

repeatability of test results. 75 FR 

42579, 42581. 

On July 22, 2010, DOE also published 

in the Federal Register a notice of 

public meeting to initiate a separate 

rulemaking process to consider new 

provisions for measuring microwave 

oven energy efficiency in active 

(cooking) mode. 75 FR 42611. DOE held 

the public meeting on September 16, 

2010 to discuss and receive comments 

on several issues related to active mode 

test procedures for microwave ovens to 

consider in developing a new test 

procedure. DOE received no data or 

comments at or after the September 16, 

2010 public meeting suggesting 

potential methodologies for test 

procedures for microwave oven active 

mode. 

In support of its test procedure 

rulemaking, DOE conducts in-depth 

technical analyses of publicly available 

test standards and other relevant 


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