[Federal Register Volume 81, Number 10 (Friday, January 15, 2016)]
[Rules and Regulations]
[Pages 2628-2656]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-00040]



[[Page 2627]]

Vol. 81

Friday,

No. 10

January 15, 2016

Part V





Department of Energy





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10 CFR Parts 429 and 430





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

  Federal Register / Vol. 81 , No. 10 / Friday, January 15, 2016 / 
Rules and Regulations  

[[Page 2628]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2012-BT-TP-0024]
RIN 1904-AC79


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: Final rule.

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SUMMARY: The U.S. Department of Energy (DOE) amends its test procedure 
for residential furnaces and boilers established under the Energy 
Policy and Conservation Act. This rulemaking will fulfill DOE's 
obligation to review its test procedures for covered products at least 
once every seven years. The revisions include: Clarifying the 
components included in the burner electrical power input term (PE); 
adopting a method for determining whether a minimum draft factor can be 
applied, and how the conditions are to be verified; allowing optional 
measurement of condensate collection during establishment of steady 
state; updating references to the applicable installation and operating 
manual and providing clarifications when the installation and operation 
(I&O) manual does not specify test setup; clarifying the testing of 
units intended to be installed without a return duct; adopting a 
provision clarifying the testing of multi-position units; revising the 
required reporting precision for annual fuel utilization efficiency 
(AFUE); and adopting a verification method for determining whether a 
boiler incorporates an automatic means for adjusting water temperature 
and whether this design requirement functions as required.

DATES: The effective date of this rule is February 16, 2016. The final 
rule changes will be mandatory for representations made on or after 
July 13, 2016. The incorporation by reference of certain material 
listed in this rule is approved by the Director of the Federal Register 
as of February 16, 2016.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at www.regulations.gov. 
All documents in the docket are listed in the www.regulations.gov 
index. However, 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-2012-BT-TP-0024. This Web 
page contains a link to the docket for this final rule 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.
    For further information on how to review the docket, 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 Office, EE-5B, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: (202) 586-6590. Email: 
[email protected].
    Mr. Pete Cochran, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 586-9496. Email: [email protected].

SUPPLEMENTARY INFORMATION: This final rule incorporates by reference 
into part 430 the following industry standard:
    ASTM D2156-09 (Reapproved 2013) (``ASTM D2156R13''), Standard Test 
Method for Smoke Density in Flue Gases from Burning Distillate Fuels, 
approved October 1, 2013.
    Copies of ASTM D2156R13 can be obtained from ASTM. American Society 
of Testing and Materials, ASTM Headquarters, 100 Barr Harbor Drive, 
P.O. Box C700, West Conshohocken, PA 19428-2959, (877) 909-2786 or 
(610) 832-9585, or by going to http://www.astm.org. See section IV.M 
for further discussion of this standard.

Table of Contents

I. Authority and Background
II. Summary of the Final Rule
III. Discussion
    A. Products Within Scope of the Final Rule
    B. General Comments
    1. Statutory Deadline
    2. Simultaneous Changes in Test Procedure and Standards
    3. Lack of Data Availability
    C. Proposed Incorporation by Reference of ASHRAE Standard 103-
2007
    D. Test Procedure Amendments
    1. Electrical Power of Components
    2. Smoke Stick Test for Determining Use of Minimum Default Off-
Cycle and Power Burner Draft Factors
    3. Condensate Collection During the Establishment of Steady 
State Conditions
    4. Installation and Operation Manual Reference
    5. Duct Work for Units That Are Installed Without a Return Duct
    6. Testing Requirements for Multi-Position Configurations
    7. AFUE Reporting Precision
    8. Definitions and Other Changes
    E. Other Test Procedure Considerations
    1. Room Ambient Air Temperature and Humidity Ranges
    2. Full-Fuel-Cycle Energy Metrics
    3. Oversize Factor Value
    4. Alternative Methods for Furnace/Boiler Efficiency 
Determination
    5. Test Method for Combination Appliance
    F. Test Burden
    G. Measured Energy Use
    H. Certification and Enforcement
    1. Verification Test for Automatic Means for Adjusting the Water 
Temperature in Boilers
    2. Compliance Dates for the Amended Test Procedure
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
    M. Description of Materials Incorporated by Reference
V. 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 products include 
residential furnaces and boilers, the subject of this notice.\3\
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    \1\ For editorial reasons, Part B was codified as Part A in the 
U.S. Code.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the Energy Efficiency Improvement Act of 2015, 
Public Law 114-11 (Apr. 30, 2015).
    \3\ Under 42 U.S.C. 6292(a)(5), the statute establishes 
``furnaces'' as covered products, and 42 U.S.C. 6291(23) defines 
furnaces as inclusive of boilers.
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    Under EPCA, DOE's energy conservation program generally consists 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

[[Page 2629]]

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 other 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 procedures to determine whether the products comply 
with any relevant standards promulgated under EPCA. (42 U.S.C. 6295(s))
    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 shall 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 shall not be unduly burdensome 
to conduct. (42 U.S.C. 6293(b)(3))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish proposed test procedures and offer the 
public an opportunity to present oral and written comments on them. (42 
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine to what extent, if any, the proposed test 
procedure would alter the product's measured energy efficiency as 
determined under the existing test procedure. (42 U.S.C. 6293(e)(1))
    EISA 2007 amended EPCA to require that, at least once every 7 
years, DOE must review test procedures for all covered products and 
either amend the test procedures (if the Secretary determines that 
amended test procedures would more accurately or fully comply with the 
requirements of 42 U.S.C. 6293(b)(3)) or publish a notice in the 
Federal Register of any determination not to amend a test procedure. 
(42 U.S.C. 6293(b)(1)(A)) Under this requirement, DOE must review the 
test procedure for residential furnaces and boilers not later than 
December 19, 2014 (i.e., 7 years after the publication of EISA 2007 on 
December 19, 2007).
    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 
accounts for fuel consumption in active, standby, and off modes. The 
following discussion provides a brief history of the rulemakings 
underlying the existing test procedure for residential furnaces and 
boilers.
    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 existing DOE test procedure for 
residential furnaces and boilers was established by a final rule 
published in the Federal Register on May 12, 1997, and it incorporates 
by reference the American National Standards Institute/American Society 
of Heating, Refrigerating, and Air-Conditioning Engineers (ANSI/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)(10)). 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 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- fired and oil-fired furnaces 
and boilers, as required by EISA 2007. 75 FR 64621. These test 
procedure amendments incorporated by reference, and were based 
primarily on, 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 (December 2012 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 July 
10, 2013, DOE published a final rule (July 2013 final rule) in the 
Federal Register that amended its test procedure for residential 
furnaces and boilers by adopting needed equations that allow 
manufacturers the option to omit the heat-up and cool-down tests and 
still generate a valid AFUE measurement. 78 FR 41265. On August 30, 
2013, DOE published a correction to the July 2013 final rule that 
corrected errors in the redesignations of affected subsections within 
section 10 of appendix N. 78 FR 53625.
    On January 4, 2013, DOE initiated this rulemaking to examine all 
aspects of the DOE test procedure by publishing a request for 
information (RFI) (January 2013 RFI) in the Federal Register. 78 FR 
675. On March 11, 2015, DOE published a notice of proposed rulemaking 
(NOPR) (March 2015 NOPR) in the Federal Register to amend the test 
procedure for residential furnaces and boilers. 80 FR 12876. In the 
March 2015 NOPR, DOE proposed to amend the residential furnaces and 
boilers test procedure by incorporating by reference ANSI/ASHRAE 
Standard 103-2007 (ASHRAE 103-2007) in place of ASHRAE 103-1993, which 
currently is referenced in the existing test procedure. In addition, 
the March 2015 NOPR proposed to adopt modifications that would 
establish revised test procedures for two-stage and modulating 
products, as well as for boilers with long post-purge times that would 
not otherwise be included in the incorporation by reference of ASHRAE 
103-2007.
    DOE also proposed to amend the test procedure to: (1) Allow the 
measurement of condensate during the establishment of steady-state 
rather than require an additional 30 minutes of testing after steady-
state conditions are established; (2) revise annual electricity 
consumption equations to account for additional electrical components; 
(3) revise test procedure references to ``manufacturer 
recommendations'' or ``manufacturer's instructions'' that do not 
explicitly identify the source of the recommendations or instructions; 
(4) include a test protocol for determining the functionality of the 
automatic means for adjusting water temperature; (5) include a test 
method to indicate the absence or presence of air flow to determine 
whether the minimum default draft factor may be used; (6) revise the 
required reporting precision for AFUE; (7) specify testing requirements 
for units that are installed without a return duct; and (8) specify 
testing requirements for units with multi-position configurations. 80 
FR 12876.

II. Summary of the Final Rule

    The final rule amends the existing DOE test procedure for 
residential furnaces and boilers to improve the consistency and 
accuracy of test results generated using the DOE test procedure and to 
reduce test burden. In particular, these modifications include: (1) 
Clarifying the definition of the electrical power term PE; (2) adopting 
a smoke stick test for determining use of minimum default draft 
factors; (3) allowing for the measurement of condensate under steady-
state

[[Page 2630]]

conditions; (4) referencing the manufacturer's installation and 
operation (I&O) manual and providing clarifications when the I&O manual 
does not specify test setup; (5) specifying ductwork requirements for 
units that are installed without a return duct; (6) specifying testing 
requirements for units with multi-position configurations; and (7) 
revising the AFUE reporting precision. DOE has also revised the 
definitions of several terms in the test procedure and added an 
enforcement provision to provide a method of test for DOE to determine 
compliance with the automatic means design requirement mandated by EISA 
2007.
    DOE has withdrawn or modified all test procedure amendment 
proposals in the March 2015 NOPR for which stakeholders expressed 
concern regarding the effect of the proposed amendments on the measured 
energy efficiency of residential furnaces and boilers when compared to 
the current test procedure. In particular, as discussed in section 
III.C, DOE has withdrawn its proposal to incorporate by reference 
ASHRAE 103-2007.

III. Discussion

    The following sections discuss the products within the scope of 
this rulemaking, the test procedure amendments, other test procedure 
considerations, test burden, measured energy use, and changes to 
certification and enforcement provisions.
    In response to the March 2015 NOPR, the following twelve interested 
parties submitted written comments: The American Gas Association (AGA); 
the Air-Conditioning, Heating and Refrigeration Institute (AHRI); 
Burnham Holdings, Inc. (Burnham); Carrier Corporation (Carrier); John 
Cockerill (Cockerill); Goodman Global, Inc. (Goodman); Lennox 
Industries Inc. (Lennox); Lochinvar, LLC (Lochinvar); Rheem 
Manufacturing Company (Rheem); Ingersoll Rand Residential Solutions 
(Ingersoll Rand); Laclede Group; and Weil-McLain. Interested parties 
provided comments on a range of issues, including those DOE identified 
in the March 2015 NOPR, as well as issues related to the proposed test 
procedure changes. The issues on which DOE received comments, as well 
as DOE's responses to those comments and the resulting changes to the 
test procedure proposals presented in the NOPR, are discussed in the 
subsequent sections. A parenthetical reference at the end of a comment 
quotation or paraphrase provides the location of the item in the public 
record.\4\
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    \4\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to amend the 
test procedures for residential furnaces and boilers. (Docket No. 
EERE-2012-BT-TP-0024, which is maintained at http://www.regulations.gov/#!docketDetail;D=EERE-2012-BT-TP-0024). The 
references are arranged as follows: (commenter name, comment docket 
ID number, page of that document).
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A. Products Within Scope of the Final Rule

    The test procedure amendments apply to products that meet the 
definitions for residential furnaces and boilers (see DOE's regulations 
at 10 CFR 430.2). A ``furnace'' is defined as a product that: (1) 
Utilizes only single-phase electric current, or single-phase electric 
current or direct current (DC) in conjunction with natural gas, 
propane, or home heating oil; (2) is designed to be the principal 
heating source for the living space of a residence; (3) is not 
contained within the same cabinet with a central air conditioner whose 
rated cooling capacity is above 65,000 Btu per hour; (4) is an electric 
central furnace, electric boiler, forced-air central furnace, gravity 
central furnace, or low pressure steam or hot water boiler; and (5) has 
a heat input rate of less than 300,000 Btu per hour for electric 
boilers and low pressure steam or hot water boilers and less than 
225,000 Btu per hour for forced-air central furnaces, gravity central 
furnaces, and electric central furnaces.\5\
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    \5\ The definition of ``furnace'' currently in the CFR at 10 CFR 
430.2 mistakenly repeats the terms ``gravity central furnaces, and 
electric central furnaces'' at the end of the definition. In this 
final rule, DOE is correcting this error to remove the duplicative 
language.
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    The individual products within the scope of this test procedure and 
the definition of each (see DOE's regulations at 10 CFR 430.2) are 
listed below:
    (1) Electric boiler means an electrically powered furnace designed 
to supply low pressure steam or hot water for space heating 
application. A low pressure steam boiler operates at or below 15 pounds 
per square inch gauge (psig) steam pressure; a hot water boiler 
operates at or below 160 psig water pressure and 250 [deg]F water 
temperature.
    (2) Electric central furnace means a furnace that is designed to 
supply heat through a system of ducts with air as the heating medium, 
in which heat generated by one or more electric resistance heating 
elements is circulated by means of a fan or blower.
    (3) Forced-air central furnace means a furnace that burns gas or 
oil and is designed to supply heat through a system of ducts with air 
as the heating medium. The heat generated by combustion of gas or oil 
is transferred to the air within a casing by conduction through heat 
exchange surfaces and is circulated through the duct system by means of 
a fan or blower.
    (4) Gravity central furnace means a gas-fueled furnace which 
depends primarily on natural convection for circulation of heated air 
and which is designed to be used in conjunction with a system of ducts.
    (5) Low pressure steam or hot water boiler is an electric, gas, or 
oil-burning furnace designed to supply low pressure steam or hot water 
for space heating applications. A low pressure steam boiler operates at 
or below 15 psig steam pressure; a hot water boiler operates at or 
below 160 psig water pressure and 250 [deg]F water temperature.
    (6) Mobile home furnace means a direct vent furnace that is 
designed for use only in mobile homes.
    (7) Outdoor furnace or boiler is a furnace or boiler normally 
intended for installation out-of-doors or in an unheated space (such as 
an attic or a crawl space).
    (8) Weatherized warm air furnace or boiler means a furnace or 
boiler designed for installation outdoors, approved for resistance to 
wind, rain, and snow, and supplied with its own venting system.

B. General Comments

    Stakeholders submitted general comments regarding the test 
procedure and parallel energy conservation standards rulemaking 
timeline and the availability of data related to this proceeding. DOE 
discusses and responds to these comments in the following subsections.
1. Statutory Deadline
    As noted in section I, EISA 2007 requires that DOE must review test 
procedures for all covered products and amend the test procedures or 
publish a notice in the Federal Register of any determination not to 
amend test procedures at least once every seven years. (42 U.S.C. 
6293(b)(1)(A)).
    AHRI asserted that the start date for the obligation to review 
efficiency test procedures at least once every seven years has been 
reset by the July 2013 Final Rule. And, therefore, by its estimation, 
DOE has approximately five more years to review and amend, as needed, 
the test procedures for residential furnaces and boilers. AHRI added 
that this would be ample time to manage DOE's rulemaking activities 
such that proposed revisions to efficiency standards and test 
procedures are not considered concurrently. (AHRI, No. 36 at p. 2)

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    DOE notes that the July 2013 Final Rule was limited in scope and 
only intended to remedy a specific concern articulated by stakeholders. 
Specifically, the July 2013 Final Rule adopted needed equations to 
allow manufacturers the option to omit the heat up and cool down tests 
and still generate a valid AFUE measurement for certain condensing 
products. 78 FR 41265, 41266. DOE considers the seven year look back 
provision to include a comprehensive review of the entire test 
procedure. (42 U.S.C. 6293(b)(1)(A)) DOE did not conduct a 
comprehensive review for the July 2013 Final Rule. Furthermore, DOE 
stated in the July 2013 Final Rule that it was initiating a separate 
rulemaking that was broader in scope to examine all aspects of the DOE 
test procedure for residential furnaces and boilers. 78 FR 41265, 
41266. Therefore, DOE maintains that the July 2013 final rule did not 
meet the requirements outlined in 42 U.S.C. 6293(b)(1)(A). In contrast, 
DOE has conducted a comprehensive review as part of the current 
rulemaking, which satisfies the requirements of 42 U.S.C. 
6293(b)(1)(A).
2. Simultaneous Changes in Test Procedure and Standards
    Several stakeholders cited legal and practical concerns regarding 
the timing of proposed revisions to the test procedures and standards 
for residential furnaces and boilers. Stakeholders requested that DOE 
delay any further work on the rulemakings to amend efficiency standards 
for these products until after the finalization of the test procedure. 
(AHRI, No. 36 at p. 1; Weil-McLain, No. 31 at p. 2; Ingersoll Rand, No. 
37 at p. 5)
    AHRI stated that it believes the non-final status of the test 
procedure inhibits stakeholders' fair evaluation of the standard. AHRI 
stressed the importance of having a known efficiency test procedure. 
AHRI noted that when a test procedure is in flux, manufacturers must 
spend resources collecting potentially unusable data which undermines 
their ability to provide input on the proposed efficiency standards. 
Similarly, AHRI added that when a test procedure is not finalized, a 
manufacturer has no way of determining whether the test procedure will 
affect its ability to comply with a proposed revised standard. AHRI 
noted that DOE is required to give stakeholders the opportunity to 
provide meaningful comments and asserted that the joint proposal of 
test procedures and standards diminishes that opportunity (see 42 
U.S.C. 6295(p)(2), 6306(a)). (AHRI, No. 36 at p. 1)
    In response to AHRI, DOE does not believe that the timing of the 
test procedure and standards rulemakings has negatively impacted 
stakeholders' ability to provide meaningful comment on this test 
procedure rulemaking. DOE allowed four months for public comment on the 
test procedure NOPR. Additionally, DOE's original proposal included an 
update to the latest industry standard (i.e., ASHARE 103-2007), which 
was developed by a consensus-based ASHRAE process, and was released in 
2007. DOE believes that industry was involved in developing that 
standard and had experience with the changes in the 2007 version of 
ASHRAE Standard 103. Lastly, stakeholders provided detailed, insightful 
comments on all aspects of the proposal, including submitting select 
test data in response to DOE's proposal, which shows that industry was 
able to carefully consider the proposed method and how it compared to 
the current Federal method of test. In addition, DOE has taken AHRI's 
concerns regarding the potential impact of test procedure changes on 
measured energy use into account in its determinations of which test 
procedure proposals to finalize in this rulemaking.
    AHRI and Goodman stated that by publishing the March 2015 NOPR 
within weeks of the proposed efficiency standard, DOE has failed to 
abide by the procedures located at 10 CFR part 430, subpart C, appendix 
A (7)(b). (AHRI, No. 36 at p. 2; Goodman, No. 33 at p. 2) AHRI stated 
that the Administrative Procedure Act (APA) requires agencies to abide 
by their policies and procedures, especially where those rules have a 
substantive effect. AHRI asserted that the non-final test procedure has 
the substantive effect of increasing costs to stakeholders and 
diminishing their ability to comment on the efficiency standards. 
(AHRI, No. 36 at p. 2; Weil-McLain, No. 31 at p. 7)
    In response to the comments from AHRI and Goodman asserting that 
DOE has failed to abide by its procedures at 10 CFR 430, subpart C, 
appendix A (7)(b), DOE notes that appendix A establishes procedures, 
interpretations, and policies to guide DOE in the consideration and 
promulgation of new or revised appliance efficiency standards under 
EPCA. (See section 1 of 10 CFR part 430, subpart C, appendix A) Those 
procedures are a general guide to the steps DOE typically follows in 
promulgating energy conservation standards. The guidance recognizes 
that DOE can and will, on occasion, deviate from the typical process. 
Accordingly, DOE has concluded that there is no basis to either: (1) 
Delay the final rules adopting standards for residential furnaces and 
boilers; or (2) suspend the test procedure rulemaking until the 
standards rulemaking has been completed.
    Ingersoll Rand and Goodman stated their concern that two-stage, 
condensing furnaces that would meet the March 12, 2015 furnace proposed 
rule of 92-percent AFUE under the current test procedure would not meet 
the 92-percent AFUE standard under the proposed DOE test procedure. 
Ingersoll Rand noted that the two test procedures were assumed to be 
identical in the March 12, 2015 residential furnace standard NOPR 
technical support document. (Ingersoll Rand, No. 37 at p. 2; Goodman, 
No. 33 at p. 1) Similarly, Weil-McLain suggested that the uncertainty 
caused by the simultaneous test procedure rulemaking amplifies venting 
issues present in the residential boiler standards NOPR. (Weil-McLain, 
No. 31 at p. 3)
    In response to Ingersoll Rand and Goodman, as discussed in section 
III.C, DOE declines to adopt the latest industry standard of ASHRAE 
103-2007, which is the only amendment proposed in the March 2015 NOPR 
that manufacturers claimed could alter the AFUE for two-stage and 
modulating condensing products. In response to Weil-McLain, DOE notes 
that none of the proposed test procedure provisions that had the 
potential to result in a change in measured AFUE are adopted in this 
test procedure final rule, as discussed in section III.G.
3. Lack of Data Availability
    In response the March 2015 NOPR, interested parties submitted 
comments regarding lack of data availability. For example, the March 
2015 NOPR included several references to a testing report. 80 FR 12876, 
12878. Burnham stated that in spite of requests from commenters, the 
testing report was not available in the public docket as of July 8, 
2015. Burnham added that the lack of access to the testing report has 
made it impossible to properly review the impact of ambient conditions 
on AFUE during the public comment period. Burnham requested that the 
comment period be extended to allow comment on this document which 
should be disclosed immediately. (Burnham, No. 35 at p. 7)
    DOE made the test results available during the test procedure 
public meeting.\6\ The slide deck presented at

[[Page 2632]]

the public meeting was posted to the docket on March 26, 2015, along 
with the transcript of the public meeting. (Public Meeting Presentation 
Slides, No. 21) Therefore, stakeholders were presented with an 
opportunity to review and discuss the data with the Department at the 
public meeting and to review the results during the comment period, 
which was open until July 10, 2015.
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    \6\ Test results included in the slide deck for the public 
meeting include those for proposed changes related to AFUE 
determination for two-stage/modulating products, measurement of 
condensate under steady state conditions, electric consumption of 
components, and verification test for automatic means for adjusting 
the water temperature in boilers. DOE did not provide test results 
for ambient conditions or other testing for which no changes were 
proposed in the NOPR.
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C. Proposed Incorporation by Reference of ASHRAE Standard 103-2007

    In the March 2015 NOPR, DOE proposed amendments to reduce 
variability, eliminate ambiguity, and address discrepancies between the 
test procedure and actual field conditions, and DOE requested comment 
on its proposals. 80 FR 12876, 12902. One of these proposals was to 
update its incorporation by reference of the industry test standard 
ASHRAE 103-1993 to ASHRAE 103-2007.
    DOE received several comments in response to its proposal to update 
the incorporation by reference in the DOE test procedure to ASHRAE 103-
2007. Lochinvar and AGA responded to the NOPR in favor of adopting 
ASHRAE 103-2007 provided that DOE make adequate allowances for the 
resulting test burden and the impact that the change would have on 
existing efficiency claims. (Lochinvar, No. 29 at p. 1; AGA, No. 27 at 
p. 4) Similarly, Burnham stated that they are not opposed to the update 
provided test burden is reduced. (Burnham, No. 35 at p. 3)
    Ingersoll Rand and Rheem stated their support only for certain 
provisions of ASHRAE 103-2007. Specifically, Ingersoll Rand supported 
requiring only reduced fire testing (and not high-fire testing) when 
the calculated balance point temperature is less than or equal to five 
degrees. (Ingersoll Rand, No. 37 at p. 4) Rheem stated their support 
for the elimination of table 8 and the average design heating 
requirements in ASHRAE 103-1993. (Rheem, No. 30 at p. 2)
    Lennox and Weil-McLain suggested DOE not update to ASHRAE 103-2007 
at this time. (Lennox, No. 32 at p. 2; Weil-McLain, No. 31 at p. 7) 
AHRI and Weil-McLain suggested that DOE wait to modify the test 
procedure until ASHRAE 103-2016 is issued. (AHRI, No. 36 at p. 8; Weil-
McLain, No. 31 at p. 7) Carrier suggested that DOE not update to ASHRAE 
103-2007, but change the AFUE metric for forced-air furnaces to be 
based on the steady-state operation, as discussed in section III.E.4. 
(Carrier, No. 34 at p. 2)
    Several commenters suggested that that the updating to ASHRAE 103-
2007 would result in more significant changes to AFUE ratings than 
suggested by DOE in the March 2015 NOPR. (Burnham, No. 35 at p. 3; 
Lennox, No. 32 at p. 2; AGA, No. 27 at p. 4; AHRI, No. 36 at p. 4; 
Ingersoll Rand, No. 37 at p. 2) Of these commenters, only AHRI provided 
test data, which indicated small changes in AFUE as a result of changes 
to the cyclical condensate test for modulating condensing boilers. 
(AHRI, No. 36 at p. 17)
    Burnham and Ingersoll Rand suggested that the impact to AFUE 
resulting from the changes in cycle times is still uncertain. 
Therefore, it is not possible to conclude that the effect of this 
proposed change to the procedure is insignificant. (Burnham, No. 35 at 
p. 3; Ingersoll Rand, No. 37 at p. 2) Ingersoll Rand noted that as a 
result of adopting ASHRAE 103-2007, two-stage and modulating non-
condensing furnaces will have a higher AFUE rating, and condensing 
furnaces will have lower AFUE ratings. Ingersoll Rand noted that the 
changes in AFUE are higher than the uncertainty of the test procedure 
reported by DOE and therefore this change to the test procedure cannot 
be considered de minimis. Ingersoll Rand also noted that the test 
results are limited and have high variability. Ingersoll Rand suggested 
that the change not be adopted until the variability is better 
understood. (Ingersoll Rand, No. 37 at p. 2) AGA suggested that the 
Department substantially increase the amount of testing using the 
modified test procedure to ensure that the resulting efficiency rating 
for both furnaces and boilers are accurate and repeatable. (AGA, No. 27 
at p. 4)
    Similarly, Ingersoll Rand suggested the calculation to account for 
post purge times longer than three minutes not be adopted without test 
data indicating the adjustment to AFUE that would result from this 
update. Ingersoll Rand stated that without test data they cannot 
determine if the new readings would be representative of a unit's 
performance. (Ingersoll Rand, No. 37 at p. 4)
    In response to the March 2015 NOPR, Ingersoll Rand requested that 
DOE not adopt the proposed changes to the calculation of annual 
auxiliary electrical energy consumption (EAE) caused by the 
update to ASHRAE 103-2007. Ingersoll Rand stated that the calculation 
of EAE proposed in the March 2015 NOPR changes the value of 
EAE substantially from -8.5 percent to +13.5 percent. 
Ingersoll Rand noted that this change, along with the proposal to 
include the electrical consumption of additional components is 
significant enough that all current furnaces would have to be retested 
and recertified. Ingersoll Rand requested that DOE reconsider its 
finding that the amended test procedure would have a ``de minimis 
impact on the products' measured energy use'' and instead find that the 
proposed test procedure amendment has a significant impact on measured 
electricity consumption. (Ingersoll Rand, No. 37 at p. 5)
    Several commenters stated that the changes to AFUE caused by 
updating to ASHRAE 103-2007 would lead to additional testing burden. 
(Burnham, No. 35 at p. 3; Lennox, No. 32 at p. 2; AHRI, No. 36 at p. 4) 
AHRI stated that the change to use calculated values for tON 
and tOFF will at a minimum require retesting for any step-
modulating models at the reduced input rate and for many two stage 
models at both the maximum and reduced input rates. (AHRI, No. 36 at p. 
4)
    Given this expected test burden, Lochinvar argued that if DOE is to 
adopt ASHRAE 103-2007, DOE must declare in writing that products 
certified according to ASHRAE 103-1993 that were on the market prior to 
updating the test procedure are not required to be retested and 
recertified unless the design is changed in a way that affects 
efficiency. Lochinvar suggested that future audit tests of pre-existing 
products could still be conducted according to ASHRAE 103-2007 but that 
manufacturers should not be required to do new tests on existing models 
for certification reporting to DOE's Compliance Certification 
Management System (CCMS). (Lochinvar, No. 29 at p. 1)
    Burnham also commented that their efforts to explore the impact of 
adoption of ASHRAE 103-2007 have been hampered by the lack of generally 
available, National Institute of Standards and Technology (NIST) 
validated software tools for calculating AFUE (and intermediate values) 
based on ASHRAE 103-2007. Burnham argued that the lack of software is a 
significant departure from past practice during comparable rulemakings. 
Burnham also asserted that this constituted a lack of transparency that 
would violate basic administrative law precepts and would be arbitrary 
and capricious. (Burnham, No. 35 at p. 3)
    After considering these comments, DOE agrees that further 
evaluation is

[[Page 2633]]

needed to determine the impact of adopting ASHRAE 103-2007 on the AFUE 
ratings of residential furnace and boiler models currently distributed 
in commerce. As a result, DOE does not adopt ASHRAE 103-2007 in this 
final rule. Instead, DOE retains the reference in the existing test 
procedure to ASHRAE 103-1993, both related to AFUE and EAE. 
However, DOE believes ASHRAE 103-2007 better accounts for the operation 
of two-stage and modulating equipment and may further evaluate adoption 
of ASHRAE 103-2007, or a successor standard, in future rulemakings. In 
addition to retaining the reference to ASHRAE 103-1993, DOE revises the 
list of excluded ASHRAE 103-1993 sections to reflect test procedure 
amendments (as discussed in section III.D) and to more accurately 
identify the excluded sections.
    DOE does not agree with Burnham's assertion that the lack of an 
automated software program implementing the equations presented in 
DOE's proposal hampered stakeholder's ability to comment on the 
practicability and the impact of the adoption of ASHRAE 103-2007. DOE 
does not endorse specific calculations tools commonly developed by 
industry or third-party test laboratories that automate the equations 
provided in DOE's regulations. Furthermore, DOE does not need to 
provide software for interested parties to be able to perform the 
calculations in proposed test procedure amendments and believes the 
simplified equations provided in the proposed rule can be easily 
implemented through a desktop-software calculation tool such as a 
commonly available spreadsheet application. Lastly, DOE disagrees with 
Burnham's assertion that the proposed rule was not sufficiently clear 
to provide an opportunity for interested parties to understand the 
proposal and provide meaningful comment because each of the equations 
utilized was presented in the regulatory text within the proposed rule 
in a step-by-step fashion.

D. Test Procedure Amendments

    In response to the March 2015 NOPR, DOE received input on a variety 
of test procedure issues beyond incorporation of ASHRAE 103-2007, 
including: (1) Electrical power of additional components; (2) smoke 
stick test for determining use of minimum default draft factors; (3) 
measurement of condensate under steady-state conditions; (4) I&O manual 
reference and proposed clarifications when the I&O manual does not 
specify test setup; (5) specifying ductwork requirements for units that 
are installed without a return duct; (6) specifying testing 
requirements for units with multi-position configurations; (7) AFUE 
reporting precision; (8) room ambient temperature and humidity ranges; 
(9) full-fuel-cycle (FFC) energy metrics in the AFUE test; (10) 
oversize factor values; (11) alternative methods for furnace and boiler 
efficiency determination; and (12) test method for combination 
appliances. DOE amends the test procedure for residential furnaces and 
boilers regarding issues (1)-(7), which are addressed in further detail 
below. Issues (8)-(12), for which DOE does not amend the test procedure 
in this final rule, are discussed in section III.E. DOE also received 
comments on the verification test for automatic means for adjusting 
water temperature, which are discussed in section III.H.1.
1. Electrical Power of Components
    In the January 2013 RFI and March 2015 NOPR, DOE noted that the 
specific method of electrical measurement prescribed in the existing 
DOE test procedure does not explicitly capture the electrical power 
associated with all auxiliary components. The method identifies PE as 
the electrical power used to operate the burner but only explicitly 
mentions measurements of the power supplied to the power burner motor, 
the ignition device, and the circulation water pump, but does not 
explicitly identify other devices that use power during the active 
mode, such as the gas valve, safety and operating controls, and a 
secondary pump for boilers (i.e., boiler pump) used to maintain a 
minimum flow rate through the boiler heat exchanger, which is most 
typically associated with condensing boiler designs. 78 FR 675, 678; 80 
FR 12876, 12882. In response to the January 2013 RFI, several 
stakeholders, including Lennox, Rheem, and AHRI, stated that 
manufacturers already measure all electrical power associated with the 
additional components DOE listed in the January 2013 RFI. (Lennox, No. 
6 at p. 3; Rheem, No. 12 at p. 10; AHRI, No. 13 at p. 6) Therefore, to 
clarify which components are included in the power measurements, in the 
March 2015 NOPR DOE proposed to add two new terms to the calculations 
of the average annual auxiliary electrical energy consumption 
(EAE) to capture the electrical power of the boiler pump 
(BES) and the gas valve and controls (EO), if 
present. DOE requested comment on these proposed amendments. 80 FR 
12876, 12902.
    AHRI expressed the view that the proposed changes over-complicate 
this issue and that the proposed measurements will change the 
measurement of EAE. AHRI stated that the typical gas burner 
will not operate unless both the ignition system and gas control (e.g., 
automatic valves) are energized, which DOE acknowledges by including 
the power of the energized electric ignition device in the definition 
of PE. AHRI stated that the definition of PE should be clarified to 
include all electrical energy consumption that relates to the functions 
of igniting and operating the burner during the on cycle. (AHRI, No. 36 
at p. 5)
    Burnham supported DOE's proposal to measure all electrical 
consumption associated with operating the burner (PE), which should 
include the power consumption of any additional pump which is needed to 
provide adequate flow through the boiler itself without also providing 
significant flow through the heating system. (Burnham, No. 35 at p. 4)
    Lochinvar stated that, in its experience, all electrical power 
consumption measurements made during an AFUE test are made at the power 
supply connection to the boiler and account for all auxiliary 
components. (Lochinvar, No. 29 at p. 2) Lochinvar stated that while the 
proposed change in the measurement of electrical consumption seems 
unnecessary, it does not object to the revision.
    After reviewing the comments on the March 2015 NOPR, DOE agrees 
with the alternative approach suggested by AHRI to make explicit that 
all of the electrical energy provided to the burner is captured in the 
EAE measurement. Rather than including the additional terms 
in the equation for EAE as proposed in the NOPR, DOE 
clarifies the definition of PE to include all of the electrical power 
that relates to burner operation, including energizing the ignition 
system, controls, gas valve or oil control valve, and draft inducer, if 
applicable.\7\ In addition, DOE agrees with Burnham that the electrical 
power of the boiler pump, if present, should be accounted for in the 
electrical measurements for boilers. Therefore, DOE further amends the 
definition of PE for boilers to include the electrical power of the 
boiler pump. In cases where the boiler pump power might not be captured 
in the electrical power measurement because it is not operating at that 
time, DOE will require the nameplate power to be added to PE, and if 
nameplate power is not available, then manufacturers must include a

[[Page 2634]]

default value of 0.13 kW. This is the same as the current default value 
for a circulating water pump, and DOE understands that the power of the 
boiler pump is similar to that of a typical circulating water pump. DOE 
revises sections 8.1, 8.2, and 10.4 of appendix N to subpart B of 10 
CFR part 430 to reflect the clarification of the definition of PE.
---------------------------------------------------------------------------

    \7\ The existing DOE test procedure states in section 10.4.1 
that PE is the ``burner electrical power input at full load steady-
state operation, including electrical ignition device if energized, 
as defined in 9.1.2.2 of ASHRAE 103-1993.''
---------------------------------------------------------------------------

    The revised section 2 of appendix N defines the individual 
components that are measured as part of PE:
     Control means a device used to regulate the operation of a 
piece of equipment and the supply of fuel, electricity, air, or water.
     Draft inducer means a fan incorporated in the furnace or 
boiler that either draws or forces air into the combustion chamber.
     Gas valve means an automatic or semi-automatic device 
consisting essentially of a valve and operator that controls the gas 
supply to the burner(s) during normal operation of an appliance. The 
operator may be actuated by application of gas pressure on a flexible 
diaphragm, by electrical means, by mechanical means or by other means.
     Oil control valve means an automatically or manually 
operated device consisting of an oil valve for controlling the fuel 
supply to a burner to regulate burner input.
     Boiler pump means a pump installed on a boiler that 
maintains adequate water flow through the boiler heat exchanger and 
that is separate from the circulating water pump.
    Although these definitions were not explicitly proposed in the 
NOPR, they provide additional clarity about the definition of PE, 
consistent with the proposal in the NOPR to improve the regulatory text 
to reflect that PE includes the electrical power of all auxiliary 
components.
    Carrier noted that DOE in the past had held to the policy of not 
making changes that will negatively impact present ratings. The 
electrically-efficient furnaces ratio, known as ``e'', will increase 
with the additional requirement, making some products lose their ENERGY 
STAR[supreg] qualification. Carrier stated that including additional 
electrical components along with the blower electrical consumption is 
equivalent to changing the ENERGY STAR qualifying standard without 
justifying the value. (Carrier, No. 34 at p. 4)
    In response to Carrier's concerns, DOE notes that the definition of 
PE has always been the electrical energy input to the burner and that 
the amendments adopted in this rule merely make explicit additional 
components that are commonly incorporated into burners. Further, as 
noted in many other stakeholder comments, most manufacturers already 
measure the electrical power of all the auxiliary components that are 
listed in the revised definition of PE. Therefore, clarifying the 
additional components in the definition of PE will not affect ENERGY 
STAR ratings for most furnaces. Furthermore, the clarification of the 
definition of PE ensures more accurate and consistent reporting of 
energy consumption in the residential furnaces and boilers market.
    Weil-McLain stated that the new electrical testing requirements 
would not allow the manufacturer to interpolate results from tests 
because the electrical load will not scale in the same manner as other 
aspects of a boiler. This means hundreds of new tests will need to be 
run, imposing substantial cost and burden. (Weil-McLain, No. 31 at p. 
6)
    In response to Weil-McLain's comment, DOE notes that only cast iron 
sectional boilers may be certified based on linear interpolation, as 
specified in 10 CFR 429.18(b)(3). As stated previously, the amendment 
of the definition of PE will not impose additional burden because it 
does not change the definition but merely clarifies the components 
included in measurement of PE. In addition, DOE's understanding is that 
cast iron sectional boilers are typically non-condensing models that do 
not have boiler pumps.
    Burnham recommended that DOE provide regulatory provisions to 
ensure that electrical consumption is measured with the controls 
normally shipped with the boiler. Such provisions are required because 
in many cases it is impossible to perform the AFUE test using controls 
having an automatic means of adjusting water temperature, making 
replacement of the standard controls during the AFUE test mandatory. 
(Burnham, No. 35 at p. 4) DOE notes that the electrical power 
measurement during the steady-state test does not account for 
electrical power outside of normal steady-state operation. Therefore, 
any controls operation outside of the steady-state test, such as 
automatic means for adjusting water temperature, are not included in 
the electrical power measurement.
2. Smoke Stick Test for Determining Use of Minimum Default Off-Cycle 
and Power Burner Draft Factors
    In the March 2015 NOPR, DOE proposed to leave the default draft 
factor values for furnaces and boilers unchanged from the existing text 
procedure. 80 FR 12876, 12885. DOE did not receive any comments on this 
issue, and does not amend the default draft factor values for this 
final rule.
    In addition, to determine if a unit has no measureable airflow 
through the heat exchanger such that manufacturers may use the minimum 
default draft factors, DOE proposed in the March 2015 NOPR to 
incorporate a test based on the use of a smoke stick to establish the 
absence of flow through the heat exchanger. DOE requested input on 
whether, in addition to the proposed smoke stick test, other options 
exist for indicating the absence of flow through the heat exchanger. 80 
FR 12876, 12902.
    Lochinvar stated that it appreciates and supports the DOE's 
affirmation of the use of smoke for visual determination of no-flow 
conditions in the vent. (Lochinvar, No. 29 at p. 4) Similarly, Rheem 
stated that although the proposed procedure is not quantitative, it is 
more definitive than ``absolutely no chance of airflow through the 
combustion chamber and heat exchanger when the burner is off.'' (Rheem, 
No. 30 at p. 3)
    Ingersoll Rand and Carrier stated that the proposed procedure 
requires a detailed definition of the ``smoke stick device'' and test 
method to be created and made available. (Ingersoll Rand, No. 37 at p. 
5; Carrier, No. 34 at p. 5) Ingersoll Rand stated that the test method 
and materials to be used need to be explicitly documented to ensure 
that all test labs generate repeatable and reproducible test results. 
(Ingersoll Rand, No. 37 at p. 5) Carrier also requested additional 
information as to where smoke sticks can be obtained commercially. 
(Carrier, No. 34 at p. 5)
    DOE agrees with Rheem that the test procedure is not quantitative; 
however, the purpose of the test is to provide a visual assessment of 
no airflow, not a quantitative measure of airflow. Regarding the 
Ingersoll Rand and Carrier request to provide a detailed definition of 
the smoke stick device, DOE notes that smoke sticks are commercially 
available and routinely used for visualization purposes, and DOE does 
not endorse a specific type of smoke stick device. In addition, DOE 
believes that the exact amount of smoke produced by the smoke stick is 
not essential to the reproducibility of the results.
    Ingersoll Rand expressed concern about air flow in the lab and if 
manufacturers can fix their venting such that air does not flow through 
it. (Ingersoll Rand, Public Meeting Transcript, No. 23 at p. 117) 
Similarly, Carrier requested DOE to add clarification to the procedure 
to ensure that the smoke stick is not affected by

[[Page 2635]]

the ventilation system when used. Carrier also expressed concern about 
the use of a smoke-generating device in a lab area that is not 
appropriately ventilated. (Carrier, No. 34 at p. 5)
    In response to Ingersoll Rand, DOE already specified that all air 
currents and drafts be minimized for the smoke stick test in the March 
2015 NOPR. For this final rule, DOE explicitly states that ventilation 
should be turned off if the test area is mechanically ventilated, and 
to minimize air currents if there is no mechanical ventilation. To 
address Carrier's safety concerns, DOE clarifies that the smoke 
produced by the smoke stick must be non-toxic to the test personnel. 
DOE is confident that the smoke stick test as proposed in the NOPR and 
modified based on the clarifications recommended by stakeholders will 
ensure repeatable and reproducible test results. Therefore, DOE adopts 
the modified optional smoke stick test to determine the absence of flow 
through the heat exchanger.
    In the March 2015 NOPR, DOE also proposed to include revisions to 
the requirements of sections 8.8.3 and 9.10 of ASHRAE 103-2007 to 
accommodate the use of the smoke stick test, and, to reduce redundancy, 
to eliminate use of the term ``absolutely'' from ``absolutely no chance 
of airflow'' in sections 8.8.3 and 9.7.4 of ASHRAE 103-2007. 80 FR 
12876, 12902. DOE received no comment on these proposals. Even though 
DOE has decided not to adopt ASHRAE 103-2007 and instead retain 
reference to ASHRAE 103-1993, the relevant sections do not differ 
between the two versions. Therefore, DOE is adding sections 7.10 and 
8.10 to appendix N and revising sections 10.2 and 10.3 of appendix N to 
accommodate the use of the smoke stick test and is eliminating the use 
of the term ``absolutely'' from ``absolutely no chance of airflow'' in 
sections 8.8.3 and 9.7.4 of ASHRAE 103-1993 (included as sections 7.10 
and 8.9 of appendix N) for determining the use of the minimum default 
draft factors.
3. Condensate Collection During the Establishment of Steady State 
Conditions
    In the March 2015 NOPR, DOE proposed to allow for the condensate 
mass to be measured during the establishment of steady-state 
conditions, rather than after steady-state has been achieved. 80 FR 
12876, 12881. Section 9.2 of ASHRAE 103-1993 requires that the 
measurement of condensate shall be conducted during the 30-minute 
period after steady-state conditions have been established. For the 
March 2015 NOPR, DOE investigated the difference in condensate mass 
collected and the rate of condensate production during the two separate 
periods (i.e., during the establishment of steady-state conditions and 
after steady-state conditions have been reached) and determined that 
there is no significant difference in the mass of condensate collected 
or the rate of condensate production during the two separate 
timeframes.
    In response to the March 2015 NOPR, Lennox, Lochinvar and AHRI 
stated their support for the allowance to measure condensate during the 
establishment of steady[hyphen]state conditions. (Lochinvar, No. 29 at 
p. 2; Lennox, No. 32 at p. 3; AHRI, No. 36 at p.5; Ingersoll Rand, No. 
37 at p. 5) However, Lennox, AHRI and Ingersoll Rand each noted that to 
avoid an unintended consequence of causing manufacturers to retest 
existing models, this change should be clearly identified as an option 
to the current procedure. (Lennox, No. 32 at p. 3 Lennox, No. 32 at p. 
3; AHRI, No. 36 at p.5; Ingersoll Rand, No. 37 at p. 5) Carrier also 
agreed that the condensate collection can be done during the steady 
state period, so long as clarification is added to prevent testing with 
dry heat exchangers. (Carrier, No. 34 at p. 4)
    On the other hand, Rheem did not support allowing the measurement 
of condensate during the establishment of steady state conditions. 
(Rheem, No. 30 at p.1) Rheem argued that condensate measurements have a 
significant impact on the final calculated AFUE value and that 
additional variation in the condensate measurement procedure will add 
variation to the test procedure. Rheem believes that the time spent to 
establish steady-state conditions is worthwhile and should not be 
eliminated. (Rheem, No. 30 at p.1)
    DOE understands commenters' concerns regarding the test burden 
associated with the need to retest existing models to the new test 
procedure. Therefore, DOE has made the ability to measure condensate 
during the establishment of steady-state conditions an option, not a 
requirement. This change is incorporated in section 8.4 of appendix N.
    In response to Rheem, DOE notes that test data indicate a similar 
rate of condensate mass production in both the establishment of steady-
state, and measurement of condensate test intervals. Therefore, DOE 
does not expect any impact on AFUE to result from the allowance of this 
optional procedure.
4. Installation and Operation Manual Reference
    The existing DOE test procedure language, which refers in some 
locations to ``manufacturer recommendations'' or ``manufacturer 
instructions'', can lead to the use of ad hoc instructions derived 
solely for testing purposes. To clarify the test procedure language, 
DOE proposed in the March 2015 NOPR that testing recommendations should 
be drawn from each product's I&O manual. DOE also provided alternate 
instructions if the I&O manual did not contain the necessary testing 
recommendations. 80 FR 12876, 12883. Lastly, in the March 2015 NOPR, 
DOE proposed to require manufacturers to request a test procedure 
waiver from DOE when the DOE test procedure provisions and I&O manuals 
are not sufficient for testing a furnace or boiler. Id. These 
proposals, comments received, and responses are discussed in the 
following sub-sections.
a. Reference to I&O Manual
    DOE did not receive any comments objecting to reference the 
manufacturer's I&O manuals instead of ``manufacturer's instructions'' 
or ``manufacturer's recommendations.'' Therefore, DOE replaces all 
references to ``manufacturer's instructions'' or ``manufacturer's 
recommendations'' in ASHRAE 103-1993 with ``I&O manual'' in appendix 
N.\8\ However, in response to the March 2015 NOPR, Burnham suggested 
revising the definition of I&O manual in section 2.7 because many oil 
boilers do not carry a safety listing as a packaged unit; rather, they 
are comprised of separately listed components. (Burnham, No. 35 at p. 
5) DOE agrees with Burnham that some boilers do not carry safety 
listings as packaged units and thus excludes the reference to the 
product's safety listing in the adopted definition of I&O manual in 
section 2 of appendix N.
---------------------------------------------------------------------------

    \8\ DOE replaced references in sections 7.1, 7.2.2.2, 7.2.2.5, 
7.2.3.1, 7.8, 8.2.1.3, 8.3.3.1, 8.4.1.1, 8.4.1.1.2, 8.4.1.2, 
8.4.2.1.4, 8.4.2.1.6, 8.7.2, and 9.5.1.1 of ASHRAE 103-1993 with 
sections 6.1, 6.2, 6.3, 6.4, 6.5, 7.1, 7.2, 7.3, 7.4, 7.5, 7.6, 7.7, 
7.9, and 8.5 of appendix N, respectively.
---------------------------------------------------------------------------

b. Proposed Specific Instructions for Adjusting Combustion Airflow
    In the NOPR, DOE proposed specific instructions for adjusting 
combustion airflow to achieve an excess air ratio, flue O2 
percentage, or flue CO2 percentage to within the middle 30th 
percentile of the acceptable range specified in the I&O manual. AHRI 
stated that the specification of ``the 30th percentile of the 
acceptable range'' is confusing. The 30th percentile is a

[[Page 2636]]

single value so it is not clear what is meant by ``the middle of the 
30th percentile.'' (AHRI, No. 36 at p. 3) Ingersoll Rand stated that 
the proposed burner adjustments are more restrictive than both the 
current test procedure and the specifications found in ASHRAE Standard 
103-2007. (Ingersoll Rand, No. 37 at p. 6) Burnham stated that while it 
supports DOE's effort to more closely tie air fuel ratio used during 
the test with what can be expected in the field, DOE needs to recognize 
that the industry practice has been to use the CO2 at the 
top end of the range (or in some cases even higher) in the I&O manual. 
(Burnham, No. 35 at p. 4) Lochinvar objected to the proposed changes, 
stating that forcing boiler manufacturers to test at the maximum input 
rate and the middle air-fuel ratio is not typical of field 
installations, is inconsistent with past rating methods, and will force 
manufacturers to rerate boilers based on this test procedure change. 
Lochinvar suggested adopting language from section 5.3 of AHRI Standard 
1500, which uses the CO2 at the top of the manufacturer's 
specified range, to provide improved clarity and specificity regarding 
the air-fuel adjustment and to be more consistent with current industry 
practice, with much less potential to force manufacturers to retest and 
rerate existing products.\9\ (Lochinvar, No. 29 at pp. 2-3)
---------------------------------------------------------------------------

    \9\ AHRI Standard 1500 is available at http://ahrinet.org/site/686/Standards/HVACR-Industry-Standards/Search-Standards.
---------------------------------------------------------------------------

    Lennox, AHRI, and Burnham noted that the proposed adjustment of the 
CO2 percentage on gas- and oil-fired boilers would 
significantly affect AFUE. (Lennox, No. 32 at p. 3; AHRI, No. 36 at pp. 
3-4; Burnham, No. 35 at pp. 2, 4) AHRI stated that the results of the 
testing of three residential boilers that it conducted at Intertek 
Testing Laboratories indicate that the proposed revised burner setup 
requirements change AFUE by 0.3 percent for each 1 percent difference 
in the CO2 values. (AHRI, No. 36 at pp. 3-4) Burnham stated 
that based on test data that it provided, for an oil-fired hot water 
boiler with an 11.5 to 12.5 percent CO2 adjustment range in 
the I&O manual, DOE's proposed adjustment would reduce AFUE by as much 
as 1.0 percent compared to the rating under the existing test 
procedure. (Burnham, No. 35 at p. 2) Burnham stated that the proposed 
change to the requirements for adjusting CO2 will have a 
significant impact on the existing ratings for many boilers, and that 
DOE needs to take this into account when evaluating the burden imposed 
by this rule, as well as promulgating the parallel residential boiler 
standards rulemaking currently underway. (Burnham, No. 35 at p. 4)
    Carrier, Ingersoll Rand, and Rheem stated that most modern furnaces 
do not have the capability to make combustion air adjustments because 
the practice of including primary air shutters is no longer widely used 
on modern gas furnaces with fan-assisted or power burners. (Carrier, 
No. 34 at pp. 3-4; Ingersoll Rand, No. 37 at p. 6; Rheem No. 30 at p. 
3) AHRI and Burnham also stated that for many gas furnaces and boilers 
that use atmospheric burners or other equipment with no means of 
adjusting CO2 in the field, these adjustments to the excess 
air ratio cannot be made. (AHRI, No. 36 at p. 3, Burnham, No. 35 at p. 
4) Carrier, Ingersoll Rand, and Burnham stated that DOE needs to 
exclude from these requirements burners that have no capability to make 
combustion air adjustments. (Carrier, No. 34 at pp. 3-4; Ingersoll 
Rand, No. 37 at p. 6; Burnham, No. 35 at p. 4)
    Burnham stated that some type of tolerance is needed for adjusting 
CO2 when the I&O manual provides only a single or maximum 
value, as opposed to a range. To address this issue, Burnham suggested 
adopting the language in section 5.3 of AHRI Standard 1500, which 
essentially sets a fixed tolerance of 0.1 percent and uses 
the CO2 at the top, as opposed to the middle, of the 
manufacturer's specified range.\10\ (Burnham, No. 35 at p. 4)
---------------------------------------------------------------------------

    \10\ AHRI Standard 1500 is available at http://ahrinet.org/site/686/Standards/HVACR-Industry-Standards/Search-Standards.
---------------------------------------------------------------------------

    After reviewing stakeholders' comments on the specific instructions 
for adjusting combustion airflow, DOE concurs that further study is 
needed to determine the impact on AFUE of the CO2 percentage 
proposed in the March 2015 NOPR and the AHRI 1500 requirements 
suggested by certain stakeholders. As such, for this final rule, DOE 
does not adopt the specific instructions for adjusting combustion 
airflow to achieve an excess air ratio, flue O2 percentage, 
or flue CO2 percentage to within the middle 30th percentile 
of the acceptable range specified in the I&O manual. Instead, in 
sections 7.3 and 7.5 of appendix N, DOE retains the instructions in 
accordance with ASHRAE 103-1993 section 8.4.1.1 for gas burners to set 
the primary air shutters to give a good flame with no deposit of carbon 
during the test procedure, and section 8.4.1.2 for oil burners to give 
a CO2 reading as specified in the I&O manual and an hourly 
Btu input within 2% of the normal hourly Btu input rating 
as specified in the I&O manual. DOE understands from stakeholder 
comments that the instructions in the existing test procedure to adjust 
the primary air shutters for gas units are not applicable to many 
modern furnaces and boilers. However, DOE has determined that further 
investigation is required before amending these test procedure 
requirements.
c. Waiver Process for Additional Test Instructions
    In response to DOE's proposal that manufacturers request a test 
procedure waiver from DOE when the DOE test procedure provisions and 
I&O manuals are not sufficient for testing a furnace or boiler, Burnham 
stated that the proposed waiver process is unduly burdensome, given the 
use of increasingly complex control and burner systems. To reduce the 
frequency with which waivers are required, Burnham suggested that DOE 
adopt a repository for ``special test instructions'' similar to that 
which DOE currently has in place for commercial boilers. (Burnham, No. 
35 at p. 5) Lennox and AHRI similarly stated that if DOE is concerned 
about the situation where the manufacturer does not provide any 
recommended settings in the I&O manual, DOE should allow manufacturer 
to provide information on unit setup for testing as part of the 
certification report as is done for commercial and industrial 
equipment. (Lennox, No. 32 at p. 3; AHRI, No. 36 at pp. 4, 6)
    In response to stakeholders' comments, DOE notes that manufacturers 
have control over what information is specified in the I&O manual. 
Furthermore, the test procedure provides defaults for most requirements 
that are based on the I&O manual. As such, DOE believes the 
instructions given in the test procedure and I&O manuals should be 
sufficient for testing in most cases. Therefore, DOE is not amending 
its certification provisions to permit manufacturers to report test-
specific instructions as supplemental information in cases where the 
I&O manual does not provide instructions, and is implementing the 
requirement to request a waiver in section 6.1.a of appendix N. DOE 
also notes that the waiver procedure provides a feedback loop by which 
DOE learns of issues manufacturers are encountering with the test 
procedure and yields amendments to the test procedure through 
rulemaking to address those issues.

[[Page 2637]]

5. Duct Work for Units That Are Installed Without a Return Duct
    In the March 2015 NOPR, DOE proposed to add a provision in the test 
procedure clarifying that the return (inlet) duct is not required 
during testing for units that, according to the I&O manual, are 
intended to be installed without a return duct. 80 FR 12876, 12902-
12903.
    In response, Rheem, Carrier, and Ingersoll Rand agreed that a unit 
that is intended to be installed without a return duct should be tested 
without a return duct. (Rheem, No. 30 at p. 3; Carrier, No. 34 at p. 6; 
Ingersoll Rand, No. 37 at p. 5) In addition, Carrier recommended that 
DOE adopt figure 2 in exhibit 1 of Carrier's comment, which clarifies 
the use of a return duct for gas furnaces. (Carrier, No. 34 at p. 6)
    DOE agrees with stakeholders and adopts the amendment clarifying 
that units intended to be installed without a return duct are not 
required to use the return (inlet) duct during testing. After reviewing 
the figure provided by Carrier, DOE believes that the language is 
sufficient and an additional figure is unnecessary.
6. Testing Requirements for Multi-Position Configurations
    In the March 2015 NOPR, DOE proposed to require that multi-position 
furnaces be tested using the least-efficient position.\11\ DOE also 
proposed to explicitly allow manufacturers to test multi-position 
furnaces in other configurations and report the AFUE ratings for each 
position. 80 FR 12876, 12886.
---------------------------------------------------------------------------

    \11\ A multi-position furnace is a furnace that can be installed 
in more than one airflow configuration (e.g., upflow or horizontal; 
downflow or horizontal; and upflow, downflow or horizontal).
---------------------------------------------------------------------------

    In response, AHRI stated that they believe that manufacturers 
already test in the least-efficient configuration. (AHRI, Public 
Meeting Transcript, No. 23 at p. 123)
    Carrier stated that in the past, it has tested and displayed the 
AFUE by orientation of installation; however, it no longer does so 
because the multiple ratings by position did not give customers any 
benefit. Because the setup requirements of the DOE test procedure 
already cause furnaces to operate at the lowest efficiency, thus making 
AFUE ratings conservative for the average installation, Carrier 
recommended that DOE drop the requirement to test in all positions and 
simplify the testing to be in the most commonly installed position of 
the furnace. If DOE were to require testing in all positions, Carrier 
proposed an alternative to allow single rating that is weighted based 
on percent of applications by configuration and installation location 
to reduce sample testing burden and not confuse consumers with excess 
information. (Carrier, No. 34 at pp. 6-8)
    Lennox disagreed with the testing requirements in multiple 
configurations because of the increased test burden and lack of 
improved test accuracy. (Lennox, No. 32 at pp. 3-4)
    In response to Carrier's and Lennox's concerns about increased test 
burden if required to test in all configurations, DOE clarifies that in 
the March 2015 NOPR, DOE did not propose to require manufacturers to 
test in all positions, but rather to require testing only in the least 
efficient configuration while explicitly allowing manufacturers to test 
in multiple configurations if they wish. DOE notes that, as stated by 
AHRI, it is already common industry practice to test in the least 
efficient configuration; accordingly, DOE anticipates that there will 
be no additional test burden from the clarification to require testing 
in the least efficient configuration. Regarding Carrier's suggestion to 
test in the dominant installed position, DOE believes that testing in 
the least efficient position will provide ratings that are more 
comparable between different models because the dominant position may 
not be the least efficient configuration and may vary among models and 
among manufacturers. DOE believes that Carrier's suggestion of a 
weighted rating is not practicable because DOE is not requiring 
manufacturers to test in all configurations, only the least efficient 
one. Therefore, in section 6.1.b of appendix N and in 10 CFR 429.18, 
DOE amends its regulations to require testing and rating only in the 
least efficient configuration, while still allowing manufacturers the 
ability to test and rate in multiple configurations. In addition, DOE 
includes a definition for multi-position furnace in section 2 of 
appendix N.
    In the March 2015 NOPR, DOE also proposed to allow testing of units 
configured for multiple position installations to use the blower access 
door as an option instead of one of the inlet openings. 80 FR 12876, 
12886 (March 11, 2015). In response, Rheem stated that a furnace should 
not be tested in a configuration that is prohibited by the installation 
manual. For example, Rheem stated that its furnace installation manuals 
allow only bottom and side returns. A rear return and a return in place 
of the blower access door are not allowed. (Rheem, No. 30 at p. 4) 
Ingersoll Rand stated that testing of multi-position units using the 
blower access door may not be feasible option for some furnaces, and 
the manufacturer should state whether this is an acceptable test method 
for the furnace model. (Ingersoll Rand, No. 37 at p. 6)
    DOE agrees with Rheem and Ingersoll Rand that units should not be 
required to be tested using the blower access door if not allowed in 
the I&O manual or if not feasible. In an effort to ensure consistent 
and appropriate testing, DOE withdraws its proposal that would have 
explicitly allowed the use of the blower access door for testing of 
multi-position furnaces and boilers that are not shipped with an open 
inlet.
7. AFUE Reporting Precision
    DOE's existing furnaces and boilers test procedure specifies that 
the AFUE rating be rounded to the nearest whole percentage point. 10 
CFR 430.23(n)(2). In the March 2015 NOPR, DOE sought comment on its 
proposal to report AFUE to the nearest tenth of a percentage point. 80 
FR 12876, 12902.
    AHRI, Lochinvar, Lennox, and Burnham support reporting of AFUE to 
the nearest tenth of a percentage point and noted that it reflects the 
current practice. (AHRI, No. 36 at p. 6; Lochinvar, No. 29 at p. 4; 
Lennox, No. 32 at p. 3; Burnham, No. 35 at p. 6) However, Burnham does 
not agree with the proposal to round to the nearest 0.1 percent, 
stating that it would be a direct violation of 10 CFR 
429.18(a)(2)(i)(B) requiring any representative value of AFUE for which 
consumers would favor higher values to be less than or equal to the 
lower of the mean of the sample or the lower 97.5 percent confidence 
limit (LCL) of the true mean divided by 0.95. Burnham stated that 
rounding up would allow the representative value to potentially be 
higher than allowed by calculation mentioned. Burnham urged DOE to 
prescribe the current industry practice of truncating to 0.1 percent. 
(Burnham, No. 35 at pp. 6-7)
    In contrast, Rheem stated that rating furnaces to the nearest tenth 
of a percentage point will give consumers the impression that one 
furnace is more efficient than another, while in actuality, the test 
procedure tolerances do not result in the proposed level of precision 
that should be required to support reporting AFUE to the nearest tenth 
of a percentage point. (Rheem, No. 30 at p. 3)
    Ingersoll Rand stated that while DOE's CCMS can accommodate 
reporting AFUE to this level, any manufacturer that reports AFUE to the 
whole percentage point will have to submit new certification reports 
and

[[Page 2638]]

relabel products. Ingersoll Rand stated that having to submit new 
certification reports and relabel products will cause an administrative 
burden and cost to manufacturers that was not addressed in the March 
2015 NOPR. Ingersoll Rand requested that DOE consider setting the 
effective date of this requirement to coincide with the effective date 
of any amended energy conservation standard adopted under the March 12, 
2015 energy conservation standards NOPR for residential furnaces. 
(Ingersoll Rand, No. 37 at p. 6)
    AHRI stated that it reports to the nearest tenth to DOE for 
furnaces but not for boilers due to Environmental Protection Agency 
(EPA) and ENERGY STAR requirements. (AHRI, Public Meeting Transcript, 
No. 19 at p. 89) Burnham urged DOE to work with the EPA to 
simultaneously update the ENERGY STAR requirement of rounding to the 
nearest whole percentage point to avoid conflicting values on the DOE 
and ENERGY STAR Web sites. (Burnham, No. 35 at p. 7)
    DOE understands that reporting AFUE values to the nearest tenth of 
a percentage point is currently industry practice. Based on 10 CFR 
429.18(a)(2)(i)(B), DOE agrees with Burnham that AFUE should be 
truncated to the tenth of a percentage point. In response to Rheem's 
comment about the test procedure tolerances, DOE notes that in response 
to the January 2013 RFI, Rheem stated that this level of precision has 
been demonstrated to be statistically possible. (Rheem, No. 12 at p. 
9). DOE also observes that Rheem, as well as many other manufacturers, 
reports AFUE to the tenth of a percentage point in DOE's Compliance 
Certification Database and the AHRI directory for some models. In 
response to Ingersoll Rand's comments, DOE notes that AHRI's 
certification directories for both furnaces and boilers as well as 
DOE's Compliance Certification Database already allow manufacturers to 
report AFUE to the nearest tenth of a percentage point. Therefore, DOE 
anticipates this clarification will not require changing the reported 
efficiency in manufacturer literature, nor will it cause significant 
manufacturer burden. Furthermore, in response to AHRI and Burnham, DOE 
notes that EPA must use the method of test, sampling plan, and 
representation requirements adopted by DOE. DOE will work with EPA to 
make sure the language in its specification is harmonized with federal 
regulations. Accordingly, DOE updates the existing requirement for 
residential furnaces and boilers in 10 CFR 430.23(n)(2) to truncate 
AFUE to the tenth of a percentage point. DOE also clarifies in 10 CFR 
429.18 that the represented value of AFUE based on the tested sample 
must be truncated to the tenth of a percentage point.
8. Definitions and Other Changes
    In this final rule, DOE revises the term ``seasonal off switch'' to 
``off switch'' and revises the definitions of ``off mode'' and 
``standby mode'' in section 2 of appendix N to reflect the updated 
definitions found in the second edition of IEC 62301, which was 
incorporated by reference in the December 2012 final rule. DOE also 
revises sections 8.1, 8.2, and 8.4 of the existing appendix N (sections 
8.3, 8.5, and 8.7 of the amended appendix N) to clarify and improve the 
test instructions. DOE also revises sections 10.4, 10.5, 10.6, 10.7.3, 
10.9, 10.9.1, and 10.11 of appendix N to improve grammar and 
consistency in formatting throughout the test procedure, and to include 
missing variable definitions. In addition, DOE incorporates the 
previously excluded section 9.7.l of ASHRAE 103-1993 to include 
instructions on the setup of the tracer gas test. DOE updates the 
definition of ``isolated combustion system'' in section 2.5 of the 
existing appendix N (2.8 of the amended appendix N) to reflect the 
updated definition in ASHRAE 103-2007. Finally, DOE modifies section 
8.3 of the existing appendix N (8.6 of the amended appendix N) to 
clarify that the referenced time delay is the blower delay t\+\. DOE 
did not receive comment on any of these revisions where proposed in the 
NOPR.

E. Other Test Procedure Considerations

1. Room Ambient Air Temperature and Humidity Ranges
    In the March 2015 NOPR, DOE proposed not to change the test 
procedure regarding room ambient temperature and humidity conditions, 
neither by mathematical correction nor by limiting the existing ambient 
condition range, and requested input on this approach. 80 FR 12876, 
12889.
    Lochinvar and Lennox stated their support for DOE's proposal not to 
further restrict the ambient conditions due to the additional test 
burden it would cause. (Lochinvar, No. 29 at p. 4; Lennox, No. 32 at p. 
4) Rheem stated that they believe that the ambient conditions range 
requires further study. Rheem noted that the room ambient air 
temperature and humidity ranges were developed based on 30-year-old 
laboratory conditions and that laboratory conditions may be more 
carefully controlled today compared to the long past. (Rheem, No. 30 at 
p.1) AHRI noted that the new edition of ASHRAE-103-2016 will be issued 
for public review and one of the proposed amendments is to include 
changes to the definition of room ambient air operating conditions. 
(AHRI, No. 36 at p. 5)
    Burnham stated that they disagree with DOE's assertion in the March 
2015 NOPR that relative humidity (RH) has a minimal impact on the AFUE 
of condensing boilers and stated that the issue should be revisited. 
Burnham provided test data of a condensing boiler which shows a swing 
in AFUE of approximately 1.3 percent when the RH was changed from 
approximately 30 percent to 70 percent. Burnham stated that they expect 
the variation in AFUE as a function of RH to be at least as large for 
boilers as it is for furnaces. Burnham noted that the flue temperature 
of boilers is closely linked to the return water temperature during the 
test (120[emsp14][deg]F), which is close to the typical dew point of 
natural gas flue products. Changes in RH may therefore have a large 
impact on where the temperature of the flue products falls below the 
dew point as they pass through the heat exchanger. Burnham stated that 
if ambient conditions have a significant impact on AFUE, DOE should 
tighten the tolerance for RH to conditions likely to be seen in the 
field, even if this results in an increased burden for manufacturers in 
the form of requiring conditioned lab facilities. (Burnham, No. 35 at 
p. 7)
    DOE agrees with Rheem and Burnham that the impact of ambient 
conditions on AFUE warrants further study. However, at this time DOE 
does not have adequate data to justify the testing burden associated 
with the narrowing of ambient conditions. Therefore, DOE maintains the 
ambient conditions specified in the current test procedure.
2. Full-Fuel-Cycle Energy Metrics
    In the March 2015 NOPR, DOE stated that the test procedure 
rulemaking was not the appropriate vehicle for deriving an FFC energy 
descriptor for furnaces (and other products). Specifically, DOE noted 
that if a secondary FFC energy descriptor were included as part of the 
furnace and boiler test procedure, DOE would need to update the test 
procedure annually. DOE indicated its intent to estimate FFC energy 
savings in future energy conservation standards rulemakings for 
furnaces, and to take those savings into account in proposing and 
selecting amended standards. 80 FR 12876, 12896.
    In response to the NOPR, AGA expressed their disagreement with

[[Page 2639]]

DOE's position, stating that the test procedure develops the energy 
efficiency rating for the product and is specifically the correct 
vehicle to be used for determining the FFC energy descriptor. AGA added 
that all that is needed is a mathematical adjustment to the site-based 
energy descriptor now determined by the test procedure. AGA requested 
that the Department reconsider its decision not to include provisions 
for an FFC energy descriptor and incorporate one in the test procedures 
for residential boilers and furnaces. (AGA, No. 27 at p. 3)
    DOE maintains its position outlined in the NOPR that it does not 
believe that a mathematical adjustment to the test procedure to account 
for FFC is appropriate. As noted in the March 2015 NOPR, the 
mathematical adjustment to the site-based energy descriptor relies on 
information that is updated annually. If DOE were to include such an 
adjustment to the test procedure, DOE would be required to update the 
test procedure annually.
3. Oversize Factor Value
    In the March 2015 NOPR, DOE proposed to maintain the existing 
oversize factor of 0.7 and sought comment on the appropriateness of 
this strategy.\12\ 80 FR 12876, 12891.
---------------------------------------------------------------------------

    \12\ The ``oversize factor'' accounts for the national average 
oversizing of equipment that occurs when a heating product is sized 
to satisfy more than the heating load of the household. This is 
typically done to size the equipment so that it is able to satisfy 
the days in which the house heating requirements might be exceeded 
and/or to take into account uncertainties regarding house heating 
load. For example, a 0.7 oversize factor is equivalent to 170-
percent oversizing of the heating equipment (i.e., 70 percent 
greater input capacity than is required).
---------------------------------------------------------------------------

    Rheem stated that replacement furnaces are more likely to be 
oversized than a new construction furnace because the unit may not be 
resized when it is replaced with a more efficient unit. Rheem also 
noted that it is more likely for a furnace to be oversized in a climate 
with high variation in outdoor temperature, or if it is installed in an 
area with high airflow requirements for the cooling load. (Rheem, No. 
30 at p. 4)
    DOE agrees with Rheem that a variety of factors, including 
construction type and climate, may influence the magnitude of 
oversizing that occurs in a given installation. DOE did not receive any 
data supporting a change to the existing oversize factor of 0.7. DOE 
has determined the existing value of 0.7 continues to be representative 
of the oversized factor applicable to the average U.S. household and 
therefore maintains that value.
4. Alternative Methods for Furnace/Boiler Efficiency Determination
    In response to the March 2015 NOPR, Carrier questioned the need for 
a test method as precise as ASHRAE 103 due to the advances that have 
been made in reducing cyclical losses. Carrier noted that the 
difference between steady state efficiency and cyclical AFUE is less 
than 1 percent across all model types. Carrier suggested that DOE 
change the AFUE metric for forced-air furnaces to be based on the 
steady-state operation. (Carrier, No. 34 at p. 2) Carrier stated that 
this would simplify the test procedure and relieve significant burden 
from manufacturers. Carrier stated that the lab setup of gas furnaces 
during AFUE testing--including vent length, isolated combustion system 
(ICS) installation, off cycle times, and blower off delay time--rarely 
replicates the actual installation of condensing gas furnaces. 
(Carrier, No. 34 at p. 2)
    DOE agrees that there have been significant advances in the 
minimization of cyclical losses since the inception of the AFUE metric. 
However, including cyclical losses, which are captured in the AFUE 
metric, still provides market differentiation for models that would 
yield the same steady-state values. Furthermore, DOE believes that the 
inclusion of cyclical losses in the AFUE metric has contributed to the 
increases in efficiency noted by Carrier. For these reasons, DOE 
declines to limit the calculation of AFUE to steady-state operation. 
DOE would be willing to work with industry to investigate this further 
to see if moving to a steady-state methodology has merit and meets the 
requirements of the statute.
5. Test Method for Combination Appliance
    In the March 2015 NOPR, DOE discussed the possibility of creating a 
test procedure for determining the efficiency of combination products. 
Ultimately DOE did not propose to amend the test procedure to include a 
method of test for combination appliances choosing not to complicate 
the test procedure rulemaking. 80 FR 12876, 12894.
    In response to the NOPR, Ingersoll Rand believes that EPCA 
anticipated products being capable of serving more than one function 
and expects DOE to set separate energy efficiency metrics for each 
major function. Ingersoll Rand noted that EPCA authorizes DOE to ``set 
more than 1 energy conservation standard for each major function.'' (42 
U.S.C. 6295(o)(5)) Ingersoll Rand suggested that establishing a 
combination metric and setting a standard for a combination unit is 
contrary to EPCA. (Ingersoll Rand, No. 37 at p. 6)
    DOE did not propose a combination metric in the NOPR, and does not 
amend the test procedure to include such a metric in this final rule.

F. Test Burden

    EPCA requires that the test procedures DOE prescribes or amends be 
reasonably designed to produce test results that measure the energy 
efficiency, energy use, water use (in the case of showerheads, faucets, 
water closets, and urinals) or estimated annual operating cost of a 
covered product during a representative average use cycle or period of 
use. These procedures must also not be unduly burdensome to conduct. 
(42 U.S.C. 6293(b)(3))
    In response to the March 2015 NOPR, Ingersoll Rand stated that the 
testing and reporting burden from the proposals would be far greater 
than the average 20 hours per response that DOE estimates. (Ingersoll 
Rand, No. 37 at p. 9) Weil-McLain expressed concerns that the cost of 
the proposed test is grossly underestimated and that cost analysis for 
all of the testing is fundamentally flawed and incomplete. Weil-McLain 
stated that a more appropriate estimate for the cost to re-test all 
models in DOE's example of average small boiler business with 70 basic 
models would be more than twenty times the estimate shown for various 
reasons, such as the cost of set up for each test, test re-runs if 
parameters are not met, test recording, and analysis time. In addition, 
Weil-McLain stated that: (1) Only the incremental cost related to the 
changes in procedure have been captured when in all likelihood all 
products will have to be retested through the entire test procedure; 
(2) at least two tests per model are required for data submittal; (3) 
initial certification and annual audits require an additional witness 
test by a third-party lab; (4) engineering, facility, or other charges 
were not captured; (5) third-party test agency fees were not 
considered; and (6) the time required to test the number of models for 
the manufacturer and third-party test agency capacity were not 
considered. Weil-McLain also stated that retesting and re-rating would 
take substantially longer than 180 days. (Weil-McLain, No. 31 at pp. 6-
7) Ingersoll Rand stated that to retest all of its current models will 
require more than six months of lab time with a cost of over $400,000. 
(Ingersoll Rand, No. 37 at p. 9)
    Weil-McLain questioned why DOE would impose the burden of 
conducting all of the new tests on manufacturers

[[Page 2640]]

when DOE stated that the results from using new test procedures will 
not change when compared to current procedure. (Weil-McLain, No. 31 at 
p. 2)
    Several stakeholders requested more time to conduct re-testing 
after the issuance of the final rule. Weil-McLain stated that the 
process of conducting all the tests, analyzing information, and 
conducting re-certification through the certified labs for hundreds of 
models cannot be completed within 180 days of when the final rule is 
issued. (Weil-McLain, No. 31 at p. 7) Similarly, Burnham expressed 
concern that it has found it impossible to thoroughly evaluate the 
impact of this NOPR, as it asserted that DOE provided only a short 
amount of time and inadequate information and resources during the 
rulemaking process. (Burnham, No. 35 at p. 8) Goodman stated that the 
industry needs at least 6 months to assess the impact of the new test 
procedure on existing basic models. (Goodman, No. 33 at p. 2)
    Ingersoll Rand argued that the fact that many of the current models 
may be removed from the market as a result of the separate energy 
conservation standards rulemakings, Fan Energy Rating (FER) standard 
effective in 2019 and AFUE proposed standard effective in 2021, makes 
this retesting effort even more burdensome, unnecessary and wasteful. 
(Ingersoll Rand, No. 37 at p. 9) Carrier also stated that recent 
rulemakings, such as the standby power ruling and the recent 
legislation for furnace fans, have increased the test burden for gas 
furnace compliance compared to when the complicated AFUE procedure was 
formulated and first implemented. (Carrier, No. 34 at p. 3)
    The many comments from manufacturers regarding re-testing of all 
models currently in distribution were responding to DOE's proposals to 
incorporate by reference ASHRAE 103-2007 and adjust the CO2 
percentage. Under the amended test procedure, DOE is not incorporating 
by reference ASHRAE 103-2007 or adjusting of the CO2 
percentage, and so manufacturers will not need to re-test their entire 
model line-up, thereby alleviating the concerns expressed by 
manufacturers. DOE has assessed the test burden of the revisions to the 
test procedure it is adopting in this final rule, and has concluded 
that manufacturers will experience no additional burden when performing 
the AFUE test.
    DOE believes that the clarification of the electrical power term PE 
will not add any additional burden on manufacturers, since this is what 
has been required under the existing test procedure. In terms of the 
boiler pump, DOE included a default value in case manufacturers are not 
currently capturing this component, which will minimize test burden.
    Many manufacturers currently perform the tracer gas test to 
determine whether the minimum default draft factor of 0.05 may be used. 
DOE expects that, when establishing the absence of flow through the 
heat exchanger, the use of the smoke stick test will reduce the test 
burden to manufacturers by eliminating, in some cases, the need for the 
tracer gas test.
    The optional provision allowing for the measurement of condensate 
during the establishment of steady-state conditions will provide 
manufacturers of condensing furnaces and boilers time and labor 
savings.
    The inclusion of references to the I&O manual will provide 
additional guidance and clarity to the test procedure. It does not 
impose additional test burden since the information is already 
available in the manufacturers' literature.
    The amendment of the duct work setup for units that are installed 
without a return duct and the requirement to test multi-position units 
in the least efficient position only clarify the testing requirements. 
The duct work setup change reflect current industry practice and does 
not introduce new testing requirements. With respect to the multi-
position unit testing, most manufacturers indicated that the change 
reflects their understanding and current practice. DOE notes that, 
although the test method did not describe the position for testing as 
the ``least efficient position,'' in practice, if following the 
existing method for setup, manufacturers should have tested the least 
efficient position or all testing configurations. DOE also notes that 
AHRI commented that this reflects the common practice of its members, 
which is to test in the least efficient position. (AHRI, Public Meeting 
Transcript, No. 23 at p. 123) Therefore, DOE expects that there would 
be no additional test burden associated with these revisions.
    The requirement to report AFUE to be truncated to the tenth of a 
percentage point and the requirement to report whether a boiler uses a 
burner delay automatic means control strategy will not introduce any 
additional test burden because they do not require retesting; however, 
they may impose a cost on either boiler manufacturers or manufacturers 
who do not currently report AFUE to a tenth of a percentage point, who 
must submit new certification reports and relabel their products. DOE 
discusses this burden in section IV.B.
    For these reasons, DOE concludes that the amended test procedure 
will not be unduly burdensome to conduct.

G. Measured Energy Use

    When DOE modifies test procedures, it must determine to what 
extent, if any, the new test procedure would alter the measured energy 
efficiency or energy use of any covered product. (42 U.S.C. 6293(e)(1)) 
In the NOPR, DOE stated that the one amendment that might alter the 
AFUE of covered products is the incorporation by reference of ASHRAE 
103-2007. 80 FR 12876, 12897.
    As discussed in section III.C, based on stakeholder comments, DOE 
has declined to incorporate by reference ASHRAE 103-2007 in this final 
rule. Therefore, the amended test procedure will not alter measured 
AFUE ratings.
    As discussed in section III.D.1, certain stakeholders commented 
that the proposed revision in the NOPR regarding the method for 
determining the electrical power consumption would change the power 
measurements. In response to comments, for the Final Rule, DOE decided 
not to change the method for calculating the electrical consumption and 
only clarified the definition of the PE term. This clarification will 
not alter measured AFUE ratings.
    As discussed in section III.D.3, certain stakeholders expressed 
concern that allowing the measurement of condensate during the 
establishment of steady state conditions would have an impact on the 
final calculated AFUE value. In response to comments, DOE clarified for 
the final rule that this is an option rather than a requirement. DOE 
has found through its testing as shown in the test data presented at 
the NOPR public meeting indicating both options produce a similar rate 
of condensate mass production and therefore would have a de minimis 
impact on measured AFUE ratings.
    As discussed in section III.D.4.b, certain stakeholders expressed 
concern that the proposed adjustment of the CO2 percentage 
on gas- and oil-fired boilers would significantly affect AFUE. In 
response to comments, DOE has declined to adopt this proposal for the 
final rule.
    DOE received no comment regarding the impact of measured energy use 
on the remaining test procedure amendments, including the smoke stick 
test, duct work for units that are installed without a return duct, and 
testing requirements for multi-position configurations. The smoke stick 
test serves to verify a condition and does not

[[Page 2641]]

impact ratings. The requirements for units installed without a return 
duct and for multi-position configurations only clarify the testing 
requirements, and therefore will not impact measured energy use or 
efficiency.
    For these reasons, DOE has determined that none of the adopted test 
procedure amendments would alter the projected measured energy 
efficiency or energy use of the covered products that are the subject 
of this rulemaking.

H. Certification and Enforcement

1. Verification Test for Automatic Means for Adjusting the Water 
Temperature in Boilers
    In 2008, DOE published a technical amendment to the 2007 energy 
conservation standards final rule for residential furnaces and boilers 
that added design requirements for boilers consistent with the 
provisions of EISA 2007, including mandating, starting September 1, 
2012, that all gas, oil, and electric hot water boilers (excluding 
those equipped with a tankless domestic water heating coil) be equipped 
with automatic means for adjusting the boiler water temperature 
(``automatic means'') to ensure that an incremental change in inferred 
heat load produces a corresponding incremental change in the 
temperature of water supplied (codified at 42 U.S.C. 6295(f)(3)).\13\ 
73 FR 43611 (July 28, 2008). EISA 2007 further specifies that for 
single-stage hot water boilers, the automatic means requirement may be 
satisfied by incorporating controls that allow the burner or heating 
element to fire only when the automatic means has determined that the 
inferred heat load cannot be met by the residual heat of the water in 
the system. When there is no inferred heat load, the automatic means 
limits the temperature of the water in the boiler to not more than 140 
[deg]F.
---------------------------------------------------------------------------

    \13\ The automatic means requirement excludes boilers that are 
manufactured to operate without any need for electricity. EISA 2007 
also prohibited constant-burning pilot lights for gas-fired hot 
water boilers and gas-fired steam boilers. 73 FR 43611, 43613 (July 
28, 2008).
---------------------------------------------------------------------------

    The existing DOE residential furnace and boiler test procedure does 
not include any method of test for determining compliance with these 
design requirements. In the March 2015 NOPR, DOE proposed the 
introduction of a new test method for the verification of the automatic 
means for adjusting the water temperature in boilers. DOE proposed the 
use of two test methods--one for single-stage boilers and one for two-
stage/modulating boilers--for verification of the functionality of the 
automatic means for adjusting the water temperature supplied by a 
boiler. The proposed test methods were based on draft testing 
methodologies provided by Natural Resources Canada (NRCan), as well as 
the California mechanical codes section for non-residential 
boilers.\14\ The two separate tests were developed to accommodate 
various boiler control strategies, including outdoor reset, inferred 
load, and thermal pre-purge (i.e., burner delay).\15\ The proposed test 
methods, as would be specified in 10 CFR 429.134, would be intended for 
use by DOE for assessment and enforcement testing to determine if a 
given basic model complies with the applicable design requirements. 
Therefore, boiler manufacturers would not be required to conduct this 
testing. 80 FR 12876, 12902.
---------------------------------------------------------------------------

    \14\ California Energy Commission, ``Reference Appendices for 
the 2008 Building Energy Efficiency Standards for Residential and 
Non-residential Buildings'', p. 332, (Available at: http://www.energy.ca.gov/2008publications/CEC-400-2008-004/CEC-400-2008-004-CMF.PDF) (Last accessed January 16, 2015).
    \15\ See the March 2015 NOPR for further description of the 
different control strategies.
---------------------------------------------------------------------------

    Several stakeholders commented on the lack of compliance criteria 
for the automatic means test. Burnham asserted that it is legally 
unacceptable for DOE to not specify any objective criteria for 
demonstrating compliance and that DOE does not have authority to 
unilaterally create criteria to determine compliance with the automatic 
means test without notice and comment. (Burnham, No. 35 at p. 6) Weil-
McLain stated that it is not clear what this required test criteria or 
procedure would be, but that, once defined, this test will require more 
time and resources to complete. Weil-McLain also asserted that the new 
requirement is arbitrary and capricious because it is so indefinite. 
(Weil-McLain, No. 31 p. 8)
    DOE's automatic means design requirement does not specify how a 
manufacturer must implement the automatic means and does not provide 
compliance criteria for the automatic means testing. DOE interprets the 
design requirement established by EISA 2007 as intending to allow 
manufacturers flexibility when designing control strategies to meet the 
design requirement. DOE believes that the requirement of an incremental 
change in inferred heat load that produces a corresponding incremental 
change in the temperature of water supplied is a sufficient metric for 
evaluation of the functionality of an automatic means for adjusting 
water temperature. DOE designed the tests, as noted in the March 2015 
NOPR, to confirm whether the boiler supply water temperature responds 
to a change in inferred heat load without specifying to what degree the 
temperature must change or for how long that change is present because 
such detail is not required for meeting the design requirement. DOE 
also designed the test methods to accommodate technological 
advancements in controls and designs. For these reasons, DOE does not 
agree with Burnham and Weil-McLain that establishing further criteria 
or thresholds is required beyond the general requirements set forth in 
the 2008 technical amendment to the furnace and boiler final rule.
    Lochinvar stated that while it supports the use of automatic means 
as an effective method of energy conservation, it opposes testing 
controls for compliance for the following reasons: (1) The lack of 
compliance threshold; (2) no guarantee of repeatability or consistency 
in test method or results; (3) difficulty in reasonably measuring the 
effectiveness of different designs; (4) test method may be biased for 
or against certain control methods; and (5) a published simulation-type 
test will lead to manufacturers designing automatic means for the test 
compliance. (Lochinvar, No. 29 at p. 3) AHRI stated that the criterion 
to confirm the functioning of the means is too vague to be meaningful, 
and that DOE should not finalize this proposed procedure and not pursue 
further the concept of adding a test to verify the functioning of the 
automatic means. (AHRI, No. 36 at p. 6)
    Several stakeholders commented on technical issues regarding the 
proposed test method. Lochinvar and Burnham stated that single-stage 
products may use options other than ``thermal purge.'' (Lochinvar, No. 
29 at p. 3; Burnham, No. 35 at p. 6) Lochinvar stated that if DOE 
chooses to require automatic means testing, single-stage boilers must 
be allowed to comply by meeting either the proposed test method in 
Sec.  429.134(e)(1) or (e)(2). (Lochinvar, No. 29 at p. 3)
    Lochinvar also stated that DOE incorrectly states that the 
automatic means will change the heat output of a boiler in response to 
the inferred heat load. Responding to DOE's proposal in the March 31, 
2015 notice of proposed rulemaking for energy conservation standards 
for boilers (``March 2015 ECS Boiler NOPR''), Lochinvar asserted that 
the automatic means would change the temperature of the water supplied, 
not necessarily the heat output. (Lochinvar, No. 29 at p. 4)
    Burnham argued that the water temperatures specified are too low to 
necessarily cause a burner delay. Also responding to the March 2015 ECS 
Boiler NOPR, Burnham suggested that the proposed 10 CFR

[[Page 2642]]

429.134(e)(1)(iii)(C) seems to imply that a delay will always be 
present. However, Burnham asserted that EISA only requires that the 
automatic means delay ignition above 140 [deg]F until it has determined 
that the inferred heat load cannot be met by the residual heat in the 
boiler. (Burnham, No. 35 at p. 6)
    Burnham stated that the proposed 10 CFR 429.134(e)(2)(ii)(B)(1) 
specifies that the supply water temperature be maintained at ``the 
lowest supply water temperature (4 [deg]F),'' which may not 
be possible if the boiler's minimum input is greater than the 
corresponding load, resulting in burner cycling. Burnham stated that a 
similar problem is possible in the proposed 10 CFR 
429.134(e)(2)(ii)(C)(2), where a ``boost function'' (a control strategy 
commonly used that shifts the y-intercept of the reset curve upward 
during extended calls for heat) might make it impossible to hold the 
required 3 [deg]F tolerance for the boiler supply water 
temperature. (Burnham, No. 35 at p. 6)
    Burnham stated that some of the control strategies currently in use 
require multiple burner cycles to determine the inferred heat load, 
which does not seem to be taken into account by DOE's proposed 
verification method. (Burnham, No. 35 at p. 6)
    DOE makes several changes to the proposed verification of automatic 
means tests to address the technical comments received from Lochinvar 
and Burnham. DOE revised the two tests for the verification of 
automatic means presented in the NOPR such that the test previously 
identified as the two-stage/modulating boilers test will apply to all 
boilers, with the exception of single-stage boilers that employ a 
burner delay control strategy. The test for all boiler products 
monitors water temperature settings from the inferential load 
controller and/or monitors supply water temperature to determine 
whether the supply water temperature changes in response to changes in 
the inferred load. This test method allows for establishing the 
necessary conditions that may lead to a change in inferred load, for 
example, a change in outdoor air temperature, a change in thermostat 
patterns, and/or a change in boiler cycling.
    DOE is adopting the test previously identified as the single-stage 
boilers test as the test method for single-stage boilers that employ a 
burner delay control strategy to fulfill the automatic means design 
requirement as specified in 42 U.S.C. 6295(f)(3)(B)(ii). The test for 
single-stage boilers that employ a burner delay control strategy 
captures the delayed burner reaction following a call for heating when 
residual heat is present within the boiler.
    DOE agrees with Burnham and Lochinvar's comments that help to 
clarify the test method and allow for accommodating variations in the 
control strategies. Therefore, DOE adopts revisions that include 
removing the minimum supply water temperature tolerance requirement to 
allow variations in temperature when burner cycling occurs; increasing 
the inlet water temperature from 120 [deg]F (2 [deg]F) to 
140 [deg]F (2 [deg]F) for the test method for single-stage 
boilers that employ a burner delay control strategy so that it is high 
enough to cause burner delay; and making terminology related to inlet 
water consistent throughout the test method. However, DOE disagrees 
with Burnham's comment that the tolerance range for determining a 
stabilized supply water temperature could not be met under a specific 
control strategy, such as the boost mode where an extended call for 
heating occurs until the heat demand is satisfied. In such a case, 
DOE's test method would be implemented when either the heat demand is 
satisfied or the high boiler water temperature limit is reached.
    As discussed in the March 2015 NOPR, DOE also adds a definition for 
``controlling parameter.'' DOE has placed this definition in 10 CFR 
430.2 rather than appendix N as it applies to DOE enforcement 
regulations rather than manufacturer testing. Controlling parameter is 
defined as a measurable quantity for a residential boiler (such as 
temperature or usage pattern) used for inferring heating load, which 
would then result in incremental changes in supply water temperature.
2. Compliance Dates for the Amended Test Procedure
    This document amends 10 CFR 429.18, 10 CFR 429.134, 10 CFR 430.2, 
10 CFR 430.3, 10 CFR 430.23, and 10 CFR part 430, subpart B, appendix 
N. When DOE modifies test procedures, it must determine to what extent, 
if any, the new test procedure would alter the measured energy 
efficiency or energy use of any covered product. (42 U.S.C. 6293(e)(1)) 
For the reasons described previously, DOE has determined that none of 
the test procedure amendments would alter the measured energy 
efficiency or energy use of the covered products that are the subject 
of this rulemaking. The changes made to appendix N through this final 
rule, as listed in section III.D, clarify the manner in which the test 
is conducted, or otherwise represent minor changes or additions to the 
test or reporting requirements that do not affect measured energy use. 
Therefore, these amendments become effective 30 days after publication 
of this final rule in the Federal Register. Pursuant to 42 U.S.C. 
6293(c)(2), 180 days after DOE prescribes or establishes a new or 
amended test procedure, manufacturers must make representations of 
energy efficiency, including certifications of compliance, using that 
new or amended test procedure.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedure rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, ``Regulatory 
Planning and Review,'' 58 FR 51735 (Oct. 4, 1993). Accordingly, this 
action was not subject to review under the Executive Order by the 
Office of Information and Regulatory Affairs (OIRA) in OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by 
the Small Business Regulatory Fairness Act of 1996) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (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 this final rule under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003. 68 FR 7990. This final rule amends DOE's test procedure by 
providing clarifications regarding relevant test procedure provisions 
and revising the definitions of some terms. DOE has concluded that this 
final rule will not have a significant impact on a substantial number 
of small entities. The factual basis for this certification is as 
follows:

[[Page 2643]]

    The Small Business Administration (SBA) considers a business entity 
to be a small business if, together with its affiliates, it employs 
less than a threshold number of workers specified in 13 CFR part 121. 
These size standards and codes are established by the North American 
Industry Classification System (NAICS) and are available at http://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf. 
Residential boiler manufacturing is classified under NAICS 333414, 
``Heating Equipment (Except Warm Air Furnaces) Manufacturing,'' for 
which the maximum size threshold is 500 employees or fewer. 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 
maximum size threshold is 750 employees or fewer. To estimate the 
number of companies that could be small business manufacturers of 
products covered by this rulemaking, DOE conducted a market survey 
using available public information to identify potential small 
manufacturers. DOE's research involved reviewing several industry trade 
association membership directories (e.g., AHRI \16\), SBA 
databases,\17\ individual company Web sites, and marketing research 
tools (e.g., Hoovers \18\ reports) to create a list of all domestic 
small business manufacturers of residential furnaces and boilers 
covered by this rulemaking.
---------------------------------------------------------------------------

    \16\ For more information on the boiler and furnace directories, 
see http://www.ahridirectory.org/ahridirectory/pages/home.aspx.
    \17\ For more information see: http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm.
    \18\ For more information see: http://www.hoovers.com/.
---------------------------------------------------------------------------

    After DOE identified manufacturers of residential furnaces and 
consumer boilers, DOE then consulted publically-available data and 
contacted companies, as necessary, to determine if they both meet the 
SBA's definition of a ``small business'' manufacturer and have their 
manufacturing facilities located within the United States. DOE screened 
out companies that did not offer products covered by this rulemaking, 
did not meet the definition of a ``small business,'' or are foreign-
owned and operated. Based on this analysis, DOE identified 9 small 
businesses that manufacture residential furnaces and 9 small businesses 
that manufacture residential boilers (two of which also manufacture 
residential furnaces), for a total of 16 small businesses potentially 
impacted by this rulemaking.
    This document amends DOE's test procedure by incorporating several 
changes that modify the existing test procedure or reporting 
requirements for furnaces and boilers. This includes the following 
changes that could potentially impact manufacturers: (1) Clarified 
definition of electrical power term PE; (2) a smoke stick method for 
determining whether the minimum default draft factor may be used; (3) a 
provision to allow for the measurement of condensate under steady-state 
conditions; (4) reference to manufacturers' I&O manuals; (5) 
specification of ductwork for units that are installed without a return 
duct; (6) specification of testing requirements for multi-position 
units; (7) revised reporting precision for AFUE to the nearest tenth of 
a percentage point; and (8) requirement to report the use of a burner 
delay automatic means control strategy in certification reports. The 
estimated costs of testing/rating and potential impact to manufacturer 
burden resulting from use of the amended test procedure are discussed 
subsequently. The estimated costs and potential impacts apply to all 
manufacturers, including the manufacturers identified as small 
businesses.
    DOE believes that explicitly listing the components encompassed in 
the definition of PE does not change the definition of the electrical 
power term PE but rather only clarifies it, and will not impose any 
additional test burden.
    The adoption of the smoke stick method for determining whether the 
minimum default draft factor may be used is intended to reduce the test 
burden to manufacturers. DOE estimated that the smoke stick method for 
determining the minimum default draft factor would reduce the overall 
duration of the test by about 15 minutes for units designed to have no 
flow through the heat exchanger. However, DOE does not have sufficient 
information to support estimating the fraction of units that have been 
designed such that there is no flow through the heat exchanger. 
Therefore, DOE has not included the cost savings associated with the 
smoke stick.
    The addition of the optional provision to allow for the measurement 
of condensate prior to the establishment of steady state conditions 
will result in a lowering of test burden for manufacturers of 
condensing furnaces and boilers. Manufacturers of condensing furnaces 
and boilers will benefit from the time and labor savings attributed to 
the measurement of condensate during the establishment of steady-state 
conditions. However, DOE does not have sufficient information to 
support estimating the fraction of units that would be tested under the 
optional provision. Therefore, DOE has not included the cost savings 
associated with the optional provision to allow for the measurement of 
condensate prior to the establishment of steady state conditions.
    The clarification of duct work requirements for units that are 
installed without a return duct and clarification of the test 
requirements for multi-position units do not present any additional 
test burden to manufacturers, as the two amendments do not change the 
existing testing requirements or conflict with current industry 
practice.
    Revision of AFUE reporting precision and the requirement to report 
the use of a burner delay automatic means control strategy in the 
certification report do not present any additional test burden to 
manufacturers, as the two amendments do not change testing 
requirements. However, both amendments may require some manufacturers 
to submit new certification reports and relabel their products. DOE 
estimates that for affected parties, submitting new certification 
reports and relabeling products will take 30 minutes per unit. At an 
assumed cost of $40 per hour, the cost to recertify and relabel is $20 
per unit.
    To determine the potential cost of the test procedure amendments on 
small furnace and boiler manufacturers, DOE estimated the cost of 
recertifying and relabeling per basic model and the savings from the 
optional provision to measure condensate during the establishment of 
steady state conditions, as described above. DOE estimated that on 
average, each furnace small business would have 51 basic models, and 
each boiler small business would have 70 basic models. Based on 
residential furnace and boiler model data, DOE assumed that 
approximately 70 percent of all furnace and 60 percent of all boiler 
manufacturers will need to recertify and relabel due to the revision of 
the AFUE reporting precision. Based on residential boiler model data, 
DOE assumed that about 75 percent of boilers are single-stage boilers; 
furthermore, DOE assumed that about two-thirds of single-stage boilers 
employ a burner delay automatic means control strategy. Thus, DOE 
assumed that half of all boiler models will employ a burner delay 
automatic means control strategy. The additional recertification and 
relabeling cost associated with the test procedure amendments was 
multiplied by the estimated fraction of affected basic models produced 
by a small manufacturer. DOE has estimated a total added cost from the 
test procedure amendments of $714 per furnace

[[Page 2644]]

manufacturer and a total added cost of about $1,120 per boiler 
manufacturer for manufacturers that currently do not report AFUE to the 
nearest tenth of a percentage point or for manufacturers of single-
stage boilers that employ a burner delay automatic means control 
strategy.
    For the reasons stated previously, DOE certifies that this rule 
will not have a significant economic impact on a substantial number of 
small entities.

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 with applicable performance 
standards, manufacturers must test their products according to the DOE 
test procedures for residential furnaces and boilers, including any 
amendments adopted for those test procedures. Manufacturers must also 
ensure their products comply with applicable design standards. DOE has 
established regulations for the certification and recordkeeping 
requirements for all covered consumer products and commercial 
equipment, including residential furnaces and boilers. See generally 10 
CFR part 429. 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 30 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 final rule, DOE amends its test procedure 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 
rule amends an existing rule without affecting the amount, quality or 
distribution of energy usage, and, therefore, will 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 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 examined this final 
rule and determined that it will 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 this final 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. 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 determined that, to the extent permitted by law, 
this final 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 a regulatory action resulting 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 proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820. (This policy is 
also available at http://energy.gov/gc/office-general-counsel). DOE 
examined this final rule according to UMRA and its statement of policy 
and determined that the rule

[[Page 2645]]

contains neither an intergovernmental mandate, nor a mandate that may 
result in the expenditure of $100 million or more in any year, so these 
requirements do not apply.

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

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This rule will 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.

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 regulation will 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 agencies to review most 
disseminations of information to the public under 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 this final 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 OMB, 
a Statement of Energy Effects for any significant energy action. A 
``significant energy action'' is defined as any action by an agency 
that promulgated or is expected to lead to promulgation of a final 
rule, and that: (1) Is a significant regulatory action under Executive 
Order 12866, or any successor order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use if the regulation is implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This regulatory action is not a significant regulatory action under 
Executive Order 12866. 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.

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), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, 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.
    This final rule incorporates testing methods contained in the 
following commercial standard: ASTM D2156-09 (Reapproved 2013). While 
this test procedure is not exclusively based on this standard, the DOE 
test procedure adopts several provisions from this standard without 
amendment. DOE 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 has consulted with the 
Attorney General and the Chairwoman of the FTC concerning the impact of 
these test procedures on competition and has received no comments 
objecting to their use.

M. Description of Materials Incorporated by Reference

    In this final rule, DOE incorporates by reference the ASTM test 
standard ``Standard Test Method for Smoke Density in Flue Gases from 
Burning Distillate Fuels,'' ASTM D2156-09 (Reapproved 2013). ASTM D2156 
is an industry accepted test procedure that establishes uniform test 
methods for the evaluation of smoke density in the flue gases from 
burning distillate fuels. The test procedure established in this final 
rule references ASTM D2156 in its entirety, which includes terminology, 
methods of testing, materials, apparatus, procedures, reporting, and 
precision and bias, to determine the allowable smoke in the flue of oil 
furnaces and boilers. ASTM D2156-09 is available on ASTM's Web site at 
http://www.astm.org/Standards/D2156.htm.

N. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of this rule prior to its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804(2).

V. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
rule.

List of Subjects

10 CFR Part 429

    Confidential business information, Energy conservation, Household 
appliances, Imports, Reporting and recordkeeping requirements.

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 December 29, 2015.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
    For the reasons stated in the preamble, DOE amends parts 429 and 
430 of chapter II, subchapter D of title 10, Code of Federal 
Regulations, as set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

    Authority: 42 U.S.C. 6291-6317.


[[Page 2646]]



0
2. Amend Sec.  429.18 by adding paragraphs (a)(2)(vii) and (b)(4) to 
read as follows:


Sec.  429.18  Residential furnaces.

    (a) * * *
    (2) * * *
    (vii) Reported values. The represented value of annual fuel 
utilization efficiency must be truncated to the one-tenth of a 
percentage point.
    (b) * * *
    (4) For multi-position furnaces, the annual fuel utilization 
efficiency (AFUE) reported for each basic model must be based on 
testing in the least efficient configuration. Manufacturers may also 
report and make representations of additional AFUE values based on 
testing in other configurations.

0
3. Amend Sec.  429.134 by adding paragraph (h) to read as follows:


Sec.  429.134  Product-specific enforcement provisions

* * * * *
    (h) Residential boilers--test protocols for functional verification 
of automatic means for adjusting water temperature. These tests are 
intended to verify the functionality of the design requirement that a 
boiler has an automatic means for adjusting water temperature for 
single-stage, two-stage, and modulating boilers. These test methods are 
intended to permit the functional testing of a range of control 
strategies used to fulfill this design requirement. Section 2, 
Definitions, and paragraph 6.1.a of appendix N to subpart B of part 430 
of this chapter apply for the purposes of this paragraph (h).
    (1) Test protocol for all products other than single-stage products 
employing burner delay. This test is intended to verify whether an 
automatic means for adjusting water temperature other than burner delay 
produces an incremental change in water supply temperature in response 
to an incremental change in inferred heat load.
    (i) Boiler setup--(A) Boiler installation. Boiler installation in 
the test room shall be in accordance with the setup and apparatus 
requirements of section 6 of appendix N to subpart B of 10 CFR part 
430.
    (B) Establishing flow rate and temperature rise. Start the boiler 
without enabling the means for adjusting water temperature. Establish a 
water flow rate that allows for a water temperature rise of greater 
than or equal to 20[emsp14][deg]F at maximum input rate.
    (C) Temperature stabilization. Temperature stabilization is deemed 
to be obtained when the boiler supply water temperature does not vary 
by more than 3[emsp14][deg]F over a period of five minutes.
    (D) Adjust the inferential load controller. (1) Adjust the boiler 
controls (in accordance with the I&O manual) to the default setting 
that allows for activation of the means for adjusting water 
temperature. For boiler controls that do not allow for control 
adjustment during active mode operation, terminate call for heat and 
adjust the inferential load controller in accordance with the I&O 
manual and then reinitiate call for heat.
    (2) If the means for adjusting water temperature uses outdoor 
temperature reset, the maximum outdoor temperature setting (if 
equipped) should be set to a temperature high enough that the boiler 
operates continuously during the duration of this test (i.e., if the 
conditions in paragraph (h)(1)(ii)(A) of this section equal room 
ambient temperature, then the maximum outdoor temperature should be set 
at a temperature greater than the ambient air temperature during the 
test).
    (ii) Establish low inferred load conditions at minimum boiler 
supply water temperature--(A) Establish low inferred load conditions. 
(1) Establish the inferred load conditions (simulated using a 
controlling parameter, such as outdoor temperature, thermostat 
patterns, or boiler cycling) so that the supply water temperature is 
maintained at the minimum supply water temperature prescribed by the 
boiler manufacturer's temperature reset control strategy found in the 
I&O manual.
    (2) The minimum supply water temperature of the default temperature 
reset curve is usually provided in the I&O manual. If there is no 
recommended minimum supply water temperature, set the minimum supply 
water temperature equal to 20 [deg]F less than the high supply water 
temperature specified in paragraph (h)(1)(iii)(A) of this section.
    (B) Supply water temperature stabilization at low inferred load. 
(1) Maintain the call for heat until the boiler supply water 
temperature has stabilized. Temperature stabilization is deemed to be 
obtained when the boiler supply water temperature does not vary by more 
than 3 [deg]F over a period of five minutes. The duration 
of time required to stabilize the supply water, following the procedure 
in paragraph (h)(1)(ii)(A) of this section, is dependent on the reset 
strategy and may vary from model to model.
    (2) Record the boiler supply water temperature while the 
temperature is stabilized.
    (iii) Establish high inferred load conditions at maximum boiler 
supply water temperature--(A) Establish high inferred load conditions. 
Establish the inferred load conditions so that the supply water 
temperature is set to the maximum allowable supply water temperature as 
prescribed in the I&O manual, or if there is no recommendation, set to 
a temperature greater than 170 [deg]F.
    (B) Supply water temperature stabilization at high inferred load. 
(1) Maintain the call for heat until the boiler supply water 
temperature has stabilized. Temperature stabilization is deemed to be 
obtained when the boiler supply water temperature does not vary by more 
than 3[emsp14][deg]F over a period of five minutes. The 
duration of time required to stabilize the supply water, following the 
procedure in paragraph (h)(1)(iii)(A) of this section, is dependent on 
the reset strategy and may vary from model to model.
    (2) Record the boiler supply water temperature while the 
temperature is stabilized.
    (3) Terminate the call for heat.
    (iv) [Reserved]
    (2) Test protocol for single-stage products employing burner delay. 
This test will be used in place of paragraph (h)(1) of this section for 
products manufacturers have certified to DOE under Sec.  429.18(b)(3) 
as employing a burner delay automatic means strategy. This test 
verifies whether the automatic means in single-stage boiler products 
establishes a burner delay upon a call for heat until the means has 
determined that the inferred heat load cannot be met by the residual 
heat of the water in the system.
    (i) Boiler setup--(A) Boiler installation. Boiler installation in 
the test room shall be in accordance with the setup and apparatus 
requirements by section 6.0 of appendix N to subpart B of 10 CFR part 
430.
    (B) Activation of controls. Adjust the boiler controls in 
accordance with the I&O manual at the default setting that allows for 
activation of the means for adjusting water temperature.
    (C) Adjustment of water flow and temperature. The flow and 
temperature of inlet water to the boiler shall be capable of being 
adjusted manually.
    (ii) Boiler heat-up--(A) Boiler start-up. Power up the boiler and 
initiate a call for heat.
    (B) Adjustment of firing rate. Adjust the boiler's firing rate to 
within 5% of its maximum rated input.
    (C) Establishing flow rate and temperature rise. Adjust the water 
flow through the boiler to achieve a [Delta]T of 20[emsp14][deg]F 
(2 [deg]F) or greater with an inlet water temperature equal 
to 140[emsp14][deg]F (2[emsp14][deg]F).

[[Page 2647]]

    (D) Terminate the call for heating. Terminate the call for heat, 
stop the flow of water through the boiler, and record the time at 
termination.
    (iii) Verify burner delay--(A) Reinitiate call for heat. Within 
three (3) minutes of termination (paragraph (h)(2)(ii)(D) of this 
section) and without adjusting the inlet water flow rate or temperature 
as specified in paragraph (h)(2)(ii)(C) of this section, reinitiate the 
call for heat and water flow and record the time.
    (B) Verify burner ignition. At 15-second intervals, record time and 
supply water temperature until the main burner ignites.
    (C) Terminate the call for heat.
    (iv) [Reserved]

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
4. 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
5. Amend Sec.  430.2 by adding in alphabetical order a definition of 
``Controlling parameter'' and revising the definition of ``Furnace'' to 
read as follows:


Sec.  430.2  Definitions.

* * * * *
    Controlling parameter means a measurable quantity or an algorithm 
(such as temperature or usage pattern) used for inferring heating load 
to a residential boiler, which would then result in incremental changes 
in boiler supply water temperature.
* * * * *
    Furnace means a product which utilizes only single-phase electric 
current, or single-phase electric current or DC current in conjunction 
with natural gas, propane, or home heating oil, and which--
    (1) Is designed to be the principal heating source for the living 
space of a residence;
    (2) Is not contained within the same cabinet with a central air 
conditioner whose rated cooling capacity is above 65,000 Btu per hour;
    (3) Is an electric central furnace, electric boiler, forced-air 
central furnace, gravity central furnace, or low-pressure steam or hot 
water boiler; and
    (4) Has a heat input rate of less than 300,000 Btu per hour for 
electric boilers and low-pressure steam or hot water boilers and less 
than 225,000 Btu per hour for forced-air central furnaces, gravity 
central furnaces, and electric central furnaces.
* * * * *

0
6. Amend Sec.  430.3 by revising paragraph (g)(11) and adding paragraph 
(j)(2) to read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (g) * * *
    (11) ANSI/ASHRAE Standard 103-1993, (``ASHRAE 103-1993''), Methods 
of Testing for Annual Fuel Utilization Efficiency of Residential 
Central Furnaces and Boilers, (with Errata of October 24, 1996), except 
for sections 7.1, 7.2.2.2, 7.2.2.5, 7.2.3.1, 7.8, 8.2.1.3, 8.3.3.1, 
8.4.1.1, 8.4.1.1.2, 8.4.1.2, 8.4.2.1.4, 8.4.2.1.6, 8.6.1.1, 8.7.2, 
8.8.3, 9.1.2.2.1, 9.1.2.2.2, 9.5.1.1, 9.5.1.2.1, 9.5.1.2.2, 9.5.2.1, 
9.7.1, 9.7.4, 9.7.6, 9.10, 11.5.11.1, 11.5.11.2 and appendices B and C, 
approved October 4, 1993, IBR approved for Sec.  430.23 and appendix N 
to subpart B.
* * * * *
    (j) * * *
    (2) ASTM D2156-09 (Reapproved 2013) (``ASTM D2156R13''), Standard 
Test Method for Smoke Density in Flue Gases from Burning Distillate 
Fuels, approved October 1, 2013, IBR approved for appendix N to subpart 
B.
* * * * *

0
7. Amend Sec.  430.23 by revising paragraph (n)(2) to read as follows:


Sec.  430.23  Test procedures for the measurement of energy and water 
consumption.

* * * * *
    (n) * * *
    (2) The annual fuel utilization efficiency for furnaces, expressed 
in percent, is the ratio of the annual fuel output of useful energy 
delivered to the heated space to the annual fuel energy input to the 
furnace determined according to section 10.1 of appendix N of this 
subpart for gas and oil furnaces and determined in accordance with 
section 11.1 of the American National Standards Institute/American 
Society of Heating, Refrigerating, and Air-Conditioning Engineers 
(ANSI/ASHRAE) Standard 103-1993 (incorporated by reference, see Sec.  
430.3) for electric furnaces. Truncate the annual fuel utilization 
efficiency to one-tenth of a percentage point.
* * * * *

0
8. Revise appendix N to subpart B to read as follows:

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

    Note: Prior to July 13, 2016, representations with respect to 
the energy use or efficiency of residential furnaces and boilers, 
including compliance certifications, must be based on testing 
conducted in accordance with either this appendix as it now appears 
or appendix N as it appeared at 10 CFR part 430, subpart B revised 
as of January 1, 2016.
    After July 13, 2016, representations with respect to energy use 
or efficiency of residential furnaces and boilers, including 
compliance certifications, must be based on testing conducted in 
accordance with this appendix.
    1.0 Scope. The scope of this appendix is as specified in section 
2 of ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3).
    For purposes of this appendix, the Department of Energy 
incorporates by reference several industry standards, either in 
whole or in part, as listed in Sec.  430.3. In cases where there is 
a conflict, the language of the test procedure in this appendix 
takes precedence over the incorporated standards.
    2.0 Definitions. Definitions include those specified in section 
3 of ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3) 
and the following additional and modified definitions.
    2.1 Active mode means the condition in which the furnace or 
boiler is connected to the power source, and at least one of the 
burner, electric resistance elements, or any electrical auxiliaries 
such as blowers or pumps, are activated.
    2.2 Boiler pump means a pump installed on a boiler and that is 
separate from the circulating water pump.
    2.3 Control means a device used to regulate the operation of a 
piece of equipment and the supply of fuel, electricity, air, or 
water.
    2.4 Draft inducer means a fan incorporated in the furnace or 
boiler that either draws or forces air into the combustion chamber.
    2.5 Gas valve means an automatic or semi-automatic device 
consisting essentially of a valve and operator that controls the gas 
supply to the burner(s) during normal operation of an appliance. The 
operator may be actuated by application of gas pressure on a 
flexible diaphragm, by electrical means, by mechanical means or by 
other means.
    2.6 Installation and operation (I&O) manual means instructions 
for installing, commissioning, and operating the furnace or boiler, 
which are supplied with the product when shipped by the 
manufacturer.
    2.7 Isolated combustion system means a system where a unit is 
installed within the structure, but isolated from the heated space. 
A portion of the jacket heat from the unit is lost, and air for 
ventilation, combustion and draft control comes from outside the 
heated space.
    2.8 Multi-position furnace means a furnace that can be installed 
in more than one airflow configuration (i.e., upflow or horizontal; 
downflow or horizontal; upflow or downflow; and upflow, or downflow, 
or horizontal).
    2.9 Off mode means a mode in which the furnace or boiler is 
connected to a mains power source and is not providing any active 
mode or standby mode function, and where the mode may persist for an 
indefinite time. The existence of an off switch in off position

[[Page 2648]]

(a disconnected circuit) is included within the classification of 
off mode.
    2.10 Off switch means the switch on the furnace or boiler that, 
when activated, results in a measurable change in energy consumption 
between the standby and off modes.
    2.11 Oil control valve means an automatically or manually 
operated device consisting of an oil valve for controlling the fuel 
supply to a burner to regulate burner input.
    2.12 Standby mode means any mode in which the furnace or boiler 
is connected to a mains power source and offers one or more of the 
following space heating functions that may persist:
    a. To facilitate the activation of other modes (including 
activation or deactivation of active mode) by remote switch 
(including thermostat or remote control), internal or external 
sensors, or timer;
    b. Continuous functions, including information or status 
displays or sensor based functions.
    2.13 Thermal stack damper means a type of stack damper that 
relies exclusively upon the changes in temperature in the stack 
gases to open or close the damper.
    3.0 Classifications. Classifications are as specified in section 
4 of ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3).
    4.0 Requirements. Requirements are as specified in section 5 of 
ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3).
    5.0 Instruments. Instruments must be as specified in section 6 
of ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3).
    6.0 Apparatus. The apparatus used in conjunction with the 
furnace or boiler during the testing must be as specified in section 
7 of ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3) 
except for sections 7.1, 7.2.2.2, 7.2.2.5, 7.2.3.1, and 7.8; and as 
specified in sections 6.1 through 6.5 of this appendix.
    6.1 General.
    a. Install the furnace or boiler in the test room in accordance 
with the I&O manual, as defined in section 2.6 of this appendix, 
except that if provisions within this appendix are specified, then 
the provisions herein drafted and prescribed by DOE govern. If the 
I&O manual and any additional provisions of this appendix are not 
sufficient for testing a furnace or boiler, the manufacturer must 
request a waiver from the test procedure pursuant to 10 CFR 430.27.
    b. If the I&O manual indicates the unit should not be installed 
with a return duct, then the return (inlet) duct specified in 
section 7.2.1 of ASHRAE 103-1993 (incorporated by reference, see 
Sec.  430.3) is not required.
    c. Test multi-position furnaces in the least efficient 
configuration. Testing of multi-position furnaces in other 
configurations is permitted if energy use or efficiency is 
represented pursuant to the requirements in 10 CFR part 429.
    d. The apparatuses described in section 6 of this appendix are 
used in conjunction with the furnace or boiler during testing. Each 
piece of apparatus shall conform to material and construction 
specifications listed in this appendix and in ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3), and the reference 
standards cited in this appendix and in ASHRAE 103-1993.
    e. Test rooms containing equipment must have suitable facilities 
for providing the utilities (including but not limited to 
environmental controls, sufficient fluid source(s), applicable 
measurement equipment, and any other technology or tools) necessary 
for performance of the test and must be able to maintain conditions 
within the limits specified in section 6 of this appendix.
    6.2 Forced-air central furnaces (direct vent and direct 
exhaust).
    a. Units not equipped with a draft hood or draft diverter must 
be provided with the minimum-length vent configuration recommended 
in the I&O manual or a 5-ft flue pipe if there is no recommendation 
provided in the I&O manual (see Figure 4 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)). For a direct exhaust 
system, insulate the minimum-length vent configuration or the 5-ft 
flue pipe with insulation having an R-value not less than 7 and an 
outer layer of aluminum foil. For a direct vent system, see section 
7.5 of ASHRAE 103-1993 for insulation requirements.
    b. For units with power burners, cover the flue collection box 
with insulation having an R-value of not less than 7 and an outer 
layer of aluminum foil before the cool-down and heat-up tests 
described in sections 9.5 and 9.6 of ASHRAE 103-1993 (incorporated 
by reference, see Sec.  430.3), respectively. However, do not apply 
the insulation for the jacket loss test (if conducted) described in 
section 8.6 of ASHRAE 103-1993 or the steady-state test described in 
section 9.1 of ASHRAE 103-1993.
    c. For power-vented units, insulate the shroud surrounding the 
blower impeller with insulation having an R-value of not less than 7 
and an outer layer of aluminum foil before the cool-down and heat-up 
tests described in sections 9.5 and 9.6, respectively, of ASHRAE 
103-1993 (incorporated by reference, see Sec.  430.3). Do not apply 
the insulation for the jacket loss test (if conducted) described in 
section 8.6 of ASHRAE 103-1993 or the steady-state test described in 
section 9.1 of ASHRAE 103-1993. Do not insulate the blower motor or 
block the airflow openings that facilitate the cooling of the 
combustion blower motor or bearings.
    6.3 Downflow furnaces. Install an internal section of vent pipe 
the same size as the flue collar for connecting the flue collar to 
the top of the unit, if not supplied by the manufacturer. Do not 
insulate the internal vent pipe during the jacket loss test (if 
conducted) described in section 8.6 of ASHRAE 103-1993 (incorporated 
by reference, see Sec.  430.3) or the steady-state test described in 
section 9.1 of ASHRAE 103-1993. Do not insulate the internal vent 
pipe before the cool-down and heat-up tests described in sections 
9.5 and 9.6, respectively, of ASHRAE 103-1993. If the vent pipe is 
surrounded by a metal jacket, do not insulate the metal jacket. 
Install a 5-ft test stack of the same cross-sectional area or 
perimeter as the vent pipe above the top of the furnace. Tape or 
seal around the junction connecting the vent pipe and the 5-ft test 
stack. Insulate the 5-ft test stack with insulation having an R-
value not less than 7 and an outer layer of aluminum foil. (See 
Figure 3-E of ASHRAE 103-1993.)
    6.4 Units with draft hoods or draft diverters. Install the stack 
damper in accordance with the I&O manual. Install 5 feet of stack 
above the damper.
    a. For units with an integral draft diverter, cover the 5-ft 
stack with insulation having an R-value of not less than 7 and an 
outer layer of aluminum foil.
    b. For units with draft hoods, insulate the flue pipe between 
the outlet of the furnace and the draft hood with insulation having 
an R-value of not less than 7 and an outer layer of aluminum foil.
    c. For units with integral draft diverters that are mounted in 
an exposed position (not inside the overall unit cabinet), cover the 
diverter boxes (excluding any openings through which draft relief 
air flows) before the beginning of any test (including jacket loss 
test) with insulation having an R-value of not less than 7 and an 
outer layer of aluminum foil.
    d. For units equipped with integral draft diverters that are 
enclosed within the overall unit cabinet, insulate the draft 
diverter box with insulation as described in section 6.4.c before 
the cool-down and heat-up tests described in sections 9.5 and 9.6, 
respectively, of ASHRAE 103-1993 (incorporated by reference, see 
Sec.  430.3). Do not apply the insulation for the jacket loss test 
(if conducted) described in section 8.6 of ASHRAE 103-1993 or the 
steady-state test described in section 9.1 of ASHRAE 103-1993.
    6.5 Condensate collection. Attach condensate drain lines to the 
unit as specified in the I&O manual. Maintain a continuous downward 
slope of drain lines from the unit. Additional precautions (such as 
eliminating any line configuration or position that would otherwise 
restrict or block the flow of condensate or checking to ensure a 
proper connection with condensate drain spout that allows for 
unobstructed flow) must be taken to facilitate uninterrupted flow of 
condensate during the test. Collection containers must be glass or 
polished stainless steel to facilitate removal of interior deposits. 
The collection container must have a vent opening to the atmosphere.
    7.0 Testing conditions. The testing conditions must be as 
specified in section 8 of ASHRAE 103-1993 (incorporated by 
reference, see Sec.  430.3), except for section 8.2.1.3, 8.3.3.1, 
8.4.1.1, 8.4.1.1.2, 8.4.1.2, 8.4.2.1.4, 8.4.2.1.6, 8.6.1.1, 8.7.2, 
and 8.8.3; and as specified in sections 7.1 to 7.10 of this 
appendix, respectively.
    7.1 Fuel supply, gas. In conducting the tests specified herein, 
gases with characteristics as shown in Table 1 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3) shall be used. Maintain 
the gas supply, ahead of all controls for a furnace, at a test 
pressure between the normal and increased values shown in Table 1 of 
ASHRAE 103-1993. Maintain the regulator outlet pressure at a level 
approximating that recommended in the I&O

[[Page 2649]]

manual, as defined in section 2.6 of this appendix, or, in the 
absence of such recommendation, to the nominal regulator settings 
used when the product is shipped by the manufacturer. Use a gas 
having a specific gravity as shown in Table 1 of ASHRAE 103-1993 and 
with a higher heating value within 5% of the higher 
heating value shown in Table 1 of ASHRAE 103-1993. Determine the 
actual higher heating value in Btu per standard cubic foot for the 
gas to be used in the test within an error no greater than 1%.
    7.2 Installation of piping. Install piping equipment in 
accordance with the I&O manual. In the absence of such 
specification, install piping in accordance with section 8.3.1.1 of 
ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3).
    7.3 Gas burner. Adjust the burners of gas-fired furnaces and 
boilers to their maximum Btu input ratings at the normal test 
pressure specified by section 7.1 of this appendix. Correct the 
burner input rate to reflect gas characteristics at a temperature of 
60 [deg]F and atmospheric pressure of 30 in of Hg and adjust down to 
within 2 percent of the hourly Btu nameplate input 
rating specified by the manufacturer as measured during the steady-
state performance test in section 8 of this appendix. Set the 
primary air shutters in accordance with the I&O manual to give a 
good flame at this condition. If, however, the setting results in 
the deposit of carbon on the burners during any test specified 
herein, the tester shall adjust the shutters and burners until no 
more carbon is deposited and shall perform the tests again with the 
new settings (see Figure 9 of ASHRAE 103-1993 (incorporated by 
reference, see Sec.  430.3)). After the steady-state performance 
test has been started, do not make additional adjustments to the 
burners during the required series of performance tests specified in 
section 9 of ASHRAE 103-1993. If a vent-limiting means is provided 
on a gas pressure regulator, keep it in place during all tests.
    7.4 Modulating gas burner adjustment at reduced input rate. For 
gas-fired furnaces and boilers equipped with modulating-type 
controls, adjust the controls to operate the unit at the nameplate 
minimum input rate. If the modulating control is of a non-automatic 
type, adjust the control to the setting recommended in the I&O 
manual. In the absence of such recommendation, the midpoint setting 
of the non-automatic control shall be used as the setting for 
determining the reduced fuel input rate. Start the furnace or boiler 
by turning the safety control valve to the ``ON'' position. For 
boilers, use a supply water temperature that will allow for 
continuous operation without shutoff by the control. If necessary to 
achieve such continuous operation, supply water may be increased 
above 120 [deg]F; in such cases, gradually increase the supply water 
temperature to determine what minimum supply water temperature, with 
a 20 [deg]F temperature rise across the boiler, will be needed to 
adjust for the minimum input rate at the reduced input rate control 
setting. Monitor regulated gas pressure out of the modulating 
control valve (or entering the burner) to determine when no further 
reduction of gas pressure results. The flow rate of water through 
the boiler shall be adjusted to achieve a 20 [deg]F temperature 
rise.
    7.5 Oil burner. Adjust the burners of oil-fired furnaces or 
boilers to give a CO2 reading specified in the I&O manual 
and an hourly Btu input during the steady-state performance test 
described in section 8 of this appendix. Ensure the hourly BTU input 
is within 2% of the normal hourly Btu input rating as 
specified in the I&O manual. Smoke in the flue may not exceed a No. 
1 smoke during the steady-state performance test as measured by the 
procedure in ASTM D2156R13 (incorporated by reference, see Sec.  
430.3). Maintain the average draft over the fire and in the flue 
during the steady-state performance test at the value specified in 
the I&O manual. Do not allow draft fluctuations exceeding 0.005 in. 
water. Do not make additional adjustments to the burner during the 
required series of performance tests. The instruments and measuring 
apparatus for this test are described in section 6 of this appendix 
and shown in Figure 8 of ASHRAE 103-1993 (incorporated by reference, 
see Sec.  430.3).
    7.6 Adjust air throughputs to achieve a temperature rise that is 
the higher of a and b, below, unless c applies. A tolerance of 
2 [deg]F is permitted.
    a. 15 [deg]F less than the nameplate maximum temperature rise or
    b. 15 [deg]F higher than the minimum temperature rise specified 
in the I&O manual.
    c. A furnace with a non-adjustable air temperature rise range 
and an automatically controlled airflow that does not permit a 
temperature rise range of 30[deg]F or more must be tested at the 
midpoint of the rise range.
    7.7 Establish the temperature rise specified in section 7.6 of 
this appendix by adjusting the circulating airflow. This adjustment 
must be accomplished by symmetrically restricting the outlet air 
duct and varying blower speed selection to obtain the desired 
temperature rise and minimum external static pressure, as specified 
in Table 4 of ASHRAE 103-1993 (incorporated by reference, see Sec.  
430.3). If the required temperature rise cannot be obtained at the 
minimum specified external static pressure by adjusting blower speed 
selection and duct outlet restriction, then the following applies.
    a. If the resultant temperature rise is less than the required 
temperature rise, vary the blower speed by gradually adjusting the 
blower voltage so as to maintain the minimum external static 
pressure listed in Table 4 of ASHRAE 103-1993 (incorporated by 
reference, see Sec.  430.3). The airflow restrictions shall then 
remain unchanged. If static pressure must be varied to prevent 
unstable blower operation, then increase the static pressure until 
blower operation is stabilized, except that the static pressure must 
not exceed the maximum external static pressure as specified by the 
manufacturer in the I&O manual.
    b. If the resultant temperature rise is greater than the 
required temperature rise, then the unit can be tested at a higher 
temperature rise value, but one not greater than nameplate maximum 
temperature rise. In order not to exceed the maximum temperature 
rise, the speed of a direct-driven blower may be increased by 
increasing the circulating air blower motor voltage.
    7.8 Measurement of jacket surface temperature. Divide the jacket 
of the furnace or boiler into 6-inch squares when practical, and 
otherwise into 36-square-inch regions comprising 4 inch by 9 inch or 
3 inch by 12 inch sections, and determine the surface temperature at 
the center of each square or section with a surface thermocouple. 
Record the surface temperature of the 36-square-inch areas in groups 
where the temperature differential of the 36-square-inch areas is 
less than 10 [deg]F for temperature up to 100 [deg]F above room 
temperature, and less than 20 [deg]F for temperatures more than 100 
[deg]F above room temperature. For forced-air central furnaces, the 
circulating air blower compartment is considered as part of the duct 
system, and no surface temperature measurement of the blower 
compartment needs to be recorded for the purpose of this test. For 
downflow furnaces, measure all cabinet surface temperatures of the 
heat exchanger and combustion section, including the bottom around 
the outlet duct and the burner door, using the 36-square-inch 
thermocouple grid. The cabinet surface temperatures around the 
blower section do not need to be measured (See Figure 3-E of ASHRAE 
103-1993 (incorporated by reference, see Sec.  430.3)).
    7.9 Installation of vent system. Keep the vent or air intake 
system supplied by the manufacturer in place during all tests. Test 
units intended for installation with a variety of vent pipe lengths 
with the minimum vent length as specified in the I&O manual, or a 5-
ft. flue pipe if there are no recommendations in the I&O manual. Do 
not connect a furnace or boiler employing a direct vent system to a 
chimney or induced-draft source. Vent combustion products solely by 
using the venting incorporated in the furnace or boiler and the vent 
or air intake system supplied by the manufacturer. For units that 
are not designed to significantly preheat the incoming air, see 
section 7.5 of this appendix and Figure 4a or 4b of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3). For units that do 
significantly preheat the incoming air, see Figure 4c or 4d of 
ASHRAE 103-1993.
    7.10 Additional optional method of testing for determining DP 
and DF for furnaces and boilers. On units whose design is such that 
there is no measurable airflow through the combustion chamber and 
heat exchanger when the burner(s) is (are) off as determined by the 
optional test procedure in section 7.10.1 of this appendix, 
DF and DP may be set equal to 0.05.
    7.10.1 Optional test method for indicating the absence of flow 
through the heat exchanger. Manufacturers may use the following test 
protocol to determine whether air flows through the combustion 
chamber and heat exchanger when the burner(s) is (are) off. The 
minimum default draft factor (as allowed per sections 8.8.3 and 9.10 
of ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3)) may 
be used only for units determined pursuant to this protocol to have 
no airflow through the combustion chamber and heat exchanger.
    7.10.1.1 Test apparatus. Use a smoke stick that produces smoke 
that is easily visible and has a density less than or approximately 
equal to air. Use a smoke stick that produces smoke that is non-
toxic to the test personnel and produces gas that is

[[Page 2650]]

unreactive with the environment in the test chamber.
    7.10.1.2 Test conditions. Minimize all air currents and drafts 
in the test chamber, including turning off ventilation if the test 
chamber is mechanically ventilated. Wait at least two minutes 
following the termination of the furnace or boiler on-cycle before 
beginning the optional test method for indicating the absence of 
flow through the heat exchanger.
    7.10.1.3 Location of the test apparatus. After all air currents 
and drafts in the test chamber have been eliminated or minimized, 
position the smoke stick based on the following equipment 
configuration: (a) For horizontal combustion air intakes, 
approximately 4 inches from the vertical plane at the termination of 
the intake vent and 4 inches below the bottom edge of the combustion 
air intake; or (b) for vertical combustion air intakes, 
approximately 4 inches horizontal from vent perimeter at the 
termination of the intake vent and 4 inches down (parallel to the 
vertical axis of the vent). In the instance where the boiler 
combustion air intake is closer than 4 inches to the floor, place 
the smoke device directly on the floor without impeding the flow of 
smoke.
    7.10.1.4 Duration of test. Establish the presence of smoke from 
the smoke stick and then monitor the direction of the smoke flow for 
no less than 30 seconds.
    7.10.1.5 Test results. During visual assessment, determine 
whether there is any draw of smoke into the combustion air intake 
vent.
    If absolutely no smoke is drawn into the combustion air intake, 
the furnace or boiler meets the requirements to allow use of the 
minimum default draft factor pursuant to section 8.8.3 and/or 
section 9.10 of ASHRAE 103-1993 (incorporated by reference, see 
Sec.  430.3).
    If there is any smoke drawn into the intake, proceed with the 
methods of testing as prescribed in section 8.8 of ASHRAE 103-1993.
    8.0 Test procedure. Conduct testing and measurements as 
specified in section 9 of ASHRAE 103-1993 (incorporated by 
reference, see Sec.  430.3) except for sections 9.1.2.2.1, 
9.1.2.2.2, 9.5.1.1, 9.5.1.2.1, 9.5.1.2.2, 9.5.2.1, 9.7.4, and 9.10; 
and as specified in sections 8.1 through 8.11 of this appendix. 
Section 8.4 of this appendix may be used in lieu of section 9.2 of 
ASHRAE 103-1993.
    8.1 Fuel input. For gas units, measure and record the steady-
state gas input rate in Btu/hr, including pilot gas, corrected to 
standard conditions of 60 [deg]F and 30 in. Hg. Use measured values 
of gas temperature and pressure at the meter and barometric pressure 
to correct the metered gas flow rate to the above standard 
conditions. For oil units, measure and record the steady-state fuel 
input rate.
    8.2 Electrical input. For furnaces and boilers, during the 
steady-state test, perform a single measurement of all of the 
electrical power involved in burner operation (PE), including 
energizing the ignition system, controls, gas valve or oil control 
valve, and draft inducer, if applicable. For boilers, the 
measurement of PE must include the boiler pump if so equipped. If 
the boiler pump does not operate during the measurement of PE, add 
the boiler pump nameplate power to the measurement of PE. If the 
boiler pump nameplate power is not available, use 0.13 kW.
    For furnaces, during the steady-state test, perform a single 
measurement of the electrical power to the circulating air blower 
(BE). For hot water boilers, use the circulating water pump 
nameplate power for BE, or if the pump nameplate power is not 
available, use 0.13 kW.
    8.3 Input to interrupted ignition device. For burners equipped 
with an interrupted ignition device, record the nameplate electric 
power used by the ignition device, PEIG, or record that 
PEIG = 0.4 kW if no nameplate power input is provided. 
Record the nameplate ignition device on-time interval, 
tIG, or, if the nameplate does not provide the ignition 
device on-time interval, measure the on-time interval with a 
stopwatch at the beginning of the test, starting when the burner is 
turned on. Set tIG = 0 and PEIG = 0 if the 
device on-time interval is less than or equal to 5 seconds after the 
burner is on.
    8.4 Optional test procedures for condensing furnaces and 
boilers, measurement of condensate during the establishment of 
steady-state conditions. For units with step-modulating or two-stage 
controls, conduct the test at both the maximum and reduced inputs. 
In lieu of collecting the condensate immediately after the steady 
state conditions have been reached as required by section 9.2 of 
ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3), 
condensate may be collected during the establishment of steady state 
conditions as defined by section 9.1.2.1 of ASHRAE 103-1993. Perform 
condensate collection for at least 30 minutes. Measure condensate 
mass immediately at the end of the collection period to prevent 
evaporation loss from the sample. Record fuel input for the 30-
minute condensate collection test period. Observe and record fuel 
higher heating value (HHV), temperature, and pressures necessary for 
determining fuel energy input (Qc,ss). Measure the fuel quantity and 
HHV with errors no greater than 1%. The humidity for the room air 
shall at no time exceed 80%. Determine the mass of condensate for 
the establishment of steady state conditions (Mc,ss) in pounds by 
subtracting the tare container weight from the total container and 
condensate weight measured at the end of the 30-minute condensate 
collection test period.
    8.5 Cool-down test for gas- and oil-fueled gravity and forced-
air central furnaces without stack dampers. Turn off the main burner 
after completing steady-state testing, and measure the flue gas 
temperature by means of the thermocouple grid described in section 
7.6 of ASHRAE 103-1993 (incorporated by reference, see Sec.  430.3) 
at 1.5 minutes (TF,OFF(t3)) and 9 minutes 
(TF,OFF(t4)) after shutting off the burner. 
When taking these temperature readings, the integral draft diverter 
must remain blocked and insulated, and the stack restriction must 
remain in place. On atmospheric systems with an integral draft 
diverter or draft hood and equipped with either an electromechanical 
inlet damper or an electromechanical flue damper that closes within 
10 seconds after the burner shuts off to restrict the flow through 
the heat exchanger in the off-cycle, bypass or adjust the control 
for the electromechanical damper so that the damper remains open 
during the cool-down test.
    For furnaces that employ post-purge, measure the length of the 
post-purge period with a stopwatch. Record the time from burner 
``OFF'' to combustion blower ``OFF'' (electrically de-energized) as 
tP. If the measured tP is less than or equal 
to 30 seconds, set tP at 0 and conduct the cool-down test 
as if there is no post-purge. If tP is prescribed by the 
I&O manual or measured to be greater than 180 seconds, stop the 
combustion blower at 180 seconds and use that value for 
tP. Measure the flue gas temperature by means of the 
thermocouple grid described in section 7.6 of ASHRAE 103-1993 at the 
end of the post-purge period, tP(TF,OFF 
(tP)), and at the time (1.5 + tP) minutes 
(TF,OFF(t3)) and (9.0 + tP) minutes 
(TF,OFF(t4)) after the main burner shuts off.
    8.6 Cool-down test for gas- and oil-fueled gravity and forced-
air central furnaces without stack dampers and with adjustable fan 
control. For a furnace with adjustable fan control, measure the time 
delay between burner shutdown and blower shutdown, t\+\. This time 
delay, t\+\, will be 3.0 minutes for non-condensing furnaces or 1.5 
minutes for condensing furnaces or until the supply air temperature 
drops to a value of 40[emsp14][deg]F above the inlet air 
temperature, whichever results in the longest fan on-time. For a 
furnace without adjustable fan control or with the type of 
adjustable fan control whose range of adjustment does not allow for 
the time delay, t\+\, specified above, bypass the fan control and 
manually control the fan to allow for the appropriate delay time as 
specified in section 9.5.1.2 of ASHRAE 103-1993 (incorporated by 
reference, see Sec.  430.3). For a furnace that employs a single 
motor to drive both the power burner and the indoor air circulating 
blower, the power burner and indoor air circulating blower must be 
stopped at the same time
    8.7 Cool-down test for gas- and oil-fueled boilers without stack 
dampers. After steady-state testing has been completed, turn the 
main burner(s) ``OFF'' and measure the flue gas temperature at 3.75 
minutes (temperature designated as TF,OFF(t3)) 
and 22.5 minutes (temperature designated as 
TF,OFF(t4)) after the burner shut-off using 
the thermocouple grid described in section 7.6 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3).
    a. During this off-period, for units that do not have pump delay 
after shut-off, do not allow any water to circulate through the hot 
water boilers.
    b. For units that have pump delay on shut-off, except those 
having pump controls sensing water temperature, the unit control 
must stop the pump. Measure and record the time between burner shut-
off and pump shut-off (t\+\) to the nearest second.
    c. For units having pump delay controls that sense water 
temperature, operate the pump for 15 minutes and record t\+\ as 15 
minutes. While the pump is operating, maintain the inlet water 
temperature and

[[Page 2651]]

flow rate at the same values as used during the steady-state test, 
as specified in sections 9.1 and 8.4.2.3 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3).
    d. For boilers that employ post-purge, measure the length of the 
post-purge period with a stopwatch. Record the time from burner 
``OFF'' to combustion blower ``OFF'' (electrically de-energized) as 
tP. If tP is prescribed by the I&O manual or 
measured to be greater than 180 seconds, stop the combustion blower 
at 180 seconds and use that value for tP. Measure the 
flue gas temperature by means of the thermocouple grid described in 
section 7.6 of ASHRAE 103-1993 at the end of the post-purge period 
tP (TF,OFF(tP)) and at (3.75 + 
tP) minutes (TF,OFF(t3)) and (22.5 
+ tP) minutes (TF,OFF(t4)) after 
the main burner shuts off. If the measured tP is less 
than or equal to 30 seconds, record tP as 0 and conduct 
the cool-down test as if there is no post-purge.
    8.8 Direct measurement of off-cycle losses testing method. 
[Reserved.]
    8.9 Calculation options. The rate of the flue gas mass flow 
through the furnace and the factors DP, DF, 
and DS are calculated by the equations in sections 
11.6.1, 11.6.2, 11.6.3, 11.6.4, 11.7.1, and 11.7.2 of ASHRAE 103-
1993 (incorporated by reference, see Sec.  430.3). On units whose 
design is such that there is no measurable airflow through the 
combustion chamber and heat exchanger when the burner(s) is (are) 
off (as determined by the optional test procedure in section 7.10 of 
this appendix), DF and DP may be set equal to 
0.05.
    8.10 Optional test procedures for condensing furnaces and 
boilers that have no off-period flue losses. For units that have 
applied the test method in section 7.10 of this appendix to 
determine that no measurable airflow exists through the combustion 
chamber and heat exchanger during the burner off-period and having 
post-purge periods of less than 5 seconds, the cool-down and heat-up 
tests specified in sections 9.5 and 9.6 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3) may be omitted. 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 
section 9.1 of ASHRAE 103-1993 when calculating heating seasonal 
efficiency, EffyHS.
    8.11 Measurement of electrical standby and off mode power.
    8.11.1 Standby power measurement. With all electrical 
auxiliaries of the furnace or boiler not activated, measure the 
standby power (PW,SB) in accordance with the procedures 
in IEC 62301 (incorporated by reference, see Sec.  430.3), except 
that section 8.5, Room Ambient Temperature, of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3) and the voltage 
provision of section 8.2.1.4, Electrical Supply, of ASHRAE 103-1993 
shall apply in lieu of the corresponding provisions of IEC 62301 at 
section 4.2, Test room, and the voltage specification of section 
4.3, Power supply. Frequency shall be 60Hz. Clarifying further, IEC 
62301 section 4.4, Power measurement instruments, and section 5, 
Measurements, apply in lieu of ASHRAE 103-1993 section 6.10, Energy 
Flow Rate. Measure the wattage so that all possible standby mode 
wattage for the entire appliance is recorded, not just the standby 
mode wattage of a single auxiliary. Round the recorded standby power 
(PW,SB) to the second decimal place, except for loads 
greater than or equal to 10W, which must be recorded to at least 
three significant figures.
    8.11.2 Off mode power measurement. If the unit is equipped with 
an off switch or there is an expected difference between off mode 
power and standby mode power, measure off mode power 
(PW,OFF) in accordance with the standby power 
procedures in IEC 62301 (incorporated by reference, see Sec.  
430.3), except that section 8.5, Room Ambient Temperature, of ASHRAE 
103-1993 (incorporated by reference, see Sec.  430.3) and the 
voltage provision of section 8.2.1.4, Electrical Supply, of ASHRAE 
103-1993 shall apply in lieu of the corresponding provisions of IEC 
62301 at section 4.2, Test room, and the voltage specification of 
section 4.3, Power supply. Frequency shall be 60Hz. Clarifying 
further, IEC 62301 section 4.4, Power measurement instruments, and 
section 5, Measurements, apply for this measurement in lieu of 
ASHRAE 103-1993 section 6.10, Energy Flow Rate. Measure the wattage 
so that all possible off mode wattage for the entire appliance is 
recorded, not just the off mode wattage of a single auxiliary. If 
there is no expected difference in off mode power and standby mode 
power, let PW,OFF = PW,SB, in which case no 
separate measurement of off mode power is necessary. Round the 
recorded off mode power (PW,OFF) to the second decimal 
place, except for loads greater than or equal to 10W, in which case 
round the recorded value to at least three significant figures.
    9.0 Nomenclature. Nomenclature includes the nomenclature 
specified in section 10 of ASHRAE 103-1993 (incorporated by 
reference, see Sec.  430.3) and the following additional variables:

Effmotor = Efficiency of power burner motor
PEIG = Electrical power to the interrupted ignition 
device, kW
RT,a = RT,F if flue gas is measured
    = RT,S if stack gas is measured
RT,F = Ratio of combustion air mass flow rate to 
stoichiometric air mass flow rate
RT,S = Ratio of the sum of combustion air and relief air 
mass flow rate to stoichiometric air mass flow rate
tIG = Electrical interrupted ignition device on-time, 
min.
Ta,SS,X = TF,SS,X if flue gas temperature is 
measured, [deg]F
    = TS,SS,X if stack gas temperature is measured, 
[deg]F
yIG = Ratio of electrical interrupted ignition device on-
time to average burner on-time
yP = Ratio of power burner combustion blower on-time to 
average burner on-time
ESO = Average annual electric standby mode and off mode 
energy consumption, in kilowatt-hours
PW,OFF = Furnace or boiler off mode power, in watts
PW,SB = Furnace or boiler standby mode power, in watts

    10.0 Calculation of derived results from test measurements. 
Perform calculations as specified in section 11 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3), except for sections 
11.5.11.1, 11.5.11.2, and appendices B and C; and as specified in 
sections 10.1 through 10.11 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 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 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 outdoors, that non-
weatherized warm air furnaces are installed as isolated combustion 
systems, and that non-weatherized boilers are installed indoors.

    10.2 Part-load efficiency at reduced fuel input rate. If the 
option in section 8.10 of this appendix is not employed, 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] TR15JA16.016


[[Page 2652]]


    If the option in section 8.10 of this appendix is employed, 
calculate EffyU,R as follows:
[GRAPHIC] [TIFF OMITTED] TR15JA16.017

Where:
LL,A = value as defined in section 11.2.7 of ASHRAE 103-
1993 (incorporated by reference, see Sec.  430.3)
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 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 
isolated combustion system applications
LS,SS = value as defined in section 11.4.6 of ASHRAE 103-
1993 at reduced input rate,
CS = value as defined in section 11.3.10.1 of ASHRAE 103-
1993 at reduced input rate.

    10.3 Part-Load Efficiency at Maximum Fuel Input Rate. If the 
option in section 8.10 of this appendix is not employed, calculate 
the part-load efficiency at maximum fuel input rate, 
EffyU,H, for condensing furnaces and boilers equipped 
with two-stage controls, expressed as a percent and defined as:
[GRAPHIC] [TIFF OMITTED] TR15JA16.014

    If the option in section 8.10 of this appendix is employed, 
calculate EffyU,H as follows:
[GRAPHIC] [TIFF OMITTED] TR15JA16.015

Where:

LL,A = value as defined in section 11.2.7 of ASHRAE 103-
1993 (incorporated by reference, see Sec.  430.3),
LG = value as defined in section 11.3.11.1 of ASHRAE 103-
1 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,
QP = pilot 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 11.4.6 of ASHRAE 103-
1993 at maximum input rate,
CS = value as defined in section 11.4.10.1 of ASHRAE 103-
1993 at maximum input rate.

    10.4 National average burner operating hours, average annual 
fuel energy consumption, and average annual auxiliary electrical 
energy consumption for gas or oil furnaces and boilers.
    10.4.1 National average number of burner operating hours. For 
furnaces and boilers equipped with single-stage controls, the 
national average number of burner operating hours is defined as:


[[Page 2653]]


BOHSS = 2,080 (0.77) (A) DHR - 2,080 (B)

Where:

2,080 = national average heating load hours
0.77 = adjustment factor to adjust the calculated design heating 
requirement and heating load hours to the actual heating load 
experienced by the heating system
A = 100,000/[341,300 (yP PE + yIG 
PEIG + y BE) + (QIN - QP) 
EffyHS], for forced draft unit, indoors
    = 100,000/[341,300 (yP PE Effmotor + 
yIG PEIG + y BE) + (QIN - 
QP) EffyHS], for forced draft unit, isolated 
combustion system,
    = 100,000/[341,300 (yP PE (1 - Effmotor) + 
yIG PEIG + y BE) + (QIN - 
QP) EffyHS], for induced draft unit, indoors, 
and
    = 100,000/[341,300 (yIG PEIG + y BE) + 
(QIN - QP) EffyHS], for induced 
draft unit, isolated combustion system.
DHR = typical design heating requirements as listed in Table 8 (in 
kBtu/h) of ASHRAE 103-1993 (incorporated by reference, see Sec.  
430.3), using the proper value of QOUT defined in 
11.2.8.1 of ASHRAE 103-1993.
B = 2 QP (EffyHS) (A)/100,000

Where:

Effmotor = nameplate power burner motor efficiency 
provided by the manufacturer,
    = 0.50, an assumed default power burner efficiency if not 
provided by the manufacturer.
100,000 = factor that accounts for percent and kBtu
yP = ratio of induced or forced draft blower on-time to 
average burner on-time, as follows:
    1 for units without post-purge;
    1 + (tP/3.87) for single stage furnaces with post 
purge;
    1 + (tP/10) for two-stage and step modulating 
furnaces with post purge;
    1 + (tP/9.68) for single stage boilers with post 
purge; or
    1 + (tP/15) for two stage and step modulating boilers 
with post purge.
PE = all electrical power related to burner operation at full load 
steady-state operation, including electrical ignition device if 
energized, controls, gas valve or oil control valve, draft inducer, 
and boiler pump, as determined in section 8.2 of this appendix.
yIG = ratio of burner interrupted ignition device on-time 
to average burner on-time, as follows:
    0 for burners not equipped with interrupted ignition device;
    (tIG/3.87) for single-stage furnaces or boilers;
    (tIG/10) for two-stage and step modulating furnaces;
    (tIG/9.68) for single stage boilers; or
    (tIG/15) for two stage and step modulating boilers.
PEIG = electrical input rate to the interrupted ignition 
device on burner (if employed), as defined in section 8.3 of this 
appendix
y = ratio of blower or pump on-time to average burner on-time, as 
follows:
    1 for furnaces without fan delay or boilers without a pump 
delay;
    1 + (t\+\ - t-)/3.87 for single-stage furnaces with 
fan delay;
    1 + (t\+\ - t-)/10 for two-stage and step modulating 
furnaces with fan delay;
    1 + (t\+\/9.68) for single-stage boilers with pump delay;
    1 + (t\+\/1.5) for two-stage and step modulating boilers with 
pump delay.
BE = circulating air fan or water pump electrical energy input rate 
at full-load steady-state operation as defined in section 8.2 of 
this appendix.
tP = post-purge time as defined in section 8.5 (furnace) 
or section 8.7 (boiler) of this appendix
    = 0 if tP is equal to or less than 30 second
tIG = on-time of the burner interrupted ignition device, 
as defined in section 8.3 of this appendix
QIN = as defined in section 11.2.8.1 of ASHRAE 103-1993
QP = as defined in section 11.2.11 of ASHRAE 103-1993
EffyHS = as defined in section 11.2.11 (non-condensing 
systems) or section 11.3.11.3 (condensing systems) of ASHRAE 103-
1993, percent, and calculated on the basis of:
    isolated combustion system installation, for non-weatherized 
warm air furnaces;
    indoor installation, for non-weatherized boilers; or
    outdoor installation, for furnaces and boilers that are 
weatherized.
2 = ratio of the average length of the heating season in hours to 
the average heating load hours
t\+\ = delay time between burner shutoff and the blower or pump 
shutoff measured as defined in section 9.5.1.2 of ASHRAE 103-1993 
(furnace) or section 8.7 of this appendix (boiler).
t- = as defined in section 9.6.1 of ASHRAE 103-1993

    10.4.1.1 For furnaces and boilers equipped with two stage or 
step modulating controls the average annual energy used during the 
heating season, EM, is defined as:

EM = (QIN - QP) BOHSS + 
(8,760 - 4,600) QP

Where:

QIN = as defined in 11.4.8.1.1 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)
QP = as defined in 11.4.12 of ASHRAE 103-1993
BOHSS = as defined in section 10.4.1 of this appendix, in 
which the weighted EffyHS as defined in 11.4.11.3 or 
11.5.11.3 of ASHRAE 103-1993 is used for calculating the values of A 
and B, the term DHR is based on the value of QOUT defined 
in 11.4.8.1.1 or 11.5.8.1.1 of ASHRAE 103-1993, and the term 
(yPPE + yIGPEIG + yBE) in the 
factor A is increased by the factor R, which is defined as:
R = 2.3 for two stage controls
    = 2.3 for step modulating controls when the ratio of minimum-to-
maximum output is greater than or equal to 0.5
    = 3.0 for step modulating controls when the ratio of minimum-to-
maximum output is less than 0.5
A = 100,000/[341,300 (yP PE + yIG 
PEIG + y BE) R + (QIN - QP) 
EffyHS], for forced draft unit, indoors
    = 100,000/[341,300 (yP PE Effmotor + 
yIG PEIG + y BE) R + (QIN - 
QP) EffyHS], for forced draft unit, isolated 
combustion system,
    = 100,000/[341,300 (yP PE (1 - Effmotor) + 
yIG PEIG + y BE) R + (QIN - 
QP) EffyHS], for induced draft unit, indoors, 
and
    = 100,000/[341,300 (yIG PEIG + y BE) R + 
(QIN - QP) EffyHS], for induced 
draft unit, isolated combustion system.

Where:

Effmotor = nameplate power burner motor efficiency 
provided by the manufacturer,
    = 0.50, an assumed default power burner efficiency if not 
provided by the manufacturer.
EffyHS = as defined in 11.4.11.3 or 11.5.11.3 of ASHRAE 
103-1993, and calculated on the basis of:
    isolated combustion system installation, for non-weatherized 
warm air furnaces;
    indoor installation, for non-weatherized boilers; or
    outdoor installation, for furnaces and boilers that are 
weatherized.
8,760 = total number of hours per year
4,600 = as defined in 11.4.12 of ASHRAE 103-1993
    10.4.1.2 For furnaces and boilers equipped with two-stage or 
step-modulating controls, the national average number of burner 
operating hours at the reduced operating mode (BOHR) is 
defined as:

BOHR = XR EM/QIN,R

Where:

XR = as defined in 11.4.8.7 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)
EM = as defined in section 10.4.1.1 of this appendix
QIN,R = as defined in 11.4.8.1.2 of ASHRAE 103-1993

    10.4.1.3 For furnaces and boilers equipped with two-stage 
controls, the national average number of burner operating hours at 
the maximum operating mode (BOHH) is defined as:

BOHH = XH EM/QIN

Where:

XH = as defined in 11.4.8.6 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)
EM = as defined in section 10.4.1.1 of this appendix
QIN = as defined in section 11.4.8.1.1 of ASHRAE 103-1993

    10.4.1.4 For furnaces and boilers equipped with step-modulating 
controls, the national average number of burner operating hours at 
the modulating operating mode (BOHM) is defined as:

BOHM = XH EM/QIN,M

Where:

XH = as defined in 11.4.8.6 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)
EM = as defined in section 10.4.1.1 of this appendix
QIN,M = QOUT,M/(EffySS,M/100)
QOUT,M = as defined in 11.4.8.10 or 11.5.8.10 of ASHRAE 
103-1993, as appropriate
EffySS,M = as defined in 11.4.8.8 or 11.5.8.8 of ASHRAE 
103-1993, as appropriate, in percent

[[Page 2654]]

100 = factor that accounts for percent

    10.4.2 Average annual fuel energy consumption for gas or oil 
fueled furnaces or boilers. For furnaces or boilers equipped with 
single-stage controls, the average annual fuel energy consumption 
(EF) is expressed in Btu per year and defined as:

EF = BOHSS (QIN - QP) + 
8,760 QP

Where:

BOHSS = as defined in section 10.4.1 of this appendix
QIN = as defined in section 11.2.8.1 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)
QP = as defined in section 11.2.11 of ASHRAE 103-1993
8,760 = as defined in section 10.4.1.1 of this appendix

    10.4.2.1 For furnaces or boilers equipped with either two-stage 
or step modulating controls, EF is defined as:

EF = EM + 4,600 QP

Where:

EM = as defined in section 10.4.1.1 of this appendix
4,600 = as defined in section 11.4.12 of ASHRAE 103-1993
QP = as defined in section 11.2.11 of ASHRAE 103-1993

    10.4.3 Average annual auxiliary electrical energy consumption 
for gas or oil-fueled furnaces or boilers. For furnaces and boilers 
equipped with single-stage controls, the average annual auxiliary 
electrical consumption (EAE) is expressed in kilowatt-
hours and defined as:

EAE = BOHSS (yP PE + yIG 
PEIG + yBE) + ESO

Where:

BOHSS = as defined in section 10.4.1 of this appendix
yP = as defined in section 10.4.1 of this appendix
PE = as defined in section 10.4.1 of this appendix
yIG = as defined in section 10.4.1 of this appendix
PEIG = as defined in section 10.4.1 of this appendix
y = as defined in section 10.4.1 of this appendix
BE = as defined in section 10.4.1 of this appendix
ESO = as defined in section 10.11 of this appendix

    10.4.3.1 For furnaces or boilers equipped with two-stage 
controls, EAE is defined as:

EAE = BOHR (yP PER + 
yIG PEIG + yBER) + BOHH 
(yP PEH + yIG PEIG + y 
BEH) + ESO

Where:

BOHR = as defined in section 10.4.1.2 of this appendix
yP = as defined in section 10.4.1 of this appendix
PER = as defined in section 8.2 of this appendix and 
measured at the reduced fuel input rate
yIG = as defined in section 10.4.1 of this appendix
PEIG = as defined in section 10.4.1 of this appendix
y = as defined in section 10.4.1 of this appendix
BER = as defined in section 8.2 of this appendix and 
measured at the reduced fuel input rate
BOHH = as defined in section 10.4.1.3 of this appendix
PEH = as defined in section 8.2 of this appendix and 
measured at the maximum fuel input rate
BEH = as defined in section 8.2 of this appendix and 
measured at the maximum fuel input rate
ESO = as defined in section 10.11 of this appendix

    10.4.3.2 For furnaces or boilers equipped with step-modulating 
controls, EAE is defined as:

EAE = BOHR (yP PER + 
yIG PEIG + y BER) + BOHM 
(yP PEH + yIG PEIG + y 
BEH) + ESO

Where:

BOHR = as defined in section 10.4.1.2 of this appendix
yP = as defined in section 10.4.1 of this appendix
PER = as defined in section 8.2 of this appendix and 
measured at the reduced fuel input rate
yIG = as defined in section 10.4.1 of this appendix
PEIG = as defined in section 10.4.1 of this appendix
y = as defined in section 10.4.1 of this appendix
BER = as defined in section 8.2 of this appendix and 
measured at the reduced fuel input rate
BOHM = as defined in 10.4.1.4 of this appendix
PEH = as defined in section 8.2 of this appendix and 
measured at the maximum fuel input rate
BEH = as defined in section 8.2 of this appendix and 
measured at the maximum fuel input rate
ESO = as defined in section 10.11 of this appendix

    10.5 Average annual electric energy consumption for electric 
furnaces or boilers. For electric furnaces and boilers, the average 
annual electrical energy consumption (EE) is expressed in 
kilowatt-hours and defined as:

EE = 100 (2,080) (0.77) DHR/(3.412 AFUE) + ESO

Where:

100 = to express a percent as a decimal
2,080 = as defined in section 10.4.1 of this appendix
0.77 = as defined in section 10.4.1 of this appendix
DHR = as defined in section 10.4.1 of this appendix
3.412 = conversion factor from watt-hours to Btu
AFUE = as defined in section 11.1 of ASHRAE 103-1993 (incorporated 
by reference, see Sec.  430.3), in percent, and calculated on the 
basis of:
    isolated combustion system installation, for non-weatherized 
warm air furnaces;
    indoor installation, for non-weatherized boilers; or
    outdoor installation, for furnaces and boilers that are 
weatherized.
ESO = as defined in section 10.11 of this appendix.

    10.6 Energy factor.
    10.6.1 Energy factor for gas or oil furnaces and boilers. 
Calculate the energy factor, EF, for gas or oil furnaces and boilers 
defined as, in percent:

EF = (EF - 4,600 (QP))(EffyHS)/
(EF + 3,412 (EAE))

Where:

EF = average annual fuel consumption as defined in 
section 10.4.2 of this appendix
4,600 = as defined in section 11.4.12 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)
QP = pilot fuel input rate determined in accordance with 
section 9.2 of ASHRAE 103-1993 in Btu/h
EffyHS = annual fuel utilization efficiency as defined in 
sections 11.2.11, 11.3.11, 11.4.11 or 11.5.11 of ASHRAE 103-1993, in 
percent, and calculated on the basis of:
    isolated combustion system installation, for non-weatherized 
warm air furnaces;
    indoor installation, for non-weatherized boilers; or
    outdoor installation, for furnaces and boilers that are 
weatherized.
3,412 = conversion factor from kW to Btu/h
EAE = as defined in section 10.4.3 of this appendix

    10.6.2 Energy factor for electric furnaces and boilers. The 
energy factor, EF, for electric furnaces and boilers is defined as:

EF = AFUE

Where:

AFUE = annual fuel utilization efficiency as defined in section 
10.4.3 of this appendix, in percent

    10.7 Average annual energy consumption for furnaces and boilers 
located in a different geographic region of the United States and in 
buildings with different design heating requirements.
    10.7.1 Average annual fuel energy consumption for gas or oil-
fueled furnaces and boilers located in a different geographic region 
of the United States and in buildings with different design heating 
requirements. For gas or oil-fueled furnaces and boilers, the 
average annual fuel energy consumption for a specific geographic 
region and a specific typical design heating requirement 
(EFR) is expressed in Btu per year and defined as:

EFR = (EF - 8,760 QP) (HLH/2,080) + 
8,760 QP

Where:

EF = as defined in section 10.4.2 of this appendix
8,760 = as defined in section 10.4.1.1 of this appendix
QP = as defined in section 11.2.11 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)
HLH = heating load hours for a specific geographic region determined 
from the heating load hour map in Figure 1 of this appendix
2,080 = as defined in section 10.4.1 of this appendix

    10.7.2 Average annual auxiliary electrical energy consumption 
for gas or oil-fueled furnaces and boilers located in a different 
geographic region of the United States and in

[[Page 2655]]

buildings with different design heating requirements. For gas or 
oil-fueled furnaces and boilers, the average annual auxiliary 
electrical energy consumption for a specific geographic region and a 
specific typical design heating requirement (EAER) is 
expressed in kilowatt-hours and defined as:

EAER = (EAE - ESO) (HLH/2080) + 
ESOR

Where:

EAE = as defined in section 10.4.3 of this appendix
ESO = as defined in section 10.11 of this appendix
HLH = as defined in section 10.7.1 of this appendix
2,080 = as defined in section 10.4.1 of this appendix
ESOR = as defined in section 10.7.3 of this appendix.

    10.7.3 Average annual electric energy consumption for electric 
furnaces and boilers located in a different geographic region of the 
United States and in buildings with different design heating 
requirements. For electric furnaces and boilers, the average annual 
electric energy consumption for a specific geographic region and a 
specific typical design heating requirement (EER) is 
expressed in kilowatt-hours and defined as:

EER = 100 (0.77) DHR HLH/(3.412 AFUE) + ESOR

Where:

100 = as defined in section 10.4.3 of this appendix
0.77 = as defined in section 10.4.1 of this appendix
DHR = as defined in section 10.4.1 of this appendix
HLH = as defined in section 10.7.1 of this appendix
3.412 = as defined in section 10.4.3 of this appendix
AFUE = as defined in section 10.4.3 of this appendix
ESOR = ESO as defined in section 10.11 of this 
appendix, except that in the equation for ESO, the term 
BOH is multiplied by the expression (HLH/2080) to get the 
appropriate regional accounting of standby mode and off mode loss.

    10.8 Annual energy consumption for mobile home furnaces
    10.8.1 National average number of burner operating hours for 
mobile home furnaces (BOHSS). BOHSS is the same as in 
section 10.4.1 of this appendix, except that the value of 
EffyHS in the calculation of the burner operating hours, 
BOHSS, is calculated on the basis of a direct vent unit 
with system number 9 or 10.
    10.8.2 Average annual fuel energy for mobile home furnaces (EF). 
EF is same as in section 10.4.2 of this appendix except 
that the burner operating hours, BOHSS, is calculated as 
specified in section 10.8.1 of this appendix.
    10.8.3 Average annual auxiliary electrical energy consumption 
for mobile home furnaces (EAE). EAE is the same as in 
section 10.4.3 of this appendix, except that the burner operating 
hours, BOHSS, is calculated as specified in section 
10.8.1 of this appendix.
    10.9 Calculation of sales weighted average annual energy 
consumption for mobile home furnaces. To reflect the distribution of 
mobile homes to geographical regions with average HLHMHF 
values different from 2,080, adjust the annual fossil fuel and 
auxiliary electrical energy consumption values for mobile home 
furnaces using the following adjustment calculations.
    10.9.1 For mobile home furnaces, the sales weighted average 
annual fossil fuel energy consumption is expressed in Btu per year 
and defined as:
EF,MHF = (EF - 8,760 QP) 
HLHMHF/2,080 + 8,760 QP

Where:

EF = as defined in section 10.8.2 of this appendix
8,760 = as defined in section 10.4.1.1 of this appendix
QP = as defined in section 10.2 of this appendix
HLHMHF = 1880, sales weighted average heating load hours 
for mobile home furnaces
2,080 = as defined in section 10.4.1 of this appendix

    10.9.2 For mobile home furnaces, the sales-weighted-average 
annual auxiliary electrical energy consumption is expressed in 
kilowatt-hours and defined as:

EAE,MHF = EAE HLHMHF/2,080

Where:

EAE = as defined in section 10.8.3 of this appendix
HLHMHF = as defined in section 10.9.1 of this appendix
2,080 = as defined in section 10.4.1 of this appendix

    10.10 Direct determination of off-cycle losses for furnaces and 
boilers equipped with thermal stack dampers. [Reserved.]
    10.11 Average annual electrical standby mode and off mode energy 
consumption. Calculate the annual electrical standby mode and off 
mode energy consumption (ESO) in kilowatt-hours, defined 
as:

ESO = (PW,SB (4160 - BOH) + 4600 
PW,OFF) K
Where:

PW,SB = furnace or boiler standby mode power, in watts, 
as measured in section 8.11.1 of this appendix
4,160 = average heating season hours per year
BOH = total burner operating hours as calculated in section 10.4 of 
this appendix for gas or oil-fueled furnaces or boilers. Where for 
gas or oil-fueled furnaces and boilers equipped with single-stage 
controls, BOH = BOHSS; for gas or oil-fueled furnaces and 
boilers equipped with two-stage controls, BOH = (BOHR + 
BOHH); and for gas or oil-fueled furnaces and boilers 
equipped with step-modulating controls, BOH = (BOHR + 
BOHM). For electric furnaces and boilers, BOH = 
100(2080)(0.77)DHR/(Ein 3.412(AFUE))
4,600 = as defined in section 11.4.12 of ASHRAE 103-1993 
(incorporated by reference, see Sec.  430.3)
PW,OFF = furnace or boiler off mode power, in watts, as 
measured in section 8.11.2 of this appendix
K = 0.001 kWh/Wh, conversion factor from watt-hours to kilowatt-
hours

Where:

100 = to express a percent as a decimal
2,080 = as defined in section 10.4.1 of this appendix
0.77 = as defined in section 10.4.1 of this appendix
DHR = as defined in section 10.4.1 of this appendix
Ein = steady-state electric rated power, in kilowatts, 
from section 9.3 of ASHRAE 103-1993
3.412 = as defined in section 10.4.3 of this appendix
AFUE = as defined in section 11.1 of ASHRAE 103-1993 in percent

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[GRAPHIC] [TIFF OMITTED] TR15JA16.018

[FR Doc. 2016-00040 Filed 1-14-16; 8:45 am]
BILLING CODE 6450-01-P