[Federal Register Volume 76, Number 68 (Friday, April 8, 2011)]
[Notices]
[Pages 19759-19765]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-8401]


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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

[Case No. CAC-031]


Energy Conservation Program for Certain Industrial Equipment: 
Publication of the Petition for Waiver From Carrier Corporation and 
Granting of the Interim Waiver From the Department of Energy Commercial 
Package Air Conditioner and Heat Pump Test Procedures

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

ACTION: Notice of petition for waiver, granting of application for 
interim waiver, and request for comments.

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SUMMARY: This notice announces receipt of and publishes a petition for 
waiver from Carrier Corporation (Carrier). The petition for waiver 
(hereafter ``petition'') requests a waiver from the U.S. Department of 
Energy (DOE) test procedure applicable to commercial package air-source 
central air conditioners and heat pumps. The petition is specific to 
the Carrier variable capacity Super Modular Multi-System SMMSi 
(commercial) multi-split heat pumps. Through this document, DOE: (1) 
Solicits comments, data, and information with respect to the Carrier 
petition; and (2) announces the grant of an interim waiver to Carrier 
from the existing DOE test procedure for the subject commercial multi-
split air conditioners and heat pumps.

DATES: DOE will accept comments, data, and information with respect to 
the Carrierpetition until, but no later than May 9, 2011.

ADDRESSES: You may submit comments, identified by case number ``CAC-
031,'' by any of the following methods:
     Federal eRulemaking Portal:http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected]. Include the case 
number [CAC-031] in the subject line of the message.
     Mail: Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mail Stop 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., 
Suite 600, Washington, DC 20024. Please submit one signed original 
paper copy.
    Docket: For access to the docket to review the background documents 
relevant to this matter, you may visit the U.S. Department of Energy, 
950 L'Enfant Plaza SW., (Resource Room of the Building Technologies 
Program), Washington, DC, 20024; (202) 586-2945, between 9 a.m. and 4 
p.m., Monday through Friday, except on Federal holidays. Available 
documents include the following items: (1) This notice; (2) public 
comments received; (3) the petition for waiver and application for 
interim waiver; and (4) prior DOE rulemakings and waivers regarding 
similar central air conditioning and heat pump equipment. Please call 
Ms. Brenda Edwards at the above telephone number for additional 
information regarding visiting the Resource Room.

FOR FURTHER INFORMATION CONTACT: Dr. Michael G. Raymond, U.S. 
Department of Energy, Building Technologies Program, Mail Stop EE-2J, 
Forrestal

[[Page 19760]]

Building, 1000 Independence Avenue, SW., Washington, DC 20585-0121. 
Telephone: (202) 586-9611. E-mail: [email protected].
    Ms. Elizabeth Kohl, U.S. Department of Energy, Office of the 
General Counsel, Mail Stop GC-71, Forrestal Building, 1000 Independence 
Avenue, SW., Washington, DC 20585-0103. Telephone: (202) 586-7796. E-
mail: mailto:[email protected].

SUPPLEMENTARY INFORMATION:

I. Background and Authority

    Title III of the Energy Policy and Conservation Act (EPCA) sets 
forth a variety of provisions concerning energy efficiency, including 
Part B of Title III, which establishes the ``Energy Conservation 
Program for Consumer Products Other Than Automobiles.'' (42 U.S.C. 
6291-6309) Part C of Title III provides for a similar energy efficiency 
program titled ``Certain Industrial Equipment,'' which includes 
commercial air conditioning equipment, package boilers, water heaters, 
and other types of commercial equipment.\1\ (42 U.S.C. 6311-6317)
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    \1\ applicable to its Super Modular Multi-System (``SMMSi'') 
commercial Variable Refrigerant Flow (``VRF'') multi-split systems. 
Carrier requests this waiver for the SMMSi systems because the basic 
design of VRF multi-split systems prevents testing or rating 
according to DOE's prescribed test procedures. Carrier also hereby 
requests an interim waiver for the same products pursuant to 10 CFR 
431.401(a)(2).
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    Today's notice involves commercial equipment under Part C. Part C 
specifically includes definitions (42 U.S.C. 6311), test procedures (42 
U.S.C. 6314), labeling provisions (42 U.S.C. 6315), energy conservation 
standards (42 U.S.C 6313), and the authority to require information and 
reports from manufacturers (42 U.S.C. 6316). With respect to test 
procedures, Part C authorizes the Secretary of Energy (the Secretary) 
to prescribe test procedures that are reasonably designed to produce 
results that measure energy efficiency, energy use, and estimated 
annual operating costs, and that are not unduly burdensome to conduct. 
(42 U.S.C. 6314(a)(2))
    For commercial package air-conditioning and heating equipment, EPCA 
provides that ``the test procedures shall be those generally accepted 
industry testing procedures or rating procedures developed or 
recognized by the Air-Conditioning and Refrigeration Institute [ARI] or 
by the American Society of Heating, Refrigerating and Air-Conditioning 
Engineers [ASHRAE], as referenced in ASHRAE/IES Standard 90.1 and in 
effect on June 30, 1992.'' (42 U.S.C. 6314(a)(4)(A)) Under 42 U.S.C. 
6314(a)(4)(B), the statute further directs the Secretary to amend the 
test procedure for a covered commercial product if the industry test 
procedure is amended, unless the Secretary determines, by rule and 
based on clear and convincing evidence, that such a modified test 
procedure does not meet the statutory criteria set forth in 42 U.S.C. 
6314(a)(2) and (3).
    On December 8, 2006, DOE published a final rule adopting test 
procedures for commercial package air-conditioning and heating 
equipment, effective January 8, 2007. 71 FR 71340. Table 1 to Title 10 
of the Code of Federal Regulations (10 CFR) 431.96 directs 
manufacturers of commercial package air conditioning and heating 
equipment to use the appropriate procedure when measuring energy 
efficiency of those products. The cooling capacities of Carrier's 
commercial SMMSi multi-split heat pump products at issue in the waiver 
petition filed by Carrier range from 72,000 Btu/h to 220,000 Btu/h. All 
of these products are covered by ARI Standard 340/360-2004, which 
includes products with capacities greater than 65,000 Btu/hour.
    DOE's regulations for covered products permit a person to seek a 
waiver from the test procedure requirements for covered commercial 
equipment if at least one of the following conditions is met: (1) The 
petitioner's basic model contains one or more design characteristics 
that prevent testing according to the prescribed test procedures; or 
(2) the prescribed test procedures may evaluate the basic model in a 
manner so unrepresentative of its true energy consumption as to provide 
materially inaccurate comparative data. 10 CFR 431.401(a)(1). 
Petitioners must include in their petition any alternate test 
procedures known to the petitioner to evaluate the basic model in a 
manner representative of its energy consumption. 10 CFR 
431.401(b)(1)(iii). The Assistant Secretary for Energy Efficiency and 
Renewable Energy (Assistant Secretary) may grant a waiver subject to 
conditions, including adherence to alternate test procedures. 10 CFR 
431.401(f)(4). Waivers remain in effect pursuant to the provisions of 
10 CFR 431.401(g).
    The waiver process also permits parties submitting a petition for 
waiver to file an application for interim waiver of the applicable test 
procedure requirements. 10 CFR 431.401(a)(2). The Assistant Secretary 
will grant an interim waiver request if it is determined that the 
applicant will experience economic hardship if the application for 
interim waiver is denied, if it appears likely that the petition for 
waiver will be granted, and/or the Assistant Secretary determines that 
it would be desirable for public policy reasons to grant immediate 
relief pending a determination on the petition for waiver. 10 CFR 
431.401(e)(3). An interim waiver remains in effect for 180 days or 
until DOE issues its determination on the petition for waiver, 
whichever occurs first. It may be extended by DOE for an additional 180 
days. 10 CFR 431.401(e)(4).

II. Petition for Waiver

    On February 16, 2011, Carrier filed a petition for waiver from the 
test procedures at 10 CFR 431.96 applicable to commercial package air 
source central air conditioners and heat pumps, as well as an 
application for interim waiver. The capacities of the Carrier SMMSi 
multi-split heat pumps range from 72,000Btu/hto 220,000Btu/h. The 
applicable test procedure for the air-source heat pumps is ARI 340/360-
2004. Manufacturers are directed to use these test procedures pursuant 
to Table 1 of 10 CFR 431.96.
    Carrier seeks a waiver from the applicable test procedures under 10 
CFR 431.96 on the grounds that its SMMSi multi-split heat pumps contain 
design characteristics that prevent testing according to the current 
DOE test procedures. Specifically, Carrier asserts that the two primary 
factors that prevent testing of its SMMSi multi-split variable speed 
products are the same factors stated in the waivers that DOE granted to 
Mitsubishi Electric & Electronics USA, Inc. (Mitsubishi) and other 
manufacturers for similar lines of commercial multi-split air-
conditioning systems:
     Testing laboratories cannot test products with so many 
indoor units; and
     There are too many possible combinations of indoor and 
outdoor units to test.
    Mitsubishi (69 FR 52660, August 27, 2004); Mitsubishi (72 FR 17528, 
April 9, 2007); Samsung (72 FR 71387, Dec. 17, 2007); Fujitsu (72 FR 
71383, Dec. 17, 2007); Daikin (73 FR 39680, July 10, 2008); Daikin (74 
FR 15955, April 8, 2009); Daikin (74 FR 16193, April 9, 2009); Daikin 
(74 FR 16373, April 10, 2009); Mitsubishi (74 FR 66311, 66315, December 
15, 2009) and LG (74 FR 66330, December 15, 2009).
    The SMMSi systems have operational characteristics similar to the 
commercial multi-split products manufactured by Mitsubishi, Samsung, 
Fujitsu and Daikin. As indicated above, DOE has already granted waivers 
for these products. The SMMSi system consists of

[[Page 19761]]

multiple indoor units connected to an air-cooled outdoor unit. The 
indoor units for these products are available in a number of potential 
configurations, including the following: 4-way cassette, compact 4-way 
cassette, high-wall, slim ducted, medium static ducted, high static 
ducted, and ceiling. There are 7 unique outdoor models and 43 unique 
indoor models. A single outdoor model can be connected to up to 38 
indoor units. According to Carrier, the various indoor and outdoor 
models can be connected in a multitude of configurations, with many 
thousands of possible combinations. Consequently, Carrier requested 
that DOE grant a waiver from the applicable test procedures for its 
SMMSi product designs until a suitable test method can be prescribed.

III. Application for Interim Waiver

    On February 16, 2011, Carrier also submitted an application for an 
interim waiver from the test procedures at 10 CFR 431.96 for its SMMSi 
equipment. DOE determined that Carrier's application for interim waiver 
does not provide sufficient market, equipment price, shipments, and 
other manufacturer impact information to permit DOE to evaluate the 
economic hardship Carrier might experience absent a favorable 
determination on its application for an interim waiver. DOE 
understands, however, that if it did not issue an interim waiver, 
Carrier's products would not be tested and rated for energy consumption 
in the same manner as equivalent products for which DOE previously 
granted waivers. Furthermore, DOE has determined that it appears likely 
that Carrier's petition for waiver will be granted and that is 
desirable for public policy reasons to grant Carrier immediate relief 
pending a determination on the petition for waiver. DOE believes that 
it is likely Carrier's petition for waiver for the new SMMSi multi-
split models will be granted because, as noted above, DOE has 
previously granted a number of waivers for similar product designs.\2\ 
The two principal reasons supporting the grant of the previous waivers 
also apply to Carrier's SMMSi products: (1) Test laboratories cannot 
test products with so many indoor units; and (2) it is impractical to 
test so many combinations of indoor units with each outdoor unit. In 
addition, DOE believes that similar products should be tested and rated 
for energy consumption on a comparable basis. For these same reasons, 
DOE also determined that it is desirable for public policy reasons to 
grant immediate relief pending a determination on the petition for 
waiver.
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    \2\ DOE notes that it has also previously granted interim 
waivers to Fujitsu (70 FR 5980 (Feb. 4, 2005)), Samsung (70 FR 9629 
(Feb. 28, 2005)), Mitsubishi (72 FR 17533 (April 9, 2007)), and 
Daikin (72 FR 35986 (July 2, 2007)), for comparable commercial 
multi-split air conditioners and heat pumps.
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    Therefore, it is ordered that:
    The application for interim waiver filed by Carrier is hereby 
granted for Carrier's SMMSi multi-split heat pumps, subject to the 
specifications and conditions below.
    1. Carrier shall not be required to test or rate its SMMSi 
commercial multi-split products on the basis of the existing test 
procedures under 10 CFR 431.96, which incorporates by reference ARI 
340/360-2004.
    2. Carrier shall be required to test and rate its SMMSi commercial 
multi-split products according to the alternate test procedure as set 
forth in section IV(3), ``Alternate test procedure.''
    The interim waiver applies to the following basic model groups:
    Standard model outdoor units:

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

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

4-way cassette
    MMU-AP0182H2UL, MMU-AP0212H2UL, MMU-AP0242H2UL, MMU-AP0302H2UL, 
MMU-AP0362H2UL, and MMU-AP0422H2UL
Compact 4-way cassette
    MMU-AP0071MH2UL, MMU-AP0091MH2UL, MMU-AP0121MH2UL, MMU-
AP0151MH2UL, and MMU-AP0181MH2UL
Ceiling
    MMC-AP0181H2UL, MMC-AP0241H2UL, MMC-AP0361H2UL, and MMC-
AP0421H2UL
High-wall
    MMK-AP0073H2UL, MMK-AP0093H2UL, MMK-AP0123H2UL, MMK-AP0153H2UL, 
MMK-AP0183H2UL, and MMK-AP0243H2UL
Slim ducted
    MMD-AP0071SPH2UL, MMD-AP0091SPH2UL, MMD-AP0121SPH2UL, MMD-
AP0151SPH2UL, and MMD-AP0181SPH2UL

Medium static ducted
    MMD-AP0071BH2UL, MMD-AP0091BH2UL, MMD-AP0121BH2UL, MMD-
AP0151BH2UL, MMD-AP0181BH2UL, MMD-AP0211BH2UL, MMD-AP0241BH2UL, MMD-
AP0301BH2UL, MMD-AP0361BH2UL, MMD-AP0421BH2UL, and MMD-AP0481BH2UL

High static ducted

    MMD-AP0151H2UL, MMD-AP0181H2UL, MMD-AP0241H2UL, MMD-AP0301H2UL, 
MMD-AP0361H2UL, and MMD-AP0481H2UL

    This interim waiver is issued on the condition that the statements, 
representations, and documents provided by the petitioner are valid. 
DOE may revoke or modify this interim waiver at any time if it 
determines the factual basis underlying the petition for waiver is 
incorrect or the results from the alternate test procedure are 
unrepresentative of the basic models' true energy consumption 
characteristics.
    DOE makes decisions on waivers and interim waivers for only those 
models specifically set out in the petition, not future models that may 
be manufactured by the petitioner. Carrier may submit a new or amended 
petition for waiver and request for grant of interim waiver, as 
appropriate, for additional models of commercial package air 
conditioners and heat pumps for which it seeks a waiver from the DOE 
test procedure. In addition, DOE notes that grant of an interim waiver 
or waiver does not release a petitioner from the certification 
requirements set forth at 10 CFR Part 431, Subpart T.

IV. Alternate Test Procedure

    In responses to two petitions for waiver from Mitsubishi, DOE 
specified an alternate test procedure to provide a basis from which 
Mitsubishi could test and make valid energy efficiency representations 
for its R410A CITY MULTI products, as well as for its R22 multi-split 
products. Alternate test procedures related to the Mitsubishi petitions 
were published in the Federal Register on April 9, 2007. See 72 FR 
17528 and 72 FR 17533. For reasons similar to those published in these 
prior notices, DOE believes that an alternate test procedure is 
appropriate in this instance.
    DOE understands that existing testing facilities have limited 
ability to test multiple indoor units simultaneously. This limitation 
makes it impractical for manufacturers to test the large number of 
possible combinations of indoor and outdoor units for some variable 
refrigerant flow zoned systems. We further note that after DOE granted 
a waiver for Mitsubishi's R22 multi-split

[[Page 19762]]

products, ARI formed a committee to discuss testing issues and to 
develop a testing protocol for variable refrigerant flow systems. The 
committee has developed a test procedure which has been adopted by 
AHRI--``ANSI/AHRI 1230--2010: Performance Rating of Variable 
Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat Pump 
Equipment'' and incorporated into ASHRAE 90.1--2010. The commercial 
multisplit waivers that DOE has granted to Mitsubishi and several other 
manufacturers and the alternate test procedure set forth in those 
waivers are consistent with ANSI/AHRI 1230-2010. The waivers use a 
definition of ``tested combination'' that is substantially the same as 
the definition in ANSI/AHRI 1230-2010. As a result, DOE is considering 
prescribing ANSI/AHRI 1230-2010 in the subsequent decision and order as 
the alternate test procedure for this Carrier waiver. For the interim 
waiver, however, DOE will continue to require the use of the alternate 
test procedure prescribed in the past multi-split waivers.
    Therefore, as a condition for granting this interim waiver to 
Carrier, DOE is including an alternate test procedure similar to those 
granted to Mitsubishi for its R22 and R410A products. This alternate 
test procedure will allow Carrier to test and make energy efficiency 
representations for its SMMSi products. DOE has applied a similar 
alternate test procedure to other waivers for similar residential and 
commercial central air conditioners and heat pumps manufactured by 
Mitsubishi (72 FR 17528, April 9, 2007); Samsung (72 FR 71387, Dec. 17, 
2007); Fujitsu (72 FR 71383, Dec. 17, 2007); Daikin (73 FR 39680, July 
10, 2008); Daikin (74 FR 15955, April 8, 2009); Daikin (74 FR 16193, 
April 9, 2009); Daikin (74 FR 16373, April 10, 2009); Mitsubishi (74 FR 
66311, 66315, December 15, 2009) and LG (74 FR 66330, December 15, 
2009).
    The alternate test procedure developed in conjunction with the 
Mitsubishi waiver permits Carrier to designate a ``tested combination'' 
for each model of outdoor unit. The indoor units designated as part of 
the tested combination must meet specific requirements. For example, 
the tested combination must have from two to eight indoor units so that 
it can be tested in available test facilities. (The ``tested 
combination'' was originally defined to consist of one outdoor unit 
matched with between 2 and 5 indoor units. The maximum number of indoor 
units in a tested combination is increased in this instance from 5 to 8 
to account for the fact that these larger-capacity products can 
accommodate a greater number of indoor units.) The tested combination 
must be tested according to the applicable DOE test procedure, as 
modified by the provisions of the alternate test procedure as set forth 
below. The alternate test procedure also allows manufacturers of such 
products to make valid and consistent representations of energy 
efficiency for their air-conditioning and heat pump products.
    DOE is including the following waiver language in the interim 
waiver for Carrier's SMMSi commercial multi-split water-source heat 
pump models:
    (1) The petition for waiver filed by Carrier Corporation is hereby 
granted as set forth in the paragraphs below.
    (2) Carrier shall not be required to use existing test procedures 
to test or rate its SMMSi variable capacity multi-split heat pump 
products listed above, but shall be required to test and rate such 
products according to the alternate test procedure as set forth in 
paragraph (3).
    (3) Alternate test procedure.
    (A) Carrier shall be required to test the products listed in above 
according to the test procedures for central air conditioners and heat 
pumps prescribed by DOE at 10 CFR 431.96, except that Carrier shall 
test a tested combination selected in accordance with the provisions of 
subparagraph (B) of this paragraph. For every other system combination 
using the same outdoor unit as the tested combination, Carrier shall 
make representations concerning the SMMSi products covered in this 
waiver according to the provisions of subparagraph (C) below.
    (B) Tested combination. The term tested combination means a sample 
basic model comprised of units that are production units, or are 
representative of production units, of the basic model being tested. 
For the purposes of this waiver, the tested combination shall have the 
following features:
    (1) The basic model of a variable refrigerant flow system used as a 
tested combination shall consist of one outdoor unit, with one or more 
compressors, that is matched with between two and five indoor units. 
(For systems with nominal cooling capacities greater than 150,000 Btu/
h, as many as eight indoor units may be used, to enable testing of non-
ducted indoor unit combinations). For multi-split systems, each of 
these indoor units shall be designed for individual operation.
    (2) The indoor units shall--
    (i) Represent the highest sales model family or another indoor 
model family if the highest sales model family does not provide 
sufficient capacity (see ii);
    (ii) Together, have a nominal cooling capacity that is between 95% 
and 105% of the nominal cooling capacity of the outdoor unit;
    (iii) Not, individually, have a nominal cooling capacity that is 
greater than 50% of the nominal cooling capacity of the outdoor unit;
    (iv) Operate at fan speeds that are consistent with the 
manufacturer's specifications; and
    (v) Be subject to the same minimum external static pressure 
requirement while being configurable to produce the same static 
pressure at the exit of each outlet plenum when manifolded as per Sec.  
2.4.1 of 10 CFR part 430, subpart B, appendix M.
    (C) Representations. In making representations about the energy 
efficiency of its SMMSi variable capacity multi-split heat pump 
products for compliance, marketing, or other purposes, Carrier must 
fairly disclose the results of testing under the DOE test procedurein a 
manner consistent with the provisions outlined below:
    (1) For SMMSi combinations tested in accordance with this alternate 
test procedure, Carrier may make representations based on these test 
results.
    (2) For SMMSi combinations that are not tested, Carrier may make 
representations of non-tested combinations at the same energy 
efficiency level as the tested combination. The outdoor unit must be 
the one used in the tested combination. The representations must be 
based on the test results for the tested combination. The 
representations may also be determined by an Alternative Rating Method 
approved by DOE.

V. Summary and Request for Comments

    Through today's notice, DOE announces receipt of the Carrier 
petition for waiver from the test procedures applicable to Carrier's 
SMMSi commercial multi-split heat pump products. For the reasons 
articulated above, DOE also grants Carrier an interim waiver from those 
procedures. As part of this notice, DOE is publishing Carrier's 
petition for waiver in its entirety. The petition contains no 
confidential information. Furthermore, today's notice includes an 
alternate test procedure that Carrier is required to follow as a 
condition of its interim waiver. In this alternate test procedure, DOE 
is defining a tested combination that Carrier could use in lieu of 
testing all retail combinations of its SMMSi multi-split heat pump 
products.
    DOE is interested in receiving comments on the issues addressed in 
this notice. Pursuant to 10 CFR

[[Page 19763]]

431.401(d), any person submitting written comments must also send a 
copy of such comments to the petitioner, pursuant to 10 CFR 431.401(d). 
The contact information for the petitioner is: Dr. John Galbraith, VP 
of RCS Engineering, Carrier Corporation, 7310 West Morris Street, 
Indianapolis, IN 46231. All submissions received must include the 
agency name and case number 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).
    According 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: One copy of the document including 
all the information believed to be confidential, and one copy of the 
document with 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 March 30, 2011.
Kathleen Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Technology 
Development, Energy Efficiency and Renewable Energy.

February 16, 2011.

Ms. Catherine Zoi, Assistant Secretary for Energy Efficiency and 
Renewable Energy, U.S. Department of Energy, 1000 Independence Avenue, 
SW., Washington, DC 20585-0121.

Re: Petition for Waiver and Application for Interim Waiver From 
Department of Energy Commercial Package Air Conditioner and Heat Pump 
Test Procedures

Dear Assistant Secretary Zoi:

    Pursuant to 10 CFR 431.401(a), Carrier Corporation (``Carrier'') 
respectfully petitions the Department of Energy (``DOE'') for a waiver 
of the test procedure set forth at 10 CFR 431.96, i.e., ARI Standard 
340/360-2004,
    \1\ applicable to its Super Modular Multi-system (``SMMSi'') 
commercial Variable Refrigerant Flow (``VRF'') multi-split systems. 
Carrier requests this waiver for the SMMSi systems because the basic 
design of VRF multi-split systems prevents testing or rating according 
to DOE's prescribed test procedures. Carrier also hereby requests an 
interim waiver for the same products pursuant to 10 CFR 431.401(a)(2).
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    \1\ As of the date of this petition and application, the current 
version of 10 CFR 431.96 (2010) incorporates by reference ARI 
Standard 340/360-2004. In the event that DOE incorporates by 
reference a more recent iteration of ARI Standard 340/360 in 2011 
version of 10 CFR 431.96, Carrier hereby requests a waiver from 
those test procedures as well.
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Background

    Carrier is a wholly-owned subsidiary of United Technologies 
Corporation. Carrier provides heating, ventilation, air-conditioning 
and refrigeration (HVACR) systems, controls, services, and sustainable 
building solutions for residential, commercial, industrial, food 
service, and transportation applications. Carrier would like to 
initiate the marketing and sale of the SMMSi systems as early as March 
2011. Carrier will import the systems from two of its joint ventures: 
Toshiba Carrier Corporation (Japan) and Toshiba Carrier Thailand Co. 
Ltd.
    Carrier's SMMSi VRF multi-split products contain design 
characteristics that prevent testing of the system using the procedures 
incorporated by reference at 10 CFR 431.96, ARI Standard 340/360-2004. 
This standard does not provide a feasible method of testing and rating 
a system that: (i) Utilizes multiple indoor and outdoor units; and (ii) 
allows for the mixing of different types and capacities of indoor units 
within the same system. Carrier's products that are the subject of this 
petition and application involve 7 unique outdoor models \2\ and 43 
unique indoor models. A single outdoor model can be connected to up to 
38 indoor units. Moreover, the various indoor and outdoor models can be 
connected in a multitude of configurations. Simply put, there are many 
thousands of possible combinations.
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    \2\ The 7 outdoor models include 6-ton, 8-ton, and 9.5-ton 
units, as well as combinations of these units that result in 12-ton, 
14-ton, 16-ton, and 19-ton units. The model numbers and capacities 
for these 7 units are provided in Section II.
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    A waiver and interim waiver for Carrier's SMMSi systems are 
warranted for reasons cited previously in other applications for waiver 
for similar commercial multi-split air conditioning systems. The two 
key reasons are, first, that testing laboratories are unable to test 
products with so many indoor units (up to 38) connected to an outdoor 
system. Second, there are too many possible combinations of indoor and 
outdoor units to be feasibly tested. In addition, DOE has granted 
waivers to numerous other comparable commercial, multi-split VRF 
systems, including Mitsubishi Electric & Electronics USA, 72 FR 17528 
(Apr. 9, 2007); Samsung, 72 FR 71387 (Dec. 17, 2007); Fujitsu, 72 FR 
71383 (Dec. 17, 2007); SANYO North America Corp., 75 FR 41845 (July 19, 
2010); LG Electronics U.S.A., Inc., 74 FR 66330 (Dec. 15, 2009); and 
Daikin AC (Americas), 74 FR 16373 (Apr. 10, 2009).

Basic Models for Which a Waiver Is Requested

    Carrier seeks a waiver from the test procedures in 10 CFR 431.96 
for the following basic models:
    Standard model outdoor units:

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

    All outdoor units identified above are compatible for use with the 
below listed indoor units, whose capacities range from 7,000 to 48,000 
Btu/hr:

4-way cassette
    MMU-AP0182H2UL, MMU-AP0212H2UL, MMU-AP0242H2UL, MMU-AP0302H2UL, 
MMU-AP0362H2UL, and MMU-AP0422H2UL

Compact 4-way cassette
    MMU-AP0071MH2UL, MMU-AP0091MH2UL, MMU-AP0121MH2UL, MMU-
AP0151MH2UL, and MMU-AP0181MH2UL
Ceiling
    MMC-AP0181H2UL, MMC-AP0241H2UL, MMC-AP0361H2UL, and MMC-
AP0421H2UL

High-wall
    MMK-AP0073H2UL, MMK-AP0093H2UL, MMK-AP0123H2UL, MMK-AP0153H2UL, 
MMK-AP0183H2UL, and MMK-AP0243H2UL

Slim ducted
    MMD-AP0071SPH2UL, MMD-AP0091SPH2UL, MMD-AP0121SPH2UL, MMD-
AP0151SPH2UL, and MMD-AP0181SPH2UL

Medium static ducted
    MMD-AP0071BH2UL, MMD-AP0091BH2UL, MMD-AP0121BH2UL, MMD-
AP0151BH2UL, MMD-AP0181BH2UL, MMD-AP0211BH2UL, MMD-AP0241BH2UL, MMD-
AP0301BH2UL, MMD-AP0361BH2UL, MMD-AP0421BH2UL, and MMD-AP0481BH2UL

High static ducted

[[Page 19764]]

    MMD-AP0151H2UL, MMD-AP0181H2UL, MMD-AP0241H2UL, MMD-AP0301H2UL, 
MMD-AP0361H2UL, and MMD-AP0481H2UL

SMMSi System Characteristics Constituting the Grounds for Carrier's 
Petition

    Carrier's SMMSi VRF multi-split products allow for the connection 
of multiple indoor units to an outdoor system comprised of one or two 
outdoor units. These units contain highly efficient twin-rotary 
compressors and advanced vector-controlled inverters to allow for 
greater operating performance when operating under a constant load. 
This improves both energy efficiency and comfort levels. In addition, 
the products' infinite variable control adjusts compressor rotation 
speed in 0.1 Hz steps, which further helps to minimize energy loss when 
changing frequencies and also creates a comfortable environment subject 
to minimal temperature variations.
    Carrier's newly developed VRF control ensures the right amount of 
cooling or heating to satisfy the unique demands of each room, 
regardless of the type of indoor unit used or the length of the pipes. 
Moreover, system layouts can use a maximum equivalent distance of up to 
985 feet, and Carrier's products can support height differences of up 
to 130 feet between indoor units within a single system.
    VRF multi-split technology will help the United States reduce the 
amount of energy required to heat and cool buildings. Carrier looks 
forward to introducing its SMMSi products to improve the control and 
comfort of end users and to help decrease the nation's overall energy 
usage.
    As indicated above, DOE has previously granted waivers and interim 
waivers to other manufacturers of similar VRF multi-split equipment 
that share the same basic system characteristics as that of Carrier's 
SMMSi products. See, e.g., 75 FR 41845 (July 19, 2010) (order granting 
Sanyo's petition for waiver); 74 FR 66330 (Dec. 15, 2009) (order 
granting LG's petition for waiver); 74 FR 16373 (Apr. 10, 2009) (order 
granting Daikin's petition for waiver); 72 FR 71387 (Dec. 17, 2007) 
(order granting Samsung's petition for waiver); 72 FR 71383 (Dec. 17, 
2007) (order granting Fujitsu's petition for waiver); 72 FR 17528 (Apr. 
9, 2007) (order granting Mitsubishi's petition for waiver); see also 75 
FR 13114) (Mar. 18, 2010) (granting Sanyo's application for interim 
waiver); 74 FR 66324 (Dec. 15, 2009) (granting Daikin's application for 
interim waiver); 74 FR 20688 (May 5, 2009) (granting LG's application 
for interim waiver); 71 FR 14858 (Mar. 24, 2006) (granting Mitsubishi's 
application for interim waiver).

Specific Testing Requirements Sought To Be Waived

    Carrier's petition seeks a waiver from the applicable test 
procedures set forth at 10 CFR 431.96. Specifically, Carrier petitions 
for waiver from the test conditions and procedures of ARI Standard 340/
360-2004 for its SMMSi products with nominal capacity greater than or 
equal to 65,000 BTU/hr, but less than 760,000 BTU/hr.

Identity of Manufacturers of Similar Basic Models

    To the best of Carrier's knowledge, the following manufacturers 
currently market similar VRF products within the United States:
    Daikin AC (Americas), Inc.
    Fujitsu General America, Inc.
    LG Electronics U.S.A., Inc.
    Mitsubishi Electric & Electronics USA, Inc.
    SANYO North America Corp.

Alternate Testing Procedures

    Carrier requests that DOE approve as an alternate test procedure 
the procedures outlined in the current AHRI Standard 1230, Performance 
Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning 
and Heat Pump Equipment Standard. These procedures are substantially 
similar to those that DOE has applied in the VRF waivers granted to 
date, with changes intended to make the efficiency ratings based on the 
standard more comparable to other types of equipment that could be used 
in place of VRF systems. This requested alternate testing procedure is 
appropriate for several reasons. First, AHRI plans to launch a VRF 
certification program based on AHRI Standard 1230. Second, ASHRAE has 
specified AHRI Standard 1230 as the test standard for VRF systems in 
ASHRAE Standard 90.1-2010, which establishes efficiency requirements 
for VRF systems. Notably, in a previous waiver proceeding (75 FR 
25,224, 25,226 (May 7, 2010)) Carrier commented that DOE should require 
similar products to be tested per AHRI 1230. DOE responded that AHRI 
1230 had not yet been adopted by ASHRAE. This is no longer the case.
    Adopting Standard 1230 as an alternate test procedure would 
eliminate the need for Carrier to test the SMMSi system using two 
different testing protocols. If DOE applies something other than 
Standard 1230, Carrier would have to test its systems using: (i) AHRI 
Standard 1230 to receive AHRI certification and to show compliance with 
the efficiency levels in ASHRAE 90.1; and (ii) whatever alternate test 
procedure that DOE requires as a condition of granting this waiver 
request. Third, given the requirements for varying interconnecting tube 
lengths with system capacity, the latest edition of Standard 1230 
provides a more accurate comparison of the energy efficiency ratings of 
VRF products and non-VRF alternative systems than do the alternate 
procedures that DOE has previously applied in other waiver approvals.

Application for Interim Waiver

    Pursuant to 10 CFR 431.401(a)(2), Carrier also submits an 
Application for Interim Wavier of 10 CFR 431.96 and ARI Standard 340/
360-2004 for the SMMSi VRF multi-split models listed in Section II 
above. Carrier's application should be granted for the following 
reasons.
    First, Carrier is likely to succeed on its Petition for Wavier 
because there is no reasonable argument that ARI Standard 340/360-2004 
can be applied to its SMMSi product class. Existing testing facilities 
are not designed to test multi-split VRF systems with so many indoor 
and outdoor units and possible combinations. Indeed, as explained 
above, DOE has granted similar petitions for waiver and applications 
for interim waiver from several companies based on the same rationale 
offered by Carrier in this Petition and Application. Those prior 
approvals confirm that the test procedures incorporated by reference 
into 10 CFR 431.96 do not adequately define uniform testing and rating 
methods for VRF multi-split products.
    Second, Carrier is likely to suffer economic hardship and a 
competitive disadvantage if DOE does not grant its application for 
interim waiver. Other manufacturers of similar products have already 
received waivers and are able to market and distribute their VRF multi-
split products. Without an interim waiver, Carrier will be unable to 
introduce its SMMSi product line in the United States in March 2011 as 
currently planned. A significant portion of Carrier's projected 
revenues depends on the timely introduction of this product line into 
the United States market. In the event that Carrier must await 
completion of DOE's waiver process, its revenues and market share will 
be negatively affected.
    Finally, Carrier's application for interim waiver is supported by 
sound public policy reasons, as DOE recently recognized in granting a 
similar application: ``[I]n those instances where

[[Page 19765]]

the likely success of the Petition for Waiver has been demonstrated, 
based upon DOE having granted a waiver for similar products design, it 
is in the public interest to have similar products tested and rated for 
energy consumption on a comparable basis.'' 73 FR at 1215. Moreover, 
Carrier's SMMSi products will increase system efficiency, reduce 
national energy usage, and benefit end users in the United States.

Confidential Information

    Carrier makes no request to DOE regarding the confidential 
treatment of any information contained in this Petition for Waiver and 
Application for Interim Waiver.

Conclusion

    Carrier respectfully requests that DOE grant a waiver and interim 
waiver from existing test procedures applicable to Carrier's SMMSi VRF 
multi-split systems and to apply the alternate testing procedures 
described above until such time as a representative test procedure is 
developed and adopted for such products. Otherwise, Carrier will not be 
able to compete effectively in the United States VRF market.
    Given that Carrier would like to introduce its SMMSi product line 
in March 2011 and that DOE's regulations contemplate a decision on 
Carrier's Application for Interim Waiver within 15 business days, 10 
CFR 431.401(e), Carrier would greatly appreciate a timely response to 
this letter request. To that end, we would be happy promptly to answer 
any questions that you might have and to provide you with any needed 
additional information.
    Carrier certifies that all manufacturers listed above in Section V 
of this request have been notified by letter of this petition and 
application.

Sincerely,
Carrier Corporation,

Dr. John Galbraith,
VP for RCS Engineering.

[FR Doc. 2011-8401 Filed 4-7-11; 8:45 am]
BILLING CODE 6450-01-P