[Federal Register Volume 78, Number 23 (Monday, February 4, 2013)]
[Proposed Rules]
[Pages 7681-7695]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-02168]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
 
 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.
 
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 

  Federal Register / Vol. 78, No. 23 / Monday, February 4, 2013 / 
Proposed Rules  

[[Page 7681]]



DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EERE-2013-BT-TP-0008]
RIN 1904-AC96


Energy Conservation Program for Consumer Products: Test 
Procedures for Residential Furnaces and Boilers

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

ACTION: Notice of proposed rulemaking and announcement of public 
meeting.

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SUMMARY: The U.S. Department of Energy (DOE) proposes to revise its 
test procedure for residential furnaces and boilers established under 
the Energy Policy and Conservation Act. This rulemaking would adopt 
needed equations, applicable to certain classes of these products, 
which were omitted from the relevant industry standard incorporated by 
reference in the DOE test procedure.

DATES: Meeting: DOE will hold a public meeting on Wednesday, March 13, 
2013, from 9:00 a.m. to 12:00 p.m., in Washington, DC. The meeting will 
also be broadcast as a webinar. See section V, ``Public 
Participation,'' for webinar registration information, participant 
instructions, and information about the capabilities available to 
webinar participants.
    Comments: DOE will accept comments, data, and information regarding 
this notice of proposed rulemaking (NOPR) before and after the public 
meeting, but no later than April 22, 2013. See section V, ``Public 
Participation,'' for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue SW., 
Washington, DC 20585. To attend, please notify Ms. Brenda Edwards at 
(202) 586-2945. Please note that foreign nationals visiting DOE 
Headquarters are subject to advance security screening procedures. Any 
foreign national wishing to participate in the meeting should advise 
DOE as soon as possible by contacting Ms. Edwards at the phone number 
above to initiate the necessary procedures. Please also note that any 
person wishing to bring a laptop computer into the Forrestal Building 
will be required to obtain a property pass. Visitors should avoid 
bringing laptops, or allow an extra 45 minutes. Persons may also attend 
the public meeting via webinar. For more information, refer to section 
V, ``Public Participation,'' section near the end of this notice.
    Interested parties are encouraged to submit comments using the 
Federal eRulemaking Portal at www.regulations.gov. Follow the 
instructions for submitting comments. Alternatively, interested parties 
may submit comments, identified by docket number EERE-2013-BT-TP-0008 
and/or regulatory information number (RIN) number 1904-AC96, by any of 
the following methods:
     Email: [email protected] Include the 
docket number EERE-2013-BT-TP-0008 and/or RIN 1904-AC96 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. If possible, 
please submit all items on a compact disc (CD), in which case it is not 
necessary to include printed copies.
     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.
    Instructions: All submissions received must include the agency name 
and docket number and/or RIN for this rulemaking. No telefacsimilies 
(faxes) will be accepted. For detailed instructions on submitting 
comments and additional information on the rulemaking process, see 
section V of this document (Public Participation).
    Docket: The docket is available for review at www.regulations.gov, 
including Federal Register notices, public meeting attendee lists and 
transcripts, comments, and other supporting documents/materials. All 
documents in the docket are listed in the 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://www.regulations.gov/#!docketDetail;D=EERE-2013-BT-TP-0008. This web 
page contains a link to the docket for this notice on the 
www.regulations.gov site. The www.regulations.gov web page contains 
simple instructions on how to access all documents, including public 
comments, in the docket. See section V, ``Public Participation,'' for 
information on how to submit comments through www.regulations.gov.
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
[email protected].

FOR FURTHER INFORMATION CONTACT: Ms. 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. Email: 
[email protected].
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 586-9507. Email: [email protected].

    For information on how to submit or review public comments, contact 
Ms. Brenda Edwards, 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) 586-2945. Email: [email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Authority and Background
II. Summary of the Notice of Proposed Rulemaking
III. Discussion

[[Page 7682]]

    A. Description of AFUE Inflation Issues Associated with Omitting 
Cool-Down and Heat-Up Testing for Two-Stage and Modulating 
Condensing Furnaces and Boilers
    B. Options To Correct Existing Test Procedure
    1. Suspend the Use of Section 9.10 for Two-Stage and Modulating 
Condensing Furnaces and Boilers
    2. Develop Additional Equations to Correct Existing Test 
Procedure
    C. Results of Preliminary DOE Testing
    D. Proposed Corrective Action
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 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. Attendance at Public Meeting
    B. Procedure for Submitting Requests To Speak and Prepared 
General Statements for Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III, Part B \1\ 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) sets forth a variety of provisions designed to improve 
energy efficiency and established the Energy Conservation Program for 
Consumer Products Other Than Automobiles.\2\ These include residential 
furnaces and boilers, the subject of today's notice. (42 U.S.C. 
6292(a)(5)) \3\
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    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the American Energy Manufacturing Technical 
Corrections Act (AEMTCA), Public Law 112-210 (Dec. 18, 2012).
    \3\ Under 42 U.S.C. 6292(a)(5), the statute establishes 
``furnaces'' as covered products. Originally, boilers were 
considered a class of furnaces. However, amendments to EPCA in the 
Energy Independence and Security Act of 2007 (EISA 2007), Public Law 
110-140 (Dec. 19, 2007), distinguished between furnaces and boilers 
in 42 U.S.C. 6295(f) by adding the text ``and boilers'' to the title 
of that section and by prescribing standards for boiler products. 
Although EISA 2007 did not similarly update 42 U.S.C. 6292(a)(5), it 
is implicit that this coverage continues to include boilers.
---------------------------------------------------------------------------

    Under EPCA, this program consists essentially of four parts: (1) 
Testing; (2) labeling; (3) Federal energy conservation standards; and 
(4) certification and enforcement procedures. The testing requirements 
consist of test procedures that manufacturers of covered products must 
use as the basis for: (1) Certifying to DOE that their products comply 
with the applicable energy conservation standards adopted pursuant to 
EPCA, and (2) making representations about the efficiency of those 
products. (42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) Similarly, DOE must 
use these test requirements when determining whether the products 
comply with any relevant standards promulgated under EPCA. (42 U.S.C. 
6295(s))
    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
that DOE must follow when prescribing or amending test procedures for 
covered products. EPCA provides, in relevant part, that any test 
procedures prescribed or amended under this section must be reasonably 
designed to produce test results which measure energy efficiency, 
energy use, or estimated annual operating cost of a covered product 
during a representative average use cycle or period of use, and must 
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, DOE has tentatively concluded that any test 
procedure changes arising from this rulemaking would not impact 
existing energy conservation standards for residential furnaces and 
boilers, because such changes would simply allow for the generation of 
accurate information reflecting the energy efficiency of affected basic 
models, which are typically comfortably above the existing minimum 
standard level.
    DOE's current energy conservation standards for residential 
furnaces and boilers are expressed as minimum annual fuel utilization 
efficiency (AFUE). AFUE is an annualized fuel efficiency metric that 
fully accounts for fuel consumption in active, standby, and off modes. 
The existing DOE test procedure for determining the AFUE of residential 
furnaces and boilers is located at 10 CFR part 430, subpart B, Appendix 
N, Uniform Test Method for Measuring the Energy Consumption of Furnaces 
and Boilers. The current DOE test procedure for residential furnaces 
and boilers was originally established by a final rule published in the 
Federal Register on May 12, 1997, and it incorporates by reference 
American National Standards Institute (ANSI)/American Society of 
Heating, Refrigerating, and Air-conditioning Engineers (ASHRAE) 
Standard 103-1993, Method of Testing for Annual Fuel Utilization 
Efficiency of Residential Central Furnaces and Boilers (ASHRAE 103-
1993). 62 FR 26140, 26157 (incorporated by reference at 10 CFR 
430.3(f)(9)). On October 14, 1997, DOE published an interim final rule 
in the Federal Register to revise a provision concerning the insulation 
of the flue collector box in order to ensure the updated test procedure 
would not affect the measured AFUE of existing furnaces and boilers. 
(62 FR 53508.) This interim final rule was subsequently adopted without 
change in a final rule published in the Federal Register on February 
24, 1998. 63 FR 9390.
    On October 20, 2010, DOE amended its test procedure for furnaces 
and boilers to establish a method for measuring the electrical energy 
use in standby mode and off mode for gas and oil-fired furnaces and 
boilers pursuant to requirements established by EISA 2007. 75 FR 64621. 
These test procedure amendments were primarily based on and 
incorporated by reference provisions of the International 
Electrotechnical Commission (IEC) Standard 62301 (First Edition), 
``Household electrical appliances--Measurement of standby power.'' On 
December 31, 2012, DOE published a final rule in the Federal Register 
that updated the incorporation by reference of the standby mode and off 
mode test procedure provisions to refer to the latest edition of IEC 
Standard 62301 (Second Edition). 77 FR 76831.
    On January 4, 2013, DOE published a request for information (RFI) 
in the Federal Register that requested comment and information on a 
variety of issues relating to the residential furnace and boiler AFUE 
test method. 78 FR 675. Key issues discussed in the RFI include avenues 
for reducing test burden and the addition of a performance test for 
automatic means of adjusting water temperature in hot water boilers.

II. Summary of the Notice of Proposed Rulemaking

    In this notice of proposed rulemaking (NOPR), DOE proposes to 
modify the existing DOE testing procedures for residential furnaces and 
boilers to address an omission in the current test procedure regarding 
the calculation of AFUE for two-stage and modulating condensing 
furnaces and boilers that employ the optional procedure to skip

[[Page 7683]]

the heat-up and cool-down tests, as described in section 9.10 (Optional 
Test Procedure for Condensing Furnaces and Boilers That Have No Off-
Period Flue Losses) of ASHRAE 103-1993. Section 9.10 of ASHRAE 103-
1993, which is incorporated by reference into the DOE test procedure 
for use at Appendix N to subpart B of 10 CFR part 430, allows certain 
condensing furnaces and boilers to omit the heat-up and cool-down tests 
provided that the model: (1) Has no measurable airflow through the 
combustion chamber and heat exchanger during the burner off-period, and 
(2) has post-purge period(s) of less than 5 seconds. Specifically, 
section 9.10 of ASHRAE 103-1993 reads as follows:

    For units designed with no measurable airflow through the 
combustion chamber and heat exchanger during the burner off-period 
and having post-purge periods of less than 5 seconds, DF and DP may 
be set equal to 0.05. At the discretion of the one testing, the 
cool-down and heat-up tests specified in 9.5 and 9.6 may be omitted 
on such units. In lieu of conducting the cool-down and heat-up 
tests, the tester may use the losses determined during the steady-
state test described in 9.1 when calculating heating seasonal 
efficiency, EffyHS.

    For single-stage condensing furnaces and boilers, section 11.3.11.3 
of ASHRAE 103-1993 provides two separate equations to calculate the 
heating seasonal efficiency (which contributes to the ultimate 
calculation of AFUE). One equation is based on the results of the heat-
up and cool-down tests described in sections 9.5 and 9.6 and is to be 
used if these tests were conducted, and the other equation is based on 
the results of the steady-state test described in section 9.1 and is to 
be used if these tests were not conducted and the option in section 
9.10 was employed instead. Having two separate equations for this 
section adequately addresses the difference in the data collected 
depending on whether the option in section 9.10 is employed. Therefore, 
for single-stage condensing boilers and furnaces, the necessary 
equations are already present for the calculation of AFUE when the 
optional procedure described in section 9.10 is utilized.
    However, for two-stage and modulating condensing furnaces and 
boilers, there are no corresponding equations provided in ASHRAE 103-
1993 to calculate the heating seasonal efficiency (which contributes to 
the ultimate calculation of AFUE) if the option in section 9.10 is 
selected. The only equation provided in the test procedure to calculate 
the heating seasonal efficiency for two-stage and modulating condensing 
furnaces and boilers requires values for the part-load efficiencies, 
which are based on the results of the heat-up and cool-down tests. 
Therefore, if two-stage and modulating condensing furnaces or boilers 
were tested and the heat-up and cool-down tests were omitted in 
accordance with section 9.10, the part-load efficiencies, heating 
seasonal efficiency, and resulting AFUE would all be erroneous if 
calculated using the DOE test method. DOE is aware that many boiler 
manufacturers have utilized the optional section 9.10 provisions for 
two-stage and modulating condensing boilers, regardless of the fact 
that no equations exist in section 11.5.11 that would provide for the 
calculation of the part-load efficiencies for such equipment. In 
calculating the AFUE, manufacturers have used ``0'' for the 
temperatures that would be taken during the heat-up and cool-down 
tests. Research into this issue conducted by the Air-conditioning, 
Heating, and Refrigeration Institute (AHRI) revealed that AFUE values 
calculated for boilers using this approach are inflated from one to 
four percent above their true values. (AHRI, No. 1 at p. 6)
    DOE has considered two options to correct this issue for two-stage 
and modulating condensing furnaces and boilers, including: (1) suspend 
the use of the option in section 9.10 and require heat-up and cool-down 
tests be performed; and (2) develop or adopt a new set of equations to 
address the use of the option in section 9.10.
    DOE has tentatively determined that the best course of action is to 
proceed with adopting equations to address the use of the option in 
section 9.10. Accordingly, DOE is proposing in today's NOPR to amend 
the test procedure to include equations that would allow for the 
calculation of the part-load efficiencies at the maximum input rate and 
reduced input rates (and ultimately AFUE) of two-stage and modulating 
condensing furnaces and boilers when utilizing the option to skip the 
heat-up and cool-down tests, as provided under section 9.10 of ASHRAE 
103-1993.
    In any rulemaking to amend a test procedure, DOE must determine to 
what extent, if any, the proposed test procedure would alter the 
measured energy efficiency or measured energy use of any covered 
product as determined 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 or measured energy use of a covered 
product, DOE must amend the applicable energy conservation standard 
accordingly. (42 U.S.C. 6293(e)(2))
    The proposed test procedure amendments include a revised method for 
calculating the AFUE for two-stage and modulating condensing furnaces 
and boilers. While this change may lead to a revised AFUE rating for 
certain residential furnaces or boilers, DOE does not believe that the 
resulting changes in AFUE would require amending the applicable energy 
conservation standard or affect compliance with the standard by the 
models at issue here. As noted, the error applies only to two-stage and 
modulating condensing models, which test well above the current minimum 
standards. The current minimum energy conservation standards are based 
on AFUE ratings that correspond to non-condensing furnaces and boilers, 
and those values would not change as a result of today's proposal to 
remedy the omission of necessary equations pertaining to condensing 
models. DOE does not foresee that a model that would need to be re-
rated using the equation proposed in today's notice would have a 
resulting AFUE below the minimum required efficiency.

III. Discussion

A. Description of AFUE Inflation Issues Associated With Omitting Cool-
Down and Heat-Up Testing for Two-Stage and Modulating Condensing 
Furnaces and Boilers

    Recent investigation by AHRI has demonstrated that the DOE test 
procedure erroneously omits an equation needed to calculate the AFUE 
rating of two-stage and modulating condensing furnaces or boilers that 
utilize an optional procedure allowing the tester to skip the heat-up 
and cool-down tests. This error carries through to the software 
commonly used in the heating industry to rate and verify the energy 
efficiency of residential furnaces and boilers, and, thus, the software 
produces an erroneously high energy efficiency rating for some types of 
product under certain conditions. DOE has since independently confirmed 
these findings.
    The Federal test procedure for determining the energy efficiency of 
residential furnaces and boilers in Appendix N to Subpart B of 10 CFR 
part 430 is based largely upon ASHRAE 103-1993, which the DOE test 
procedure incorporates by reference. A product's energy efficiency 
rating is expressed in terms of AFUE, which is an estimate of the 
product's fuel consumption during the heating season when operating 
under a set of standard conditions.

[[Page 7684]]

Energy lost during a product's transient heat-up and cool-down stages 
and during steady-state operation reduces the product's AFUE rating, 
which can be no higher than 100 percent.
    ASHRAE 103-1993 requires consideration of several sources of energy 
loss when determining a product's energy efficiency rating. For non-
weatherized residential boilers, which DOE requires be rated as indoor 
units (10 CFR part 430, subpart B, Appendix N, section 10.1 in the 
definition of EffyHS), all energy loss is in the form of 
heat exhausted from the product's vent system. During the burner's on-
cycle, losses consist of residual heat in the flue gases and flue gas 
condensate. During the burner off-cycle, losses include heat 
transferred from the product's heat exchanger to any air that moves 
through the heat exchanger when the combustion air fan is running to 
purge combustible gases from the boiler and/or naturally due to 
residual draft in the vent system. If the product draws combustion air 
from inside the heated space, losses also include the heat contained in 
the warm room air vented during the on-cycle and off-cycle (i.e., 
infiltration loss). Since boilers are rated as indoor units, off-cycle 
infiltration losses can be significant, therefore most mid-efficiency 
boilers are equipped with vent dampers to minimize the loss of room air 
in the off cycle. Also, because boiler heat exchangers retain a 
significant amount of heat in the form of hot water, off-cycle sensible 
heat losses \4\ can be significant.
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    \4\ ``Sensible heat'' is heat exchanged by a body or 
thermodynamic system that is the result of a change of temperature. 
The term is used in contrast to ``latent heat,'' which is the amount 
of heat exchanged without change of temperature.
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    In contrast to residential boilers, DOE requires that non-
weatherized residential furnaces be rated as isolated combustion 
systems (ICS) (10 CFR 430, subpart B, Appendix N, section 10.1 in the 
definition of EffyHS). This means that furnaces are assumed 
to draw all combustion air from outside the building. Since no indoor 
air is used for the combustion process, there is no efficiency penalty 
related to heating the unconditioned air which would infiltrate the 
house. Moreover, furnace heat exchangers have lower residual thermal 
mass than boiler heat exchangers, so off-cycle sensible losses are less 
significant.
    Off-cycle infiltration and sensible heat losses are quantified by 
the heat-up and cool-down tests contained in ASHRAE 103-1993. In these 
tests, the test engineer measures the temperature and mass flow of the 
vent gases as the flue gases rise to steady-state temperature and after 
the burner is turned off. However, the test engineer is allowed to omit 
the heat-up and cool-down tests for condensing furnaces and boilers 
that are ``units designed with no measurable airflow through the 
combustion chamber and heat exchanger during the burner off-period and 
having post-purge periods of less than 5 seconds.'' (See ASHRAE 103-
1993, section 9.10, ``Optional Test Procedures for Condensing Furnaces 
and Boilers That Have No Off-Period Flue Losses.'') Since air movement 
through the heat exchanger in the off-cycle is responsible for any off-
cycle AFUE penalties for boilers, when no air can flow through the heat 
exchanger in the off-cycle, there is no AFUE penalty to be calculated. 
Thus, ASHRAE 103-1993 reasonably disregards infiltration and sensible 
heat losses in the off-cycle for condensing products when air cannot 
flow through the heat exchanger by allowing the manufacturer the option 
to omit the heat-up and cool-down tests. This reduces the testing 
burden and would have a negligible effect on a product's AFUE rating.
    At the present time, the judgment of whether a unit is designed 
with no measurable off-cycle airflow typically has been determined at 
the discretion of the testing engineer and/or the manufacturer who is 
responsible for testing. DOE plans to investigate objective methods for 
determining whether units have no measurable off-cycle airflow in a 
separate, ongoing test procedure rulemaking for furnaces and 
boilers.\5\ Should the test engineer elect to omit the heat-up and 
cool-down tests, ASHRAE 103-1993 provides an alternate calculation that 
omits the results of those tests for single-stage condensing products 
(section 11.3.11.3). However, the alternate calculation applies only to 
products having a single firing rate--there is no counterpart in 
section 11.5.11 for two-stage and modulating condensing products. Thus, 
ASHRAE 103-1993 and the Federal test procedure do not provide a method 
of calculating AFUE for two-stage and modulating condensing products 
when the heat-up and cool-down tests are omitted, even though the test 
procedure explicitly provides for such an option. This ambiguity has 
worked its way into the AFUE calculation software \6\ commonly employed 
by industry in testing and rating residential furnaces and boilers. The 
software was originally developed by the National Institute of Science 
and Technology (NIST), before being reprogrammed for use with Microsoft 
Windows and offered for sale by the Gas Appliance Manufacturers 
Association (GAMA), which is now AHRI. AHRI is the trade association 
for manufacturers of heating equipment, and it also administers an 
industry energy efficiency verification program.
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    \5\ For more information on the ongoing test procedure 
rulemaking for residential furnaces and boilers, see: http://www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/55
    \6\ DOE notes that the software voluntarily used by 
manufacturers to streamline the calculations in Appendix N to 
Subpart B of Part 430 is not DOE-issued or approved. It is the 
manufacturer's responsibility to ensure that any software employed 
to automate the DOE test procedure equations is consistent with the 
exact methods in the test procedure.
---------------------------------------------------------------------------

    As noted above, when calculating the AFUE of a product for which 
the heat-up and cool-down tests have been omitted, test engineers have 
been substituting 0 [deg]F for various temperatures ordinarily measured 
during the omitted tests. For single-stage condensing equipment, these 
zeros trigger the AFUE calculator to use the correct alternate 
equation. However, for two-stage and modulating condensing equipment, 
the AFUE calculator erroneously uses those zeros in the ordinary 
efficiency calculation as if the heat-up and cool-down tests were 
actually performed. The calculated results indicate that the boiler 
seems to be recovering heat during heat-up and cool-down instead of 
losing it, which inflates its AFUE rating, and according to AHRI, the 
error results in the over-rating of AFUE in two-stage and modulating 
condensing products by one to four percent. (AHRI, No. 1 at p. 6) The 
error applies to any two-stage or modulating condensing product for 
which the heat-up and cool-down tests have been omitted. Based on 
assertions from AHRI, such over-rating appears to be common for high-
efficiency condensing boilers and no other product type. (AHRI, No. 1 
at p. 2)

B. Options To Correct Existing Test Procedure

    In considering how to address the omitted calculation for two-stage 
and modulating condensing furnaces and boilers, DOE considered two 
potential options: (1) Suspending the use of section 9.10 for those 
models; and (2) developing or adopting a new set of equations to 
address the use of the option in section 9.10 with those models. Each 
of these potential options is discussed in detail below.
1. Suspend the Use of Section 9.10 for Two-Stage and Modulating 
Condensing Furnaces and Boilers
    The existing DOE test procedure currently does not provide the 
necessary

[[Page 7685]]

equations to accommodate the use of the option in section 9.10 of 
ASHRAE 103-1993 for two-stage and modulating condensing equipment in 
the calculations provided in section 11.5.11. If DOE were simply to 
suspend the use of section 9.10 for two-stage and modulating products, 
manufacturers and test engineers would need to conduct heat-up and 
cool-down tests for all two-stage and modulating furnaces and boilers, 
both condensing and non-condensing.
    DOE considered this option as a straightforward approach that could 
be implemented quickly, would eliminate confusion, and would resolve 
this issue. Requiring the heat-up and cool-down tests would also ensure 
more accurate AFUE ratings than those developed using the optional 
method in section 9.10. However, this approach would also increase test 
burden on manufacturers and industry. Not only would this be an issue 
for manufacturers rating equipment efficiency in the future, but 
initially, it would require a significant amount of re-rating of 
existing equipment through additional testing, which could 
significantly burden test labs. Upon considering these concerns and the 
potential alternatives discussed later in this section, DOE has 
tentatively decided not to pursue this option.
2. Develop Additional Equations To Correct Existing Test Procedure
    ASHRAE 103-1993 lacks equations for determining heating seasonal 
efficiency for two-stage and modulating condensing furnace and boiler 
products when the heat-up and cool-down tests are omitted. For single-
stage equipment, when the heat-up and cool-down tests are omitted, an 
alternate equation is provided in which cyclic sensible and 
infiltration loss factors are replaced with the steady-state sensible 
heat loss factor, corrected for outdoor air temperature if applicable. 
More specifically, in section 11.3.11.3, ``Heating Seasonal 
Efficiency,'' the alternate equation substitutes the steady-state 
sensible heat loss adjusted for outdoor air temperature when 
applicable, in place of the sum of the sensible and infiltration heat 
losses during the on and off cycles.
    If the option in section 9.10 of ASHRAE 103-1993 is not employed: 
    [GRAPHIC] [TIFF OMITTED] TP04FE13.039
    
    If the option in section 9.10 of ASHRAE 103-1993 is employed: 
    [GRAPHIC] [TIFF OMITTED] TP04FE13.040
    
    So, under the option in section 9.10 of ASHRAE 103-1993, 
(CS)(LS,SS) is substituted for (LS,ON + LS,OFF + LI,ON + LI,OFF).
    This concept of replacing cyclic infiltration and sensible heat 
losses with steady-state infiltration and sensible heat losses also 
applies when dealing with two-stage and modulating condensing furnaces 
and boilers. DOE proposes the following equations for use in testing 
two-stage and modulating condensing furnaces and boilers when employing 
the option in section 9.10 of ASHRAE 103-1993:

11.5.11.1 Part-Load Efficiency at Reduced Fuel Input Rate 
[GRAPHIC] [TIFF OMITTED] TP04FE13.041

Where:

LS,SS = value as defined in section 11.5.6 at reduced input rate
CS = value as defined in section 11.5.10.1 at reduced input rate

11.5.11.2 Part-Load Efficiency at Maximum Fuel Input Rate 
[GRAPHIC] [TIFF OMITTED] TP04FE13.042

Where:

LS,SS = value as defined in section 11.5.6 at maximum input rate
CS = value as defined in section 11.5.10.1 at maximum input rate

    In its investigation of the issue, AHRI developed identical 
equations to accommodate the option of omitting the

[[Page 7686]]

heat-up and cool-down tests, as they pertain to two-stage and 
modulating condensing furnaces and boilers. (AHRI, No. 2 at p. 1)

C. Results of Preliminary DOE Testing

    DOE conducted testing on two modulating condensing residential 
boilers to validate the equations discussed above. The test results 
showed that the AFUEs calculated by omitting the heat-up and cool-down 
tests and using of the equations discussed in section III.B.2 were 
within 0.04 percent AFUE of the AFUE determined using the heat-up and 
cool-down tests. Tables III.1 and III.2 show the results of the testing 
and various intermediate values for the two boilers, labeled boilers 
``A'' and ``B.'' 
[GRAPHIC] [TIFF OMITTED] TP04FE13.043


[[Page 7687]]


[GRAPHIC] [TIFF OMITTED] TP04FE13.044


[[Page 7688]]


[GRAPHIC] [TIFF OMITTED] TP04FE13.045


[[Page 7689]]


[GRAPHIC] [TIFF OMITTED] TP04FE13.046

    As shown in the tables above, the difference between the AFUE 
values calculated using section 9.10 of ASHRAE 103-1993 with the 
proposed equations and the AFUE values calculated using the heat-up and 
cool-down tests is 0.03 percent AFUE for boiler ``A'' and 0.04 percent 
AFUE for boiler ``B.'' DOE believes that the difference between the two 
calculation methods is small enough that the AFUE values using the new 
equations are representative of the actual performance of the models. 
Thus, the resulting values are an accurate representation of the 
product's energy efficiency for consumer information purposes and would 
result in minimal additional test burden.

D. Proposed Corrective Action

    DOE is proposing to amend the DOE test procedure for residential 
furnaces and boilers in Appendix N to subpart B of 10 CFR part 430 by 
adopting the alternate equations that were developed by DOE and also 
independently proposed by AHRI, as described in section III.B.2 above.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget 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 
regulatory action was not subject to review under the Executive Order 
by the Office of Information and Regulatory Affairs (OIRA) in the 
Office of Management and Budget (OMB).

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (``Act'') (5 U.S.C. 601 et seq., as 
amended) requires preparation of an initial regulatory flexibility 
analysis (IFRA) for any rule that by law must be proposed for public 
comment and a final regulatory flexibility analysis (FRFA) for any such 
rule that an agency adopts as a final rule, unless the agency certifies 
that the rule, if promulgated, will not have a significant economic 
impact on a substantial number of small entities. A regulatory 
flexibility analysis amines the impact of the rule on small entities 
and considers alternative ways of reducing negative effects. Also, as 
required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed today's proposed rule under the provisions of the 
Regulatory Flexibility Act and the procedures and policies published on 
February 19, 2003. DOE has concluded that the rule would not have a 
significant impact on a substantial number of small entities. The 
factual basis for this certification is as follows:
    For manufacturers of residential furnaces and boilers, the Small 
Business Administration (SBA) has set a size threshold, which defines 
those entities classified as ``small businesses'' for the purposes of 
the Act. DOE used the SBA's small business size standards to determine 
whether any small entities would be subject to the requirements of the 
rule. 13 CFR part 121. These size standards and codes are established 
by

[[Page 7690]]

the North American Industry Classification System (NAICS) and are 
available at http://www.sba.gov/sites/default/files/files/Size_Standards_Table(1).pdf. Residential boiler manufacturing is classified 
under NAICS 333414, ``Heating equipment (except warm air furnaces) 
manufacturing,'' for which the size threshold is 500 employees. 
Residential furnace manufacturing is classified under NAICS 333415, 
``Air-conditioning and warm air heating equipment and commercial and 
industrial refrigeration equipment manufacturing'' for which the size 
threshold is 750 employees. DOE surveyed the AHRI certification 
directories for furnaces and boilers, as well as the SBA database and 
market research tools (e.g., Hoovers \7\), to identify manufacturers of 
residential furnaces and boilers. DOE then consulted publically-
available data or contacted companies, as necessary, to determine if 
they meet the SBA's definition of a ``small business'' manufacturer, 
and have their manufacturing facilities located within the United 
States. Based on this analysis, DOE identified 11 small businesses that 
manufacture residential furnaces, and 14 small businesses that 
manufacture residential boilers (one of which also manufactures 
residential furnaces), for a total of 24 small businesses potentially 
impacted by this rulemaking.
---------------------------------------------------------------------------

    \7\ For more information see: http://www.hoovers.com/.
---------------------------------------------------------------------------

    Today's notice of proposed rulemaking would amend DOE's test 
procedure by incorporating additional equations to account for the use 
of section 9.10 of ASHRAE 103-1993 (the relevant industry standard 
incorporated by reference) for two-stage and modulating condensing 
furnaces and boilers. As explained earlier in this notice, section 9.10 
permits a manufacturer of condensing furnaces and boilers the option of 
omitting the specified heat-up and cool-down tests if the model has no 
measurable airflow through the combustion chamber and heat exchanger 
during the burner off period and has post-purge period(s) of less than 
5 seconds. However, under the current DOE test procedure, the equations 
needed to use section 9.10 do not exist for two-stage and modulating 
condensing models, and, thus, DOE assumes that manufacturers are 
currently conducting the heat-up and cool-down tests in order to 
properly rate the performance of their two-stage and modulating 
condensing furnaces and boilers. Therefore, DOE believes the equations 
proposed for adoption today would lessen manufacturer burden in 
comparison to application of the current test procedure. To the extent 
that any manufacturers have applied the option in section 9.10, even in 
absence of the equations needed to use that section, to rate the AFUE 
of their two-stage and modulating condensing furnace and boiler models, 
those manufacturers would be required to re-rate their models using 
either today's proposed equations, if adopted in a final rule, or by 
conducting the heat-up and cool-down tests. The estimated costs of re-
rating using the proposed equations is discussed below, along with the 
estimated costs of conducting the heat-up and cool-down tests.
    DOE believes that manufacturers are likely to choose one of two 
approaches to use the proposed equations to recalculate the efficiency 
of two-stage and modulating condensing models for which section 9.10 
has been employed: (1) Manufacturers may recalculate the efficiency for 
each model individually by doing the calculations manually; or (2) 
manufacturers may update the AFUE calculation computer program to 
account for the new equations.
    DOE estimates that recalculating the AFUE manually using the new 
equation would take between 30 minutes and 1 hour per basic model. At 
an hourly rate of $60 for a test lab technician, DOE believes that each 
model that is re-rated in this manner would cost approximately $30 to 
$60.
    Alternatively, an individual manufacturer may decide to reprogram 
its software for calculating AFUE to account for the new equation. DOE 
estimates that a programmer would need between 16 and 40 hours to 
rewrite the program code to account for this new equation. At an hourly 
rate of $80 for a programmer, the resulting cost would be a one-time 
expenditure of $1280 to $3200 to update the automatic AFUE calculation 
program. DOE notes that given the role AHRI has traditionally played 
and the potential for cost savings for AHRI members AHRI may decide to 
reprogram its software, In this case, the effort required to 
recalculate AFUE for individual manufacturers, would be much less than 
the cost AHRI would incur to modify the program, as described in the 
following paragraph.
    DOE notes that at the time of this publication, the AHRI 
certification directories for residential furnaces and boilers contain 
a combined total of over 1800 active condensing models for which 
recalculation could potentially be required, although only a fraction 
of the total condensing models would be two-stage and modulating 
products which might need to be re-rated using the new equations. 
Further, DOE notes that AHRI required member manufacturers of 
condensing two-stage or condensing modulating boilers to either: (1) 
Re-rate their products at 90 percent AFUE; (2) discontinue the model; 
or (3) substantiate the model's efficiency rating by providing data 
from the heat up and cool down tests. (AHRI, No. 1 at p. 2) DOE 
examined the number of models in the AHRI certified directory for 
boilers that are rated at 90 percent AFUE (the majority of which are 
likely to be re-rated models that used option 9.10) and found that 
there are 210 models rated at 90 percent AFUE. If all of these models 
were to be re-rated through the use of the updated computer program, 
the per-model cost would be $6 to $15.
    In comparison to re-rating product efficiency using the proposed 
equations, DOE estimates that conducting the heat-up and cool-down 
tests generally requires 2 hours combined for two-stage and modulating 
condensing products. In contrast, at $60 per hour for a lab technician, 
the cost to perform the heat-up and cool-down tests is approximately 
$120 per model.
    When considering the costs discussed above, DOE believes they are 
small relative to the overall cost of manufacturing, testing, and 
certifying residential furnace and boiler products. DOE seeks comment 
on its conclusion. For the reasons stated above, DOE certifies that the 
proposed rule, if promulgated, would not have a significant economic 
impact on a substantial number of small entities. Therefore, DOE did 
not prepare an initial regulatory flexibility analysis for the proposed 
rule. DOE will transmit its certification and a supporting statement of 
factual basis to the Chief Counsel for Advocacy of the SBA for review 
pursuant to 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of residential furnaces and boilers must certify to 
DOE that their products comply with all applicable energy conservation 
standards. In certifying compliance, manufacturers must test their 
products according to the DOE test procedures for residential furnaces 
and boilers, including any amendments adopted for those test procedures 
on the date that compliance is required. DOE has established 
regulations for the certification and recordkeeping requirements for 
all covered consumer products and commercial equipment, including 
residential furnaces and

[[Page 7691]]

boilers. 76 FR 12422 (March 7, 2011). The collection-of-information 
requirement for certification and recordkeeping is subject to review 
and approval by OMB under the Paperwork Reduction Act (PRA). This 
requirement has been approved by OMB under OMB control number 1910-
1400. 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.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE proposes test procedure amendments that 
it expects will be used to develop and implement future energy 
conservation standards for residential furnaces and boilers. 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 (42 U.S.C. 4321 et seq.) and DOE's implementing 
regulations at 10 CFR part 1021. Specifically, this proposed rule would 
amend the existing test procedures without affecting the amount, 
quality, or distribution of energy usage, and, therefore, would not 
result in any environmental impacts. Thus, this rulemaking is covered 
by Categorical Exclusion A5 under 10 CFR part 1021, subpart D, which 
applies to any rulemaking that interprets or amends an existing rule 
without changing the environmental effect of that rule. 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 (August 10, 
1999) imposes certain requirements on Federal 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 this 
proposed rule and has tentatively determined that it would 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 subject of today's 
proposed rule. States can petition DOE for exemption from such 
preemption to the extent, and based on criteria, set forth in EPCA. (42 
U.S.C. 6297(d)) No further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    Regarding 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. Regarding the review required by section 3(a), 
section 3(b) of Executive Order 12988 specifically requires that 
Executive agencies make every reasonable effort to ensure 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 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 tentatively 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) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For regulatory actions likely to result in a rule that may cause the 
expenditure 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 a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The 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 ``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 them. 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://energy.gov/gc/office-general-counsel.) DOE examined today's proposed 
rule according to UMRA and its statement of policy and has tentatively 
determined that the rule contains neither an intergovernmental mandate, 
nor a mandate that may result in the expenditure by State, local, and 
Tribal governments, in the aggregate, or by the private sector, of $100 
million or more in any year. Accordingly, no further assessment or 
analysis is required under UMRA.

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

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This rule would not have any impact on the autonomy or integrity of the 
family as an institution. Accordingly, DOE has concluded that it is not 
necessary to prepare a Family Policymaking Assessment.

[[Page 7692]]

I. Review Under Executive Order 12630

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 18, 1988), DOE has determined that this proposed rule would 
not result in any takings that might require compensation under the 
Fifth Amendment to the U.S. Constitution.

J. Review Under 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 Federal agencies to review 
most disseminations of information to the public under information 
quality guidelines established by each agency pursuant to general 
guidelines issued by OMB. OMB's guidelines were published at 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 
at OMB, a Statement of Energy Effects for any significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgates 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 to amend the test procedure for measuring 
the energy efficiency of residential furnaces and boilers is not a 
significant regulatory action under Executive Order 12866 or any 
successor order. Moreover, it would not have a significant adverse 
effect on the supply, distribution, or use of energy, nor has it been 
designated as a significant energy action by the Administrator of OIRA. 
Therefore, it is not a significant energy action, and, accordingly, DOE 
has not prepared a Statement of Energy Effects for this rulemaking.

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; 42 U.S.C. 7101 et seq.), DOE must comply with all laws 
applicable to the former Federal Energy Administration, including 
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 (Pub. L. 95-70). (15 U.S.C. 788; FEAA) Section 32 
essentially provides in relevant part that, where a proposed rule 
authorizes or requires 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 Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition.
    Today's proposed rule incorporates testing methods contained in the 
following commercial standard: ASHRAE 103-1993 (Method of Testing for 
Annual Fuel Utilization Efficiency of Residential Central Furnaces and 
Boilers). Today's NOPR proposes to continue the use of ASHRAE 103-1993 
as the basis for the DOE test procedure, albeit with changes to certain 
equations. The Department has evaluated this standard and is unable to 
conclude whether it fully complies with the requirements of section 
32(b) of the FEAA, (i.e., that it was developed in a manner that fully 
provides for public participation, comment, and review). DOE will 
consult with the Attorney General and the Chairman of the FTC 
concerning the impact on competition of requiring manufacturers to use 
the test methods contained in this standard prior to prescribing a 
final rule.

V. Public Participation

A. Attendance at Public Meeting

    The time, date and location of the public meeting are listed in the 
DATES and ADDRESSES sections at the beginning of this document. If you 
plan to attend the public meeting, please notify Ms. Brenda Edwards at 
(202) 586-2945 or [email protected]. As explained in the 
ADDRESSES section, foreign nationals visiting DOE Headquarters are 
subject to advance security screening procedures. Any foreign national 
wishing to participate in the meeting should advise DOE of this fact as 
soon as possible by contacting Ms. Brenda Edwards to initiate the 
necessary procedures.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's Web site at: http://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/72. Participants are 
responsible for ensuring their systems are compatible with the webinar 
software.

B. Procedure for Submitting Requests To Speak and Prepared General 
Statements for Distribution

    Any person who has an interest in the topics addressed in this 
notice, or who is representative of a group or class of persons that 
has an interest in these issues, may request an opportunity to make an 
oral presentation at the public meeting. Such persons may hand-deliver 
requests to speak to the address show in the ADDRESSES section at the 
beginning of this notice between 9:00 a.m. and 4:00 p.m., Monday 
through Friday, except Federal holidays. Requests may also be sent by 
mail or email to Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J, 1000 Independence Avenue 
SW., Washington, DC 20585-0121, or [email protected]. Persons 
who wish to speak should include in their request a computer diskette 
or CD-ROM in WordPerfect, Microsoft Word, PDF, or text (ASCII) file 
format that briefly describes the nature of their interest in this 
rulemaking and the topics they wish to discuss. Such persons should 
also provide a daytime telephone number where they can be reached.
    DOE requests persons selected to make an oral presentation to 
submit an advance copy of their statements at least one week before the 
public meeting. DOE may permit persons who cannot supply an advance 
copy of their statement to participate, if those persons have made 
advance alternative arrangements with the Building Technologies 
Program. As necessary, request to give an oral presentation should ask 
for such alternative arrangements.
    Any person who has plans to present a prepared general statement 
may request that copies of his or her statement be made available at 
the

[[Page 7693]]

public meeting. Such persons may submit requests, along with an advance 
electronic copy of their statement in PDF (preferred), Microsoft Word 
or Excel, WordPerfect, or text (ASCII) file format, to the appropriate 
address shown in the ADDRESSES section at the beginning of this notice. 
The request and advance copy of statements must be received at least 
one week before the public meeting and may be emailed, hand-delivered, 
or sent by mail. DOE prefers to receive requests and advance copies via 
email. Please include a telephone number to enable DOE staff to make 
follow-up contact, if needed.

C. Conduct of Public Meeting

    DOE will designate a DOE official to preside at the public meeting 
and may also use a professional facilitator to aid discussion. The 
meeting will not be a judicial or evidentiary-type public hearing, but 
DOE will conduct it in accordance with section 336 of EPCA (42 U.S.C. 
6306). A court reporter will be present to record the proceedings and 
prepare a transcript. DOE reserves the right to schedule the order of 
presentations and to establish the procedures governing the conduct of 
the public meeting. There shall not be discussion of proprietary 
information, costs or prices, market share, or other commercial matters 
regulated by U.S. anti-trust laws. After the public meeting, interested 
parties may submit further comments on the proceedings, as well as on 
any aspect of the rulemaking, until the end of the comment period.
    The public meeting will be conducted in an informal, conference 
style. DOE will present summaries of comments received before the 
public meeting, allow time for prepared general statements by 
participants, and encourage all interested parties to share their views 
on issues affecting this rulemaking. Each participant will be allowed 
to make a general statement (within time limits determined by DOE), 
before the discussion of specific topics. DOE will allow, as time 
permits, other participants to comment briefly on any general 
statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly and comment on 
statements made by others. Participants should be prepared to answer 
questions by DOE and by other participants concerning these issues. DOE 
representatives may also ask questions of participants concerning other 
matters relevant to this rulemaking. The official conducting the public 
meeting will accept additional comments or questions from those 
attending, as time permits. The presiding official will announce any 
further procedural rules or modification of the above procedures that 
may be needed for the proper conduct of the public meeting.
    A transcript of the public meeting will be included in the docket, 
which can be viewed as described in the Docket section at the beginning 
of this notice, and will be accessible on the DOE Web site. In 
addition, any person may buy a copy of the transcript from the 
transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this proposed 
rule. Interested parties may submit comments using any of the methods 
described in the ADDRESSES section at the beginning of this notice.
    Submitting comments via regulations.gov. The www.regulations.gov 
web page 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 itself 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. Otherwise, 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 www.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 
www.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 www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery/courier, or mail. 
Comments and documents submitted via email, hand delivery/courier, or 
mail also will be posted to www.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. If you submit via mail or hand 
delivery/courier, please provide all items on a CD, if feasible, in 
which case 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, written in English, and are free of any defects or 
viruses. 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 to 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/courier 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

[[Page 7694]]

``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).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    1. The proposed equations for determining the heating seasonal 
efficiency (which contributes to the ultimate calculation of AFUE) of 
two-stage and modulating condensing furnaces and boilers that are 
tested under option 9.10 of ASHRAE 103-1993.
    2. DOE's conclusion that the costs of complying with the proposed 
test procedure changes are small relative to the overall cost of 
manufacturing, testing, and certifying residential furnace and boiler 
products, along with any additional information regarding average 
annual revenues for manufacturers of these products.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of today's notice 
of proposed rulemaking.

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Small 
businesses.

    Issued in Washington, DC, on January 25, 2013.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
part 430 of Chapter II, subchapter D of Title 10, Code of Federal 
Regulations as set forth below:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
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.

0
2. Appendix N to subpart B of part 430 is amended by:
0
a. Redesignating sections 10.2 through 10.9 as sections 10.4 through 
10.11;
0
b. Revising sections 10.0 and 10.1; and
0
c. Adding sections 10.2 and 10.3.
    The revisions and additions read as follows:

Appendix N to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Furnaces and Boilers

* * * * *
    10.0 Calculation of derived results from test measurements. 
Calculations shall be as specified in section 11 of ANSI/ASHRAE 103-
1993 (incorporated by reference, see Sec.  430.3) and the October 
24, 1996, Errata Sheet for ASHRAE 103-1993, except for sections 
11.5.11.1, 11.5.11.2, and appendices B and C; and as specified in 
sections 10.1 through 10.10 and Figure 1 of this appendix.
    10.1 Annual fuel utilization efficiency. The annual fuel 
utilization efficiency (AFUE) is as defined in sections 11.2.12 
(non-condensing systems), 11.3.12 (condensing systems), 11.4.12 
(non-condensing modulating systems) and 11.5.12 (condensing 
modulating systems) of ANSI/ASHRAE 103-1993 (incorporated by 
reference, see Sec.  430.3), except for the definition for the term 
EffyHS in the defining equation for AFUE. 
EffyHS is defined as:

    EffyHS = heating seasonal efficiency as defined in 
sections 11.2.11 (non-condensing systems), 11.3.11 (condensing 
systems), 11.4.11 (non-condensing modulating systems) and 11.5.11 
(condensing modulating systems) of ANSI/ASHRAE 103-1993, except that 
for condensing modulating systems sections 11.5.11.1 and 11.5.11.2 
are replaced by sections 10.2 and 10.3 of this appendix. 
EffyHS is based on the assumptions that all weatherized 
warm air furnaces or boilers are located out-of-doors, that warm air 
furnaces which are not weatherized are installed as isolated 
combustion systems, and that boilers which are not weatherized are 
installed indoors.

    10.2 Part-Load Efficiency at Reduced Fuel Input Rate. Calculate 
the part-load efficiency at the reduced fuel input rate, EffyU,R, 
for condensing furnaces and boilers equipped with either step 
modulating or two-stage controls, expressed as a percent and defined 
as 
[GRAPHIC] [TIFF OMITTED] TP04FE13.047

    If the option in section 9.10 of ASHRAE 103-1993 (incorporated 
by reference, see Sec.  430.3) is employed: 
[GRAPHIC] [TIFF OMITTED] TP04FE13.048


[[Page 7695]]


Where:

LL,A = value as defined in section 11.2.7 of ASHRAE 103-
1993
LG = value as defined in section 11.3.11.1 of ASHRAE 103-
1993 at reduced input rate,
LC = value as defined in section 11.3.11.2 of ASHRAE 103-
1993 at reduced input rate,
LJ = value as defined in section 11.4.8.1.1 of ASHRAE 
103-1993 at maximum input rate,
tON = value as defined in section 11.4.9.11 of ASHRAE 
103-1993,
QP = pilot flame fuel input rate determined in accordance 
with section 9.2 of ASHRAE 103-1993 in Btu/h
QIN = value as defined in section 11.4.8.1.1 of ASHRAE 
103-1993,
tOFF = value as defined in section 11.4.9.12 of ASHRAE 
103-1993 at reduced input rate,
LS,ON = value as defined in section 11.4.10.5 of ASHRAE 
103-1993 at reduced input rate,
LS,OFF = value as defined in section 11.4.10.6 of ASHRAE 
103-1993 at reduced input rate,
LI,ON = value as defined in section 11.4.10.7 of ASHRAE 
103-1993 at reduced input rate,
LI,OFF = value as defined in section 11.4.10.8 of ASHRAE 
103-1993 at reduced input rate,
CJ = jacket loss factor and equal to:
    = 0.0 for furnaces or boilers intended to be installed indoors
    = 1.7 for furnaces intended to be installed as isolated 
combustion systems
    = 2.4 for boilers (other than finned-tube boilers) intended to 
be installed as isolated combustion systems
    = 3.3 for furnaces intended to be installed outdoors
    = 4.7 for boilers (other than finned-tube boilers) intended to 
be installed outdoors
    = 1.0 for finned-tube boilers intended to be installed outdoors
    = 0.5 for finned-tube boilers intended to be installed in ICS 
applications
LS,SS = value as defined in section 11.5.6 of ASHRAE 103-
1993 at reduced input rate,
CS = value as defined in section 11.5.10.1 of ASHRAE 103-
1993 at reduced input rate.

    10. 3 Part-Load Efficiency at Maximum Fuel Input Rate. Calculate 
the part-load efficiency at maximum fuel input rate, 
EffyU,H, for condensing furnace and boilers equipped with 
two-stage controls, expressed as a percent and defined as: 
[GRAPHIC] [TIFF OMITTED] TP04FE13.049

    If the option in section 9.10 of ASHRAE 103-1993 (incorporated 
by reference, see Sec.  430.3) is employed: 
[GRAPHIC] [TIFF OMITTED] TP04FE13.050

Where:

LL,A = value as defined in section 11.2.7 of ASHRAE 103-
1993,
LG = value as defined in section 11.3.11.1 of ASHRAE 103-
1993 at maximum input rate,
LC = value as defined in section 11.3.11.2 of ASHRAE 103-
1993 at maximum input rate,
LJ = value as defined in section 11.4.8.1.1 of ASHRAE 
103-1993 at maximum input rate,
tON = value as defined in section 11.4.9.11 of ASHRAE 
103-1993 of ASHRAE 103-1993,
QP = pilot flame fuel input rate determined in accordance 
with section 9.2 of ASHRAE 103-1993 in Btu/h,
QIN = value as defined in section 11.4.8.1.1 of ASHRAE 
103-1993,
tOFF = value as defined in section 11.4.9.12 of ASHRAE 
103-1993 at maximum input rate,
LS,ON = value as defined in section 11.4.10.5 of ASHRAE 
103-1993 at maximum input rate,
LS,OFF = value as defined in section 11.4.10.6 of ASHRAE 
103-1993 at maximum input rate,
LI,ON = value as defined in section 11.4.10.7 of ASHRAE 
103-1993 at maximum input rate,
LI,OFF = value as defined in section 11.4.10.8 of ASHRAE 
103-1993 at maximum input rate,
CJ = value as defined in section 10.2 of this appendix,
LS,SS = value as defined in section 11.5.6 of ASHRAE 103-
1993 at maximum input rate,
CS = value as defined in section 11.5.10.1 of ASHRAE 103-
1993 at maximum input rate.
* * * * *
[FR Doc. 2013-02168 Filed 2-1-13; 8:45 am]
BILLING CODE 6450-01-P