[Federal Register Volume 82, Number 181 (Wednesday, September 20, 2017)]
[Notices]
[Pages 43952-43957]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-20032]


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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

[Case No. CAC-051]


Notice of Petition for Waiver of Johnson Controls, Inc. (JCI) 
From the Department of Energy Central Air Conditioners and Heat Pumps 
Test Procedure, and Granting of Interim Waiver

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

ACTION: Notice of petition for waiver, notice of grant an interim 
waiver, and request for comment.

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SUMMARY: This notice announces receipt of and publishes a petition for 
waiver from JCI seeking an exemption from specified portions of the 
U.S. Department of Energy (DOE) test procedure for determining the 
efficiency of central air conditioners (CAC) and heat pumps (HP). 
According to JCI, testing its CAC and HP basic models that use 
variable-speed, oil-injected scroll compressors (VSS systems) with only 
a 20-hour break-in period produces results unrepresentative of their 
true energy consumption characteristics, and would provide materially 
inaccurate comparative data. JCI requests that in lieu of the 20-hour 
break-in limit, it be permitted to test its VSS systems with a 72-hour 
break-in period. This notice also grants JCI an interim waiver from the 
DOE CAC and HP test procedure for its specified basic models, subject 
to use of the alternative test procedure as set forth in this notice. 
DOE solicits comments, data, and information concerning JCI's petition 
and its suggested alternate test procedure.

DATES: DOE will accept comments, data, and information with respect to 
the JCI Petition until October 20, 2017.

ADDRESSES: You may submit comments, identified by case number ``CAC-
051'' and Docket number ``EERE-2017-BT-WAV-0037,'' by any of the 
following methods:
    <bullet> Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
    <bullet> Email: <a href="/cdn-cgi/l/email-protection#2d674245435e42436e4243595f42415e6e6c6e1d181c5a4c445b485f6d484803494248034a425b"><span class="__cf_email__" data-cfemail="aee4c1c6c0ddc1c0edc1c0dadcc1c2ddedefed9e9b9fd9cfc7d8cbdceecbcb80cac1cb80c9c1d8">[email protected]</span></a> Include the 
case number [Case No. CAC-051] 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.
    <bullet> Postal Mail: Ms. Lucy Debutts, U.S. Department of Energy, 
Building Technologies Office, Mailstop EE-5B, Petition for Waiver Case 
No. CAC-051, 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.
    <bullet> Hand Delivery/Courier: Appliance and Equipment Standards 
Program, U.S. Department of Energy, Building Technologies Office, 950 
L'Enfant Plaza SW., 6th Floor, Washington, DC, 20024. Telephone: (202) 
287-1445. If possible, please submit all items on a CD, in which case 
it is not necessary to include printed copies.
    The docket Web page can be found at http://www.regulations.gov/docket?D=EERE-2017-BT-WAV-0037. The docket Web page will contain simple 
instruction on how to access all documents, including public comments, 
in the docket.
    Docket: The docket, which includes Federal Register notices, 
comments, and other supporting documents/materials, is available for 
review at www.regulations.gov. All documents in the docket are listed 
in the www.regulations.gov index. However, some documents listed in the 
index, such as those containing information that is exempt from public 
disclosure, may not be publicly available.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy Debutts, U.S. Department of 
Energy, Building Technologies Program, Mail Stop EE-2J, Forrestal 
Building, 1000 Independence Avenue SW., Washington, DC 20585-0121. 
Telephone: (202) 287-1604. Email: <a href="/cdn-cgi/l/email-protection#f0b1a3afa79199869582afa295818595838483b09595de949f95de979f86"><span class="__cf_email__" data-cfemail="f2b3a1ada5939b849780ada097838797818681b29797dc969d97dc959d84">[email protected]</span></a>.
    Mr. Pete Cochran, U.S. Department of Energy, Office of the General 
Counsel, Mail Stop GC-33, Forrestal Building, 1000 Independence Avenue 
SW., Washington, DC 20585-0103. Telephone: (202) 586-9496. Email: 
<a href="/cdn-cgi/l/email-protection#6c1c0918091e420f030f041e0d022c041d42080309420b031a"><span class="__cf_email__" data-cfemail="1f6f7a6b7a6d317c707c776d7e715f776e317b707a31787069">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION:

I. Background and Authority

    Title III, Part B \1\ of the Energy Policy and Conservation Act of 
1975 (EPCA), Public Law 94-163 (42 U.S.C. 6291-6309, as codified) 
established the Energy Conservation Program for Consumer Products Other 
Than Automobiles, which includes central air conditioners and heat 
pumps.\2\ Part B includes definitions, test procedures, labeling 
provisions, energy conservation standards, and the authority to require 
information and reports from manufacturers. Further, Part B requires 
the Secretary of Energy to prescribe test procedures that are 
reasonably designed to produce results that measure energy efficiency, 
energy use, or estimated operating costs during a representative 
average-use cycle, and that are not unduly burdensome to conduct. (42 
U.S.C. 6293(b)(3)) The test procedure for central air conditioners and 
heat pumps is contained in 10 CFR part 430, subpart B, appendix M 
(referred to in this notice

[[Page 43953]]

as ``appendix M'') and 10 CFR part 429.16.
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    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated as Part A.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the Energy Efficiency Improvement Act of 2015 
(EEIA), Public Law 114-11 (April 30, 2015).
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    DOE's regulations set forth at 10 CFR 430.27 contain provisions 
that allow a person to seek a waiver from the test procedure 
requirements for a particular basic model of a covered product when the 
petitioner's basic model for which the petition for waiver was 
submitted contains one or more design characteristics that either (1) 
prevent testing according to the prescribed test procedure, or (2) 
cause the prescribed test procedures to evaluate the basic model in a 
manner so unrepresentative of its true energy consumption 
characteristics as to provide materially inaccurate comparative data. 
10 CFR 430.27(a)(1). A petitioner must include in its petition any 
alternate test procedures known to the petitioner to evaluate the basic 
model in a manner representative of its energy consumption. 10 CFR 
430.27(b)(1)(iii).
    DOE may grant a waiver subject to conditions, including adherence 
to alternate test procedures. 10 CFR 430.27(f)(2). As soon as 
practicable after the granting of any waiver, DOE will publish in the 
Federal Register a notice of proposed rulemaking to amend its 
regulations so as to eliminate any need for the continuation of such 
waiver. As soon thereafter as practicable, DOE will publish in the 
Federal Register a final rule. 10 CFR 430.27(l).
    The waiver process also allows DOE to grant an interim waiver if it 
appears likely that the petition for waiver will be granted and/or if 
DOE determines that it would be desirable for public policy reasons to 
grant immediate relief pending a determination on the petition for 
waiver. 10 CFR 430.27(e)(2). Within one year of issuance of an interim 
waiver, DOE will either: (i) Publish in the Federal Register a 
determination on the petition for waiver; or (ii) publish in the 
Federal Register a new or amended test procedure that addresses the 
issues presented in the waiver. 10 CFR 430.27(h)(1). When DOE amends 
the test procedure to address the issues presented in a waiver, the 
waiver will automatically terminate on the date on which use of that 
test procedure is required to demonstrate compliance. 10 CFR 
430.27(h)(2).

II. JCI's Petition for Waiver of Test Procedure and Application for 
Interim Waiver

    On May 17, 2017, JCI filed a petition for waiver and an application 
for interim waiver from the applicable CAC and HP test procedure set 
forth in 10 CFR part 430, subpart B, appendix M and 10 CFR 429.16. On 
June 2, 2017, JCI supplemented its petition with additional 
information. According to JCI, testing its CAC and HP basic models that 
use variable-speed, oil-injected scroll compressors (VSS systems) with 
only a 20-hour break-in period produces results unrepresentative of 
their true energy consumption characteristics, and would provide 
materially inaccurate comparative data. JCI requests that in lieu of 
the 20-hour break-in limit, it be permitted to test its VSS systems 
with a 72-hour break-in period. Consequently, JCI seeks to use an 
alternate test procedure to test and rate specific CAC and HP basic 
models, which increases the break-in time limit stipulated in section 
3.1.7 of Appendix M to 10 CFR part 430, subpart B.
    JCI also requests an interim waiver from the existing DOE test 
procedure. An interim waiver may be granted if it appears likely that 
the petition for waiver will be granted, and/or if DOE determines that 
it would be desirable for public policy reasons to grant immediate 
relief pending a determination of the petition for waiver. See 10 CFR 
430.27(e)(2).
    DOE has reviewed the test data provided by JCI and agrees that it 
demonstrates that the specified VSS system models that are the subject 
of the waiver have compressors that may require more than the 20 hours 
of break-in time allowed by the DOE test procedure. The oil injected 
into the oil-injected scroll compressors increases the coverage of the 
viscous oil layer between mating surfaces of the scroll. This is 
presumably its purpose, i.e., to provide additional sealing in the gaps 
of the mating surfaces to improve compressor volumetric efficiency 
(relationship between displacement rate and volume flow rate of 
refrigerant drawn into the compressor). By enhancing this oil layer, 
the direct contact between irregularities in the surfaces may also be 
reduced, which would slow the wearing process that smooths out these 
irregularities, which is the break-in process. For this reason, oil 
injected compressors are expected to require additional break-in time.
    DOE understands that absent an interim waiver, JCI's products 
cannot be tested and rated for energy consumption on a basis 
representative of their true energy consumption characteristics. DOE 
has reviewed the alternate procedure suggested by JCI and concludes 
that it will allow for the accurate measurement of the energy use of 
these CAC and HP basic models based on the information and data 
supplied by JCI.
    Consequently, DOE has determined that JCI's petition for waiver 
will likely be granted. Furthermore, DOE has determined that it is 
desirable for public policy reasons to grant JCI immediate relief 
pending a determination of the petition for waiver.

III. Summary of Grant of an Interim Waiver

    For the reasons stated above, DOE has granted JCI's application for 
interim waiver from testing for its specified CAC and HP basic models. 
The substance of DOE's Interim Waiver Order is summarized below.
    JCI is required to use the alternate test procedures set forth in 
this notice to test and rate certain CAC and HP basic models that use 
certain variable-speed, oil-injected scroll compressors (VSS systems). 
Specifically, this requirement applies to JCI CAC and HP basic models 
that (1) have a VSS system that use one of the compressor models JCI 
specified to DOE on June 2, 2017 with a request for confidential 
treatment and (2) include the following outdoor unit models in 
combinations, listed by brand name:

----------------------------------------------------------------------------------------------------------------
                                                                     Brand
                              ----------------------------------------------------------------------------------
                                                                                      Fraser-
                                     York           Coleman          Luxaire         Johnston        Champion
----------------------------------------------------------------------------------------------------------------
Air Conditioners.............  YXV24B21         AC21B2421        AL21B2421        AL21B2421       AL21B2421
                               YXV36B21         AC21B3621        AL21B3621        AL21B3621       AL21B3621
                               YXV48B21         AC2134821        AL21B4821        AL21B4821       AL21B4821
                               YXV60B21         AC21B6021        AL21B6021        AL21B6021       AL21B6021
Heat Pumps...................  YZV24B21         HC20B2421        HL20B2421        HL20B2421       HL20B2421
                               YZV36B21         HC20B3621        HL20B3621        HL20B3621       HL20B3621
                               YZV48B21         HC20B4821        HL20B4821        HL20B4821       HL20B4821
                               YZV60B21         HC20B6021        HL20B6021        HL20B6021       HL20B6021
----------------------------------------------------------------------------------------------------------------


[[Page 43954]]

    JCI is permitted to make representations about the energy use of 
these basic models for compliance, marketing, or other purposes only to 
the extent that such products have been tested in accordance with the 
provisions set forth in the alternate test procedure and such 
representations fairly disclose the results of such testing in 
accordance with 10 CFR 429.16.
    DOE makes decisions on waivers and interim waivers for only those 
basic models specifically set out in the petition, and in this case 
only those models that use the specified compressors, not future models 
that may be manufactured by the petitioner. JCI may request that DOE 
extend the scope of a waiver or an interim waiver to include additional 
basic models employing the same technology as the basic model(s) set 
forth in the original petition consistent with 10 CFR 430.27(g). In 
addition, DOE notes that granting of an interim waiver or waiver does 
not release a petitioner from the certification requirements set forth 
at 10 CFR 429. See also 10 CFR 430.27(a) and (i).
    The interim waiver shall remain in effect consistent with the 
provisions of 10 CFR 430.27(h) and (l). Furthermore, this interim 
waiver is conditioned upon the presumed validity of statements, 
representations, and documents provided by the petitioner. DOE may 
rescind or modify a waiver or interim waiver at any time upon a 
determination that the factual basis underlying the petition for waiver 
or interim waiver is incorrect, or upon a determination that the 
results from the alternate test procedure are unrepresentative of the 
basic model's true energy consumption characteristics. See 10 CFR 
430.27(k).

IV. Alternate Test Procedure

    EPCA requires that manufacturers use DOE test procedures to make 
representations about the energy consumption and energy consumption 
costs of products covered by the statute. (42 U.S.C. 6293(c)) 
Consistent representations are important for manufacturers to use in 
making representations about the energy efficiency of their products 
and to demonstrate compliance with applicable DOE energy conservation 
standards. Pursuant to its regulations applicable to waivers and 
interim waivers from applicable test procedures at 10 CFR 430.27, DOE 
will consider setting an alternate test procedure for JCI in a 
subsequent Decision and Order.
    In its petition, JCI proposes that the basic models listed in the 
petition be tested according to the test procedure for residential CAC 
and HP prescribed by DOE at 10 CFR part 430, subpart B, appendix M, 
except that the 20-hour break-in period maximum in section 3.1.7 of 
appendix M be replaced with a 72-hour maximum. With JCI's proposed 
alternative test procedure, this section of the test procedure reads as 
follows:

3.1.7 Test Sequence

    Manufacturers may optionally operate the equipment under test for a 
``break-in'' period, not to exceed 72 hours, prior to conducting the 
test method specified in this section. A manufacturer who elects to use 
this optional compressor break-in period in its certification testing 
should record this information (including the duration) in the test 
data underlying the certified ratings that are required to be 
maintained under 10 CFR 429.71. When testing a ducted unit (except if a 
heating- only heat pump), conduct the A or A<INF>2</INF> Test first to 
establish the cooling full-load air volume rate. For ducted heat pumps 
where the heating and cooling full-load air volume rates are different, 
make the first heating mode test one that requires the heating full-
load air volume rate. For ducted heating-only heat pumps, conduct the 
H1 or H1<INF>2</INF> Test first to establish the heating full-load air 
volume rate. When conducting a cyclic test, always conduct it 
immediately after the steady-state test that requires the same test 
conditions. For variable-speed systems, the first test using the 
cooling minimum air volume rate should precede the E<INF>V</INF> Test, 
and the first test using the heating minimum air volume rate must 
precede the H2<INF>V</INF> Test. The test laboratory makes all other 
decisions on the test sequence.

V. Summary and Request for Comments

    Through this notice, DOE announces receipt of JCI's petition for 
waiver from the DOE test procedure for certain CAC and HP basic models 
and grants JCI an interim waiver from the test procedure for the 
specified basic models that use variable- speed, oil-injected scroll 
compressors (VSS systems). DOE is publishing JCI's petition for waiver 
in its entirety, pursuant to 10 CFR 439.27(b)(1)(iv). The petition 
contains no confidential information. The petition includes a suggested 
alternate test procedure, as specified in section IV of this notice, to 
determine the energy consumption of JCI's specified CAC and HP models. 
DOE may consider including this alternate procedure in a subsequent 
Decision and Order.
    DOE solicits comments from interested parties on all aspects of the 
petition, including the suggested alternate test procedure. More 
specifically, DOE is seeking test data and additional information on 
the performance on CAC and HP basic models with VSS compressors as well 
as the VSS compressor performance information as a function of time. 
Pursuant to 10 CFR 430.27(d), any person submitting written comments to 
DOE must also send a copy of such comments to the petitioner. The 
contact information for the petitioner is Steve Tice, UPG Vice-
President, Engineering, Unitary Products, Johnson Controls, Inc., 3110 
N. Mead St., Wichita, KS 67219. All comment submissions must include 
the agency name and Case Number CAC-051 for this proceeding. Submit 
electronic comments in WordPerfect, Microsoft Word, Portable Document 
Format (PDF), or text (American Standard Code for Information 
Interchange (ASCII)) file format and avoid the use of special 
characters or any form of encryption. Wherever possible, include the 
electronic signature of the author. DOE does not accept telefacsimiles 
(faxes).
    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 two copies to DOE: One copy of the document 
marked ``confidential'' with all of the information believed to be 
confidential included, and one copy of the document marked ``non-
confidential'' with all of the information believed to be confidential 
deleted. DOE will make its own determination about the confidential 
status of the information and treat it according to its determination.

    Issued in Washington, DC, on September 13, 2017.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.T>
Johnson Controls, Inc.
3110 N. Mead St.
Wichita, KS 67219
Tel 316-239-2925 Fax 316-832-6598

May 17, 2017

VIA EMAIL: <a href="/cdn-cgi/l/email-protection#c8899b979fa9a1beadba979aadb9bdadbbbcbb88adade6aca7ade6afa7be"><span class="__cf_email__" data-cfemail="b1f0e2eee6d0d8c7d4c3eee3d4c0c4d4c2c5c2f1d4d49fd5ded49fd6dec7">[email protected]</span></a>

Ashley Armstrong
Building Technologies Program
Office of Energy Efficiency and Renewable Energy
U.S. Department of Energy
Mailstop EE-5B
1000 Independence Avenue SW.
Washington, DC 20585-0121

RE: Petition for Waiver and Interim Waiver of 20 Hour Break-In 
Period Limit for Certain JCI Central Air Conditioners and Heat Pumps 
With Variable Speed Compressors


[[Page 43955]]


    Dear Ms. Armstrong: Pursuant to 10 CFR 430.27, Johnson Controls, 
Inc. (JCI) respectfully submits this petition for waiver, and 
request for interim waiver,\1\ of the requirement in Section 3.1.7 
of the test procedure for central air conditioners (CAC) and heat 
pumps (HP) found at Appendix M to Subpart B of 10 CFR part 430 that 
limits an optional compressor ``break-in'' period to a maximum of 20 
hours before testing under Appendix M (the ``20 Hour Break-In 
Limit'').\2\ Specifically, JCI seeks waiver of the 20 Hour Break-In 
Limit for its central air conditioner and heat pumps with variable 
speed systems that use oil-injected scroll compressors (VSS 
systems), because testing these systems with only a 20-hour break-in 
period produces results unrepresentative of their true energy 
consumption characteristics, and would provide materially inaccurate 
comparative data.\3\ As explained below, JCI requests that in lieu 
of the 20 Hour Break-In Limit, it be permitted to test its VSS 
systems with a 72-hour break-in period.
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    \1\ This petition for waiver and request for interim waiver is a 
substitute for that originally submitted by Johnson Controls, Inc. 
on May 2, 2017 on the same break-in period issue.
    \2\ Section 3.1.7 of Appendix M to Subpart B of 10 CFR part 430.
    \3\ 10 CFR 430.27(a)(1).
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I. Johnson Controls, Inc.

    Johnson Controls, Inc. is a diversified equipment and technology 
company with its operational headquarters in Milwaukee, Wisconsin 
and approximately 140,000 employees located around the globe. Our 
employees provide intelligent buildings, energy efficient solutions 
and integrated infrastructure to optimize energy efficiency and to 
create the smart buildings and communities of the future. Through 
its Unitary Product Group division, JCI manufactures and sells 
central air conditioner and heat pump systems for residential use, 
including high efficiency variable speed systems. These products are 
manufactured in the United States, in Wichita, Kansas.

II. Background

    A ``break-in'' period contemplates the running of equipment for 
a period of time before beginning of an efficiency test.\4\ DOE has 
found that a ``break-in period is particularly important for scroll 
compressors, which may be less efficient when first started and may 
require time to warm up to achieve optimal performance. Once the 
compressor is broken in, the performance should be more 
representative of the actual field performance.'' \5\ Break-in 
allows ``mating'' parts to wear against each other, which results in 
reduced friction and leakage. Until this initial wear has occurred, 
the moving parts in the compressor generate greater friction when 
they contact each other, which decreases efficiency, and the seals 
between chambers that compress or expand the refrigerant may have 
greater leakage between the chambers, which reduces efficiency. Oil 
injection technology improves system efficiency, but the oil in the 
scroll elements prolongs the time required for this initial wear, 
which is needed to achieve nominal efficiency.
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    \4\ Energy Conservation Standards and Test Procedures for 
Commercial Heating, Air-Conditioning, and Water- Heating Equipment, 
Proposed Rule, 77 FR 2355, 2374 (Jan. 17, 2012).
    \5\ Id.
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    Section 3.1.7 of Appendix M to 10 CFR part 430, Subpart B 
provides that ``[m]anufacturers may optionally operate the equipment 
under test for a ``break-in'' period, not to exceed 20 hours,'' 
provided that the manufacturer reports the break-in period used in 
any certification to DOE.\6\
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    \6\ Section 3.1.7 of Appendix M to Subpart B of 10 CFR part 430 
(as revised by DOE in the June 2016 Final Rule).
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III. Basic Models for Which Waiver Is Requested

    JCI requests a waiver from the 20 Hour Break-In Limit for its 
split-system CAC and HP basic models that use variable speed scroll 
compressors with an oil-injection system. Specifically, JCI requests 
waiver for all basic models that include the following outdoor unit 
models in combinations, listed by brand name:
[GRAPHIC] [TIFF OMITTED] TN20SE17.001

    The variable speed scroll compressors used in these systems are 
optimized for high-efficiency residential air conditioner and heat 
pump systems in the 2-ton to 5-ton range.

IV. Grounds for Test Procedure Waiver

    DOE's regulations provide for granting of a test procedure 
waiver where testing of a basic model under the prescribed test 
procedures would ``evaluate the basic model in a manner so 
unrepresentative of its true energy . . . consumption 
characteristics as to provide materially inaccurate comparative 
data.'' \7\ JCI seeks a waiver from the 20 Hour Break-In Limit for 
its VSS systems because limiting the optional break-in period to 20 
hours results in testing that provides materially inaccurate data 
unrepresentative of the true energy efficiency characteristics of 
these systems.
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    \7\ 10 CFR 430.27(a)(1).
---------------------------------------------------------------------------

    JCI's VSS systems require significantly more than 20 hours of 
break-in to reach design efficiency, which is the level of 
efficiency that is representative of system performance over the 
lifetime of the VSS system, and would be more appropriately tested 
with a break-in period of 72 hours. DOE established the 20 hour 
Break-in Limit to reduce test variability,\8\ but because variable 
speed compressors with oil injection do not completely wear in 
within 20 hours, performance variability for VSS systems actually 
increases when break-in is limited to 20 hours. As explained below, 
JCI conducted testing demonstrating that a 20-hour break-in period 
does not allow for sufficient break-in for its VSS systems to reach 
representative efficiency, but that a 72- hour break-in period does.
---------------------------------------------------------------------------

    \8\ Final Rule at 1445 (``[T]he establishment of the 20-hour 
limit is to maintain test repeatability among labs regardless of who 
conducts the test.'')
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    JCI conducted baseline VSS system performance tests under 
Appendix M after 20 hours of break-in--the maximum currently 
permitted under Appendix M.\9\ JCI then ran the same performance 
tests on the same units after longer break-in periods, of 44, 68, 
and 92 hours. JCI's testing shows that for the tested products, 
measured efficiency increased significantly with break-in periods 
longer than 20 hours. As is shown in the following sections, the Ev, 
B1, and F1 tests show substantial gains in efficiency with longer 
break-in periods.
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    \9\ These test results are representative of the break-in 
characteristics of all models for which JCI seeks waiver here.
---------------------------------------------------------------------------

    Table 1 below shows testing data for a 3-ton air conditioning 
unit with a variable speed scroll compressor with oil injection 
tested after 20 hours of break-in. The unit was started at A2 
conditions and instrumentation was verified before starting the A2 
test with 20 hours of accumulated compressor run time. Completion of 
the A2 test was followed by the B2, B1, Ev, and F1 tests.

[[Page 43956]]

    JCI then operated the test system for an additional 24 hours, 
for a total compressor run time of 44 hours, to determine if an 
increased break-in period improved performance. The results in Table 
1 show the calculated SEER improved by 0.77 with this additional 24 
hour period of break in. The most substantial gain was found in the 
EV, B1 and F1 tests.

                                                         I. Table 1--3-Ton AC System Testing, With 20 Hour Break-In and 44 Hour Break-In
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                 Calorimeter 20 hr break-in compressor                                                               Increased break-in run 24 hours
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                         ID                                                                                         ID
                Test                  capacity    Watts       EER        CFM       Static    ID watts            Test            capacity    Watts       EER        CFM       Static    ID watts
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
A2.................................      35719     2597.1      13.75       1160       0.24      199.5   A2....................      35751     2545.7      14.04       1159       0.23      190.3
B2.................................      38054     2243.1      16.96       1162       0.24      198.4   B2....................      37779     2213.8      17.07       1156       0.24      191.6
Ev.................................      19235     1074.4      17.90        708       0.16       71.6   Ev....................      19187     1032.3      18.59        707       0.15       67.5
B1.................................      10287      544.6      18.89        428       0.26       55.4   B1....................      10276      547.3      18.78        420       0.20       46.2
F1.................................      11112      348.4      31.89        420       0.24       51.6   F1....................      11156      324.8      34.34        428       0.22       49.3
                                     .........       SEER      19.30  .........  .........  ..........  ......................  .........       SEER      20.07  .........  .........  .........
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

    JCI then operated the test system for two more 24-hour break-in 
periods and collected system performance data after each break-in 
period. A second system was also installed into a psychrometric test 
cell and tested after the same intervals of compressor run time. As 
shown in Table 2, the performance data from both samples shows 
improvement after the first two additional 24-hour break-in periods, 
tapering off in the third 24-hour break-in period. With an 
additional 48 hours of break-in, there is an average of 7.5% 
improvement in SEER across both tests. Sample 1 improved from a SEER 
of 19.30 to 20.46 and sample 2 improved from a SEER of 18.97 to 
20.70. This average gain of more than 1.0 SEER is significant in the 
current marketplace.

                                        II. Table 2--3-Ton AC System Performance With Increasing Break-In Periods
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Sample 1                                                                     Sample 2
--------------------------------------------------------------------------------------------------------------------------------------------------------
                     Test                       20 hr    44 hr    68 hr     92 hr                 Test                 20 hr    44 hr    68 hr    92 hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2...........................................    13.75    14.04    13.98    14.03   A2..............................    13.14    13.73    13.83    13.88
B2...........................................    16.96    17.07    17.13    17.22   B2..............................    16.21    16.91    16.91    17.08
Ev...........................................    17.90    18.59    19.04    20.16   Ev..............................    17.52    19.01    19.32    19.34
B1...........................................    18.89    18.78    20.52    22.73   B1..............................    17.75    22.10    21.45    21.58
F1...........................................    31.89    34.34    34.86    36.06   F1..............................    32.92    37.77    35.92    35.83
SEER.........................................    19.30    20.07    20.46    21.41   SEER............................    18.97    20.59    20.70    20.73
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Additional unit sizes were tested using the same procedure as 
described above. As shown in Tables 3 and 4 below, results from 
those additional tests show the same pattern--increased efficiency 
with longer break-in periods beyond 20 hours.

                                       III. Table 3--4-Ton AC System Performance With Increasing Break-In Periods
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Sample 1                                                                     Sample 2
--------------------------------------------------------------------------------------------------------------------------------------------------------
                     Test                       20 hr    44 hr    68 hr     92 hr                 Test                 20 hr    44 hr    68 hr    92 hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2...........................................    13.03    13.35    13.42    13.47   A2..............................    13.31    13.60    13.26    13.52
B2...........................................    15.93    16.21    16.43    16.45   B2..............................    16.39    16.65    16.54    16.96
Ev...........................................    18.60    19.08    19.11    19.30   Ev..............................    19.55    18.91    19.32    19.81
B1...........................................    19.96    21.04    21.50    21.28   B1..............................    21.41    19.43    20.30    21.90
F1...........................................    36.87    37.63    38.56    36.95   F1..............................    35.50    37.16    36.06    38.52
SEER.........................................    20.07    20.54    20.67    20.67   SEER............................    20.76    20.46    20.64    21.29
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                          Table 4--5-Ton AC System Performance With Increasing Break-In Periods
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Sample 1                                                                     Sample 2
--------------------------------------------------------------------------------------------------------------------------------------------------------
                     Test                       20 hr    44 hr    68 hr     92 hr                 Test                 20 hr    44 hr    68 hr    92 hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2...........................................    13.12    13.18    13.20    13.27   A2..............................    13.03    13.24    13.23    13.23
B2...........................................    16.05    16.08    16.18    16.30   B2..............................    15.81    16.04    15.90    16.24
Ev...........................................    19.23    19.51    19.68    19.65   Ev..............................    19.07    19.48    19.49    19.95
B1...........................................    22.15    23.20    23.80    24.02   B1..............................    22.19    23.12    23.05    23.96
F1...........................................    36.94    38.00    38.28    37.45   F1..............................    35.55    37.50    37.96    38.93
SEER.........................................    20.67    21.05    21.22    21.18   SEER............................    20.45    20.98    21.02    21.52
--------------------------------------------------------------------------------------------------------------------------------------------------------

    In evaluating this test data, JCI determined that the increase 
in system efficiency and reduced test variability that occurs with 
the lengthier break-in periods was principally due to a reduction in 
required compressor power during the test. Figures 5 and 6 show the 
decrease in compressor watts compared to the 20-hour baseline 
compressor for 3-ton and 5-ton AC systems. For both systems, results 
show a consistent reduction in watts consumed as the break-in time 
of the compressor is increased. This is most significant at the Ev, 
B1 and F1 test conditions.

[[Page 43957]]

IV. Figure 5: Decrease in Compressor Watts (3 Ton AC) With 3 Additional 
24-Hour Break-In Periods, Relative to 20-Hour Break-In Baseline

    See the following Web site for figure 5: https://www.regulations.gov/docket?D=EERE-2017-BT-WAV-0037.

Figure 6: Decrease in Compressor Watts (5 Ton AC) With 3 Additional 24-
Hour Break-In Periods, Relative to 20-Hour Break-In Baseline

    See the following Web site for figure 6: https://www.regulations.gov/docket?D=EERE-2017-BT-WAV-0037.
    These test results show that a VSS system is not fully broken in 
at 20 hours, and that rating such a system with only 20-hour break-
in period can understate a system's SEER rating performance by 1 to 
2 SEER (or approximately 5% to 10%). Because the 20 Hour Break-In 
Limit does not allow sufficient time for full break-in of VSS 
systems, the efficiency rating of a VSS system measured under 
Appendix M falls below the actual efficiency level at which the 
system will operate for the great majority of its time in service. 
JCI is thus unable to represent, on the basis of Appendix M testing, 
the full efficiency at which its VSS systems will operate. To 
achieve a particular efficiency rating under the Appendix M test 
method, JCI is forced to overdesign its VSS systems to meet an even 
higher target efficiency rating after full break-in. In short, the 
20 Hour Break-In Limit in Appendix M results in the underrating of 
JCI's VCC systems, and thus produces materially inaccurate data 
about the efficiency of VSS systems for comparison purposes, leaving 
homeowners without the information needed to objectively evaluate 
the benefits of such systems.
    This underrating under Appendix M for JCI's VSS systems has 
significant consequences in the marketplace. Because of underrating 
due to the 20 Hour Break-In Limit, the full efficiency advantage of 
JCI's VSS systems will not be apparent versus lower-efficiency full 
stage compressor products, for which the 20 Hour Break-In Limit does 
not bias results. Consumers for whom central air conditioner 
measured efficiency is an important factor will be misled about the 
merits of VSS systems on the basis of measured efficiency under 
Appendix M. Although the JCI models at issue are very efficient, and 
perform well above the applicable minimum efficiency standards, 
accurate ratings for high efficiency products such as these are 
important for purposes of, for instance, determining eligibility for 
Energy Star, utility rebates, tax credits, and green building 
recognition.

I. Alternative Test Procedures

    DOE's Appendix M test procedure, as currently promulgated but 
with the option of an extended, 72-hour break-in period, constitutes 
the appropriate alternate test procedure that will evaluate the 
performance of JCI's VSS systems in a manner representative of its 
energy characteristics. Therefore, JCI proposes to test the basic 
models for which it seeks waiver by applying the entirety of 
Appendix M to 10 CFR part 430, subpart B, with a single modification 
to Section 3.1.7, as shown below:

3.1.7 Test Sequence

    Manufacturers may optionally operate the equipment under test 
for a ``break-in'' period, not to exceed 2072 hours, prior to 
conducting the test method specified in this section. A manufacturer 
who elects to use this optional compressor break-in period in its 
certification testing should record this information (including the 
duration) in the test data underlying the certified ratings that are 
required to be maintained under 10 CFR 429.71. When testing a ducted 
unit (except if a heating- only heat pump), conduct the A or 
A<INF>2</INF> Test first to establish the cooling full-load air 
volume rate. For ducted heat pumps where the heating and cooling 
full-load air volume rates are different, make the first heating 
mode test one that requires the heating full-load air volume rate. 
For ducted heating-only heat pumps, conduct the H1 or H1<INF>2</INF> 
Test first to establish the heating full-load air volume rate. When 
conducting a cyclic test, always conduct it immediately after the 
steady-state test that requires the same test conditions. For 
variable-speed systems, the first test using the cooling minimum air 
volume rate should precede the E<INF>V</INF> Test, and the first 
test using the heating minimum air volume rate must precede the 
H2<INF>V</INF> Test. The test laboratory makes all other decisions 
on the test sequence.
    Thus, the only change would be to modify the maximum length of 
the optional break-in period for JCI's VSS systems. As required by 
Appendix M, JCI would report the break-in period used in its product 
compliance certifications.

II. Similar Products

    JCI is aware of the following manufacturers of residential 
central air conditioners and heat pumps that offer VSS systems using 
scroll compressors with oil injection: Carrier Corporation, Daikin 
Industries, Goodman Manufacturing Co. LP, Lennox International Inc., 
Nortek Global HVAC, Rheem Sales Company, and Trane.

III. Petition for Interim Waiver

    Pursuant to 10 CFR 430.27, JCI also requests an interim waiver 
of the 20 Hour Break-In Limit for the JCI VSS systems. DOE will 
grant an interim waiver if it appears likely that the petition for 
waiver will be granted and/or if DOE determines that it would be 
desirable for public policy reasons to grant immediate relief 
pending a determination on the petition for waiver.\10\ Interim 
relief is important to ensure that JCI can make materially accurate 
representations about the energy efficiency of its VSS systems in 
its certifications to DOE and marketing materials while DOE is 
considering the merits of JCI's petition for waiver.
---------------------------------------------------------------------------

    \10\ 10 CFR 430.27(e)(2).
---------------------------------------------------------------------------

    Likely Success of the Petition for Waiver. For the reasons 
outlined above, JCI believes that there are strong arguments for 
granting the petition for waiver on the merits. Specifically, JCI 
testing of its VSS systems shows that a 72-hour break-in period 
produces test results that are more representative of the actual 
product efficiencies at which the VSS systems will operate over the 
lifetime of the product than those results obtained under the 
current 20 hour break-in period limit.
    Competitive Disadvantage. If JCI must continue to comply with 
the 20 Hour Break-In Limit for its VSS systems, these systems will 
be disadvantaged in the market relative to other types central air 
conditioners and heat pumps for which a break-in period of 20 hours 
or less products results representative of actual operating 
efficiency. As shown above, the impact of the 20 Hour Break-In Limit 
on ratings is significant--it can reduce ratings by 1 to 2 SEER. The 
effects of such depressed ratings in the market can be significant.
    Public Policy Reasons to Grant Interim Waiver. Without an 
interim waiver, consumers will continue to be exposed to materially 
inaccurate information about the energy consumption characteristics 
of JCI's VSS systems. This inaccurate information harms consumers 
(especially those seeking to evaluate very high efficiency CAC/HP 
products) and distorts markets. Further, underrating high efficiency 
products is inconsistent with the policy objectives of EPCA.
    For all of these reasons, the Department should grant an interim 
waiver while it considers the petition for waiver set out above.

IV. Conclusion

    For the reasons stated above, JCI respectfully requests that DOE 
grant this petition for waiver of the 20 Hour Break-In Limit with 
respect to its VSS systems. JCI further requests DOE to grant its 
request for an interim waiver while its petition for waiver is under 
consideration.
    If you have any questions or would like to discuss this request, 
please contact me at (316) 832-6393, Chris Ware at (414) 524-5443, 
or Doug Smith of Van Ness Feldman, LLP at (202) 298-1902. We greatly 
appreciate your attention to this matter.

Sincerely,

Steve Tice,

UPG Vice-President, Engineering Unitary Products, Johnson Controls, 
Inc. <a href="/cdn-cgi/l/email-protection#abd8dfceddcec585ca85dfc2c8ceebc1c8c285c8c4c6"><span class="__cf_email__" data-cfemail="e596918093808bcb84cb918c8680a58f868ccb868a88">[email protected]</span></a>.

Cc: Johanna Jochum, Office of the General Counsel

[FR Doc. 2017-20032 Filed 9-19-17; 8:45 am]
BILLING CODE 6450-01-P


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