Energy Conservation Program for Consumer Products and Certain Commercial and Industrial Equipment: Test Procedures for Consumer and Commercial Water Heaters, 96204-96239 [2016-29994]
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Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
DEPARTMENT OF ENERGY
10 CFR Parts 429, 430, and 431
[Docket No. EERE–2015–BT–TP–0007]
RIN 1904–AC91
Energy Conservation Program for
Consumer Products and Certain
Commercial and Industrial Equipment:
Test Procedures for Consumer and
Commercial Water Heaters
Office of Energy Efficiency and
Renewable Energy, Department of
Energy.
ACTION: Final rule.
AGENCY:
The U.S. Department of
Energy (DOE), in this final rule,
establishes mathematical conversion
factors to translate the current energy
conservation standards and the
measured values determined under the
energy factor, thermal efficiency, and
standby loss test procedures for
consumer water heaters and certain
commercial water heaters to those
determined under the more recently
adopted uniform energy factor test
procedure. As required by the Energy
Policy and Conservation Act of 1975
(EPCA), as amended, DOE initially
presented proposals for establishing a
mathematical conversion factor in a
notice of proposed rulemaking (NOPR)
published on April 14, 2015 (April 2015
NOPR). Upon further analysis and
review of the public comments received
in response to the April 2015 NOPR,
DOE published a supplemental notice of
proposed rulemaking on August 30,
2016 (August 2016 SNOPR). These
proposed rulemakings serve as the basis
for the final rule.
DATES: The effective date of this rule is
December 29, 2016. The conversion
factors established in this rule shall
apply beginning on December 29, 2016
through December 29, 2017.
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 those containing information
that is exempt from public disclosure.
A link to the docket Web page can be
found at https://www.regulations.gov/
docket?DRegulations.gov-Docket Folder
Summary=EERE-2015-BT-TP-0007. The
docket Web page contains simple
instructions on how to access all
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SUMMARY:
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documents, including public comments,
in the docket.
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:
Ashley.Armstrong@ee.doe.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Authority and Background
II. Summary of the Final Rule
III. Discussion
A. Purpose
B. Scope
1. Storage Volume and Input Capacity
Limitations
2. Water Temperature Limitations
3. Grid-Enabled Water Heaters
4. Residential-Duty Commercial Water
Heaters
C. Approaches for Developing Conversions
1. Analytical Methods Approach
2. Empirical Regression Approach
3. Hybrid Approach
D. Testing Results and Analysis of Test
Data
1. Impact of Certain Water Heater
Attributes on Efficiency Ratings
2. Conversion Factor Derivation
a. Consumer Storage Water Heaters
b. Consumer Instantaneous Water Heaters
c. Residential-Duty Commercial Water
Heaters
i. Gas-Fired Storage and Oil-Fired Storage
ii. Electric Instantaneous
d. Grid-Enabled Storage Water Heaters
3. Energy Conservation Standard
Derivation
E. Enforcement Policy
F. Certification
G. Effective Date
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. Congressional Notification
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’’
1 For editorial reasons, upon codification in the
U.S. Code, Part B was redesignated Part A.
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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 Consumer water
heaters, one subject of this document,
are a ‘‘covered product’’ under EPCA.
(42 U.S.C. 6292(a)(4)) Title III, Part C 3
of EPCA, Public Law 94–163 (42 U.S.C.
6311–6317, as codified), added by
Public Law 95–619, Title IV, Sec. 441(a),
established the Energy Conservation
Program for Certain Industrial
Equipment, which includes commercial
water heating equipment, another
subject of this rulemaking, as ‘‘covered
equipment.’’ (42 U.S.C. 6311(1)(K))
Under EPCA, DOE’s energy
conservation program generally consists
of four parts: (1) Testing; (2) labeling; (3)
energy conservation standards; and (4)
certification and enforcement
procedures. The testing requirements
consist of test procedures that
manufacturers of covered products and
equipment must use as the basis for
certifying to DOE that their products
and equipment comply with the
applicable energy conservation
standards adopted under EPCA, and for
making other representations about the
efficiency of those products. (42 U.S.C.
6293(c); 42 U.S.C. 6295(s); 42 U.S.C.
6314) Similarly, DOE must use these
test procedures to determine whether
such products and certain equipment
comply with any relevant standards
promulgated under EPCA. (42 U.S.C.
6295(s); 42 U.S.C. 6314)
EPCA contains what is known as an
‘‘anti-backsliding’’ provision, which
prevents the Secretary from prescribing
any amended standard that either
increases the maximum allowable
energy use or decreases the minimum
required energy efficiency of a covered
product. (42 U.S.C. 6295(o)(1);
6313(a)(6)(B)(iii)(I)) Also, the Secretary
may not prescribe an amended or new
standard if interested persons have
established by a preponderance of the
evidence that the standard is likely to
result in the unavailability in the United
States of any covered product type (or
class) of performance characteristics
(including reliability), features, sizes,
capacities, and volumes that are
substantially the same as those generally
available in the United States. (42 U.S.C.
6295(o)(4); 6313(a)(6)(B)(iii)(II))
2 All references to EPCA in this document refer
to the statute as amended through the Energy
Efficiency Improvement Act of 2015 (EEIA 2015),
Public Law 114–11 (April 30, 2015).
3 For editorial reasons, upon codification in the
U.S. Code, Part C was redesignated Part A–1.
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EPCA prescribed the energy
conservation standards for consumer
water heaters, shown in Table I.1 (42
U.S.C. 6295(e)(1)), and directed DOE to
conduct further rulemakings to
determine whether to amend these
standards. (42 U.S.C. 6295(e)(4)(A)–(B))
DOE notes that under 42 U.S.C.
6295(m), the agency must periodically
review its already established energy
conservation standards for a covered
product. Under this requirement, the
next review that DOE would need to
conduct must occur no later than six
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years from the issuance of a final rule
establishing or amending a standard for
a covered product. DOE also notes that
the statutory energy conservation
standards apply to both storage and
instantaneous consumer water heaters
regardless of volume capacity.
TABLE I.1—EPCA INITIAL ENERGY CONSERVATION STANDARDS FOR CONSUMER WATER HEATERS
Product class
Energy factor
Gas Water Heater ....................................................................................
Oil Water Heater .......................................................................................
Electric Water Heater ...............................................................................
The initial test procedures for water
heaters were prescribed in a final rule
published on October 4, 1977. 42 FR
54110. On October 17, 1990, DOE
published a final rule which updated
the test procedure from a no-draw test
to a six-draw, 24-hour simulated-use
test. 55 FR 42162. The effect of this
change in test procedure was
investigated on a sample of
representative units and based on the
results of testing on those units, DOE
updated the energy conservation
standard for electric water heaters to
0.62¥(0.0019 × Rated Storage Volume in gallons).
0.59¥(0.0019 × Rated Storage Volume in gallons).
0.95¥(0.00132 × Rated Storage Volume in gallons).
reflect the new test procedure. To
account for the change in test procedure
for electric water heaters, DOE amended
the standard to 0.93-(0.00132 × Rated
Storage Volume). Id. at 42177.
On April 16, 2010, DOE published a
final rule (hereinafter referred to as the
‘‘April 2010 final rule’’) that amended
the energy conservation standards for
specified classes of consumer water
heaters, and maintained the existing
energy conservation standards for
tabletop and electric instantaneous
water heaters. 75 FR 20112. The
standards adopted by the April 2010
final rule are shown below in Table I.2.
These standards apply to all water
heater product classes listed in Table I.2
and manufactured in, or imported into,
the United States on or after April 16,
2015, for all classes except for tabletop
and electric instantaneous. For these
latter two classes, compliance with
these standards has been required since
April 15, 1991. 55 FR 42162 (Oct. 17,
1990). Current energy conservation
standards for consumer water heaters
can be found in DOE’s regulations at 10
CFR 430.32(d).
TABLE I.2—DOE ENERGY CONSERVATION STANDARDS FOR CONSUMER WATER HEATERS
Product class
Rated storage volume ***
Gas-fired Storage ..............................................
≥20 gal and ≤55 gal .........................................
>55 gal and ≤100 gal .......................................
≤50 gal ..............................................................
≥20 gal and ≤55 gal .........................................
>55 gal and ≤120 gal .......................................
≥20 gal and ≤120 gal .......................................
<2 gal ................................................................
<2 gal ................................................................
Oil-fired Storage ................................................
Electric Storage .................................................
Tabletop * ...........................................................
Gas-fired Instantaneous † ..................................
Electric Instantaneous * .....................................
Energy factor **
0.675¥(0.0015 × Vs)
0.8012¥(0.00078 × Vs)
0.68¥(0.0019 × Vs)
0.960¥(0.0003 × Vs)
2.057¥(0.00113 × Vs)
0.93¥(0.00132 × Vs)
0.82¥(0.0019 × Vs)
0.93¥(0.00132 × Vs)
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* Tabletop and electric instantaneous water heater standards were not updated by the April 2010 final rule.
** Vs is the ‘‘Rated Storage Volume’’ (in gallons), as determined by 10 CFR 429.17.
*** Rated Storage Volume limitations result from either a lack of test procedure coverage or from divisions created by DOE when adopting
standards. The division at 55 gallons for gas-fired and electric storage water heaters was established in the April 16, 2010 final rule amending
energy conservation standards. 75 FR 20112. The other storage volume limitations shown in this table are a result of test procedure applicability
and are discussed in the July 2014 final rule. 79 FR 40542 (July 11, 2014).
† The standard for gas-fired instantaneous water heaters applies only to gas-fired instantaneous water heaters with a rated input of greater
than 50,000 Btu/h.
The initial Federal energy
conservation standards and test
procedures for commercial water
heating equipment were added to EPCA
as an amendment made by the Energy
Policy Act of 1992 (EPACT). (42 U.S.C.
6313(a)(5)) These initial energy
conservation standards corresponded to
the efficiency levels contained in the
American Society of Heating,
Refrigerating and Air-Conditioning
Engineers (ASHRAE) Standard 90.1
(ASHRAE Standard 90.1) in effect on
October 24, 1992. The statute provided
that if the efficiency levels in ASHRAE
Standard 90.1 were amended after
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October 24, 1992, the Secretary must
establish an amended uniform national
standard at new minimum levels for
each equipment type specified in
ASHRAE Standard 90.1, unless DOE
determines, through a rulemaking
supported by clear and convincing
evidence, that national standards more
stringent than the new minimum levels
would result in significant additional
energy savings and be technologically
feasible and economically justified. (42
U.S.C. 6313(a)(6)(A)(ii)(I)–(II)) The
statute was subsequently amended to
require DOE to review its standards for
commercial water heaters (and other
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‘‘ASHRAE equipment’’) every six years.
(42 U.S.C. 6313(a)(6)(C)) On January 12,
2001, DOE published a final rule for
commercial water heating equipment
that amended energy conservation
standards by adopting the levels in
ASHRAE Standard 90.1–1999 for all
types of commercial water heating
equipment, except for electric storage
water heaters. 66 FR 3336. For electric
storage water heaters, the standard in
ASHRAE Standard 90.1–1999 was less
stringent than the standard prescribed
in EPCA and, consequently, would have
increased energy consumption, so DOE
maintained the standards for electric
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storage water heaters at the statutorily
prescribed level. DOE published the
most recent final rule for commercial
water heating equipment standards on
July 17, 2015, in which DOE adopted
the thermal efficiency level for oil-fired
storage water heaters that was included
in ASHRAE 90.1–2013. 80 FR 42614.
The current standards for commercial
water heating equipment are presented
in Table I.3.
TABLE I.3—ENERGY CONSERVATION STANDARDS FOR COMMERCIAL WATER HEATING EQUIPMENT
Energy conservation standards *
Minimum thermal
efficiency
(equipment
manufactured
on and after
October 9,
2015) ** †
%
Equipment category
Size
Electric storage water heaters ...............................................
Gas-fired storage water heaters ............................................
All ...........................................
≤155,000 Btu/h ......................
>155,000 Btu/h ......................
≤155,000 Btu/h ......................
>155,000 Btu/h ......................
<10 gal ...................................
≥10 gal ...................................
<10 gal ...................................
≥10 gal ...................................
<10 gal ...................................
≥10 gal ...................................
Oil-fired storage water heaters ..............................................
Electric instantaneous water heaters ††† ...............................
Gas-fired instantaneous water heaters and hot water supply boilers.
Oil-fired instantaneous water heater and hot water supply
boilers.
N/A
80
80
† 80
† 80
80
77
80
80
80
78
Maximum standby loss
(equipment manufactured on
and after October 29,
2003) ** ††
0.30 + 27/Vm (%/h)
Q/800 + 110(Vr)1⁄2 (Btu/h)
Q/800 + 110(Vr)1⁄2 (Btu/h)
Q/800 + 110(Vr)1⁄2 (Btu/h)
Q/800 + 110(Vr)1⁄2 (Btu/h)
N/A
2.30 + 67/Vm (%/h)
N/A
Q/800 + 110(Vr) 1⁄2 (Btu/h)
N/A
Q/800 + 110(Vr)1⁄2 (Btu/h)
Minimum thermal insulation
Unfired hot water storage tank ..............................................
All ...........................................
R–12.5
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* Vm is the measured storage volume, and Vr is the rated volume, both in gallons. Q is the nameplate input rate in Btu/h.
** For hot water supply boilers with a capacity of less than 10 gallons: (1) The standards are mandatory for units manufactured on and after
October 21, 2005 and (2) units manufactured on or after October 23, 2003, but prior to October 21, 2005, must meet either the standards listed
in this table or the applicable standards in Subpart E of 10 CFR 431 for a ‘‘commercial packaged boiler.’’
† For oil-fired storage water heaters: (1) The standards are mandatory for equipment manufactured on and after October 9, 2015, and (2)
equipment manufactured prior to that date must meet a minimum thermal efficiency level of 78 percent.
†† Water heaters and hot water supply boilers having more than 140 gallons of storage capacity need not meet the standby loss requirement if:
(1) The tank surface area is thermally insulated to R–12.5 or more, (2) a standing pilot light is not used, and (3) for gas-fired or oil-fired storage
water heaters, they have a fire damper or fan-assisted combustion.
††† Energy conservation standards for electric instantaneous water heaters are included in EPCA. (42 U.S.C. 6313(a)(5)(D)–(E)). The compliance date for these energy conservation standards is January 1, 1994. In a NOPR for energy conservation standards for commercial water heating equipment published on May 31, 2016, DOE proposed to codify these standards for electric instantaneous water heaters in its regulations at
10 CFR 431.110. 81 FR 34440.
On December 18, 2012, the American
Energy Manufacturing Technical
Corrections Act (AEMTCA), Public Law
112–210, was signed into law. In
relevant part, it amended EPCA to
require that DOE publish a final rule
establishing a uniform efficiency
descriptor and accompanying test
methods for consumer water heaters and
certain commercial water heating
equipment 4 within one year of the
enactment of AEMTCA. (42 U.S.C.
6295(e)(5)(B)) AEMTCA requires that
the final rule must replace the energy
factor (EF), thermal efficiency (TE), and
standby loss (SL) metrics with a uniform
efficiency descriptor. (42 U.S.C.
6295(e)(5)(C)) On July 11, 2014, DOE
published a final rule that fulfilled these
requirements. 79 FR 40542 (July 2014
4 The uniform efficiency descriptor and
accompanying test procedure apply to commercial
water heating equipment with residential
applications defined in the test procedure final rule
published July 11, 2014, as a ‘‘residential-duty
commercial water heater.’’ See 79 FR 40542, 40586.
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final rule). AEMTCA further requires
that, beginning one year after the date of
publication of DOE’s final rule
establishing the uniform descriptor (i.e.,
July 13, 2015), the efficiency standards
for the consumer water heaters and
residential-duty commercial water
heaters identified in the July 2014 final
rule must be denominated according to
the uniform efficiency descriptor
established in that final rule (42 U.S.C.
6295(e)(5)(D)), and that DOE must
develop a mathematical conversion for
converting the measurement of
efficiency from the test procedures and
metrics in effect at that time to the
uniform efficiency descriptor. (42 U.S.C.
6295(e)(5)(E)(i)–(ii))
EPCA provides that any covered water
heater (i.e., under DOE’s rulemaking, all
consumer water heaters and residentialduty commercial water heaters)
manufactured prior to the effective date
of the UEF test procedure final rule (i.e.,
July 13, 2015) that complied with the
efficiency standards and labeling
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requirements applicable at the time of
manufacture will be considered to
comply with the UEF test procedure
final rule and with any revised labeling
requirements established by the Federal
Trade Commission (FTC) to carry out
the UEF test procedure final rule. (42
U.S.C. 6295(e)(5)(K)) DOE’s
interpretation and application of this
provision are discussed in detail in
section III.E.
As noted previously, in the July 2014
final rule, DOE amended its test
procedure for consumer and certain
commercial water heaters. 79 FR 40542.
The July 2014 final rule for consumer
and certain commercial water heaters
satisfied the AEMTCA requirements to
develop a uniform efficiency descriptor
to replace the EF, TE, and SL metrics.
The amended test procedure includes
provisions for determining the uniform
energy factor (UEF), as well as the
annual energy consumption of these
products. Furthermore, the uniform
descriptor test procedure can be applied
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to: (1) Consumer water heaters
(including certain consumer water
heaters that are covered products under
EPCA’s definition of ‘‘water heater’’ at
42 U.S.C. 6291(27), but that were not
addressed by the previous test method);
and (2) commercial water heaters that
have residential applications. The major
modifications to the EF test procedure
to establish the uniform descriptor test
method included the use of multiple
draw patterns and different draw
patterns, and changes to the set-point
temperature. In addition, DOE expanded
the scope of the test method to include
all storage volumes, specifically by
including test procedure provisions that
are applicable to water heaters with
storage volumes between 2 gallons (7.6
L) and 20 gallons (76 L), and to clarify
applicability to electric instantaneous
water heaters. DOE also established a
new definition for ‘‘residential-duty
commercial water heater’’ and recategorized certain commercial water
heaters into this class.
The Energy Efficiency Improvement
Act of 2015 (EEIA 2015) (Pub. L. 114–
11) was enacted on April 30, 2015.
Among other things, EEIA 2015 added
a definition of ‘‘grid-enabled water
heater’’ to EPCA’s energy conservation
standards for consumer water heaters.
(42 U.S.C. 6295(e)(6)(A)(ii)) These
products are intended for use as part of
an electric thermal storage or demand
response program. One of the criteria in
EPCA that defines a ‘‘grid-enabled water
heater’’ is the requirement that it meet
a certain energy factor (specified by a
formula set forth in the statute), or an
equivalent alternative standard that
DOE may prescribe. Id. On August 11,
2015, DOE published a final rule in the
Federal Register to implement the
changes to EPCA by placing the energy
conservation standards and related
definitions in the Code of Federal
Regulations (CFR). 80 FR 48004. As the
energy conservation standard for gridenabled water heaters is in terms of
energy factor, DOE is addressing these
products in this final rule to adopt a
mathematical conversion to express the
energy conservation standard in terms
of UEF.
On September 15, 2016, the Federal
Trade Commission (FTC) published a
final rule (‘‘FTC 2016 Final Rule’’)
updating the EnergyGuide label to
reflect changes to the DOE test
procedure. The effective date of the FTC
2016 Final Rule is June 12, 2017. 81 FR
63634.
This final rule satisfies the
requirements of AEMTCA to develop a
mathematical conversion factor for
converting the EF, TE, and SL metrics
to the UEF metric. (42 U.S.C.
6295(e)(5)(E)) DOE published a notice of
proposed rulemaking on April 14, 2015
and a supplemental notice of proposed
rulemaking on August 30, 2016, which
included proposed mathematical
conversion factors and the proposed
energy conservation standards
expressed in terms of the UEF metric. 80
FR 20116 and 81 FR 59736.
II. Summary of the Final Rule
In this final rule, DOE establishes a
mathematical conversion factor between
the values determined using the EF, TE,
and SL test procedures (including the
first-hour rating or maximum gallons
per minute (GPM) rating, as applicable),
and the values that would be
determined using the uniform efficiency
descriptor test procedure established in
the July 2014 final rule (i.e., UEF and
first-hour rating or maximum GPM
rating).
The mathematical conversion factor
required by AEMTCA is a bridge
between the efficiency and delivery
capacity values obtained through testing
under the EF, TE, and SL test
procedures and those obtained under
the uniform efficiency descriptor test
procedure published in the July 2014
final rule. DOE conducted a series of
tests on the classes of water heaters
included within the scope of this
rulemaking (see section III.B for details
on the scope) and relied upon that test
data and test data submitted by
interested parties, along with the
approaches summarized in section III.C,
to calculate the conversion factors
established in this final rule.
Subsequently, DOE used the conversion
factors to derive minimum energy
conservation standards in terms of UEF,
as shown in Table II.1 and Table II.2.
The standards denominated in UEF are
neither more nor less stringent than the
EF-denominated standards for consumer
water heaters and for commercial waterheating equipment based on the thermal
efficiency and standby loss metrics.
TABLE II.1—CONSUMER WATER HEATER ENERGY CONSERVATION STANDARDS DENOMINATED IN UEF
Product class
Rated storage volume and input
rating (if applicable)
Draw pattern
Gas-fired Storage Water Heater ....
≥20 gal and ≤55 gal .....................
.......................................................
.......................................................
.......................................................
>55 gal and ≤100 gal ...................
.......................................................
.......................................................
.......................................................
≤50 gal ..........................................
.......................................................
.......................................................
.......................................................
≥20 gal and ≤55 gal .....................
.......................................................
.......................................................
.......................................................
>55 gal and ≤120 gal ...................
.......................................................
.......................................................
.......................................................
≥20 gal and ≤120 gal ...................
.......................................................
.......................................................
.......................................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Oil-fired Storage Water Heater ......
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Electric Storage Water Heaters .....
Tabletop Water Heater ..................
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Uniform energy factor
0.3456
0.5982
0.6483
0.6920
0.6470
0.7689
0.7897
0.8072
0.2509
0.5330
0.6078
0.6815
0.8808
0.9254
0.9307
0.9349
1.9236
2.0440
2.1171
2.2418
0.6323
0.9188
0.9577
0.9884
29DER2
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¥
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(0.0020
(0.0019
(0.0017
(0.0013
(0.0006
(0.0005
(0.0004
(0.0003
(0.0012
(0.0016
(0.0016
(0.0014
(0.0008
(0.0003
(0.0002
(0.0001
(0.0011
(0.0011
(0.0011
(0.0011
(0.0058
(0.0031
(0.0023
(0.0016
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Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
Vr).
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TABLE II.1—CONSUMER WATER HEATER ENERGY CONSERVATION STANDARDS DENOMINATED IN UEF—Continued
Rated storage volume and input
rating (if applicable)
Product class
Instantaneous
Heater **.
Gas-fired
Water
Instantaneous Electric Water Heater **.
Grid-Enabled Water Heater ...........
Draw pattern
<2 gal and >50,000 Btu/h .............
Very Small ....................................
0.80
.......................................................
.......................................................
.......................................................
< 2 gal ...........................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
0.81.
0.81.
0.81.
0.91.
.......................................................
.......................................................
.......................................................
>75 gal ..........................................
.......................................................
.......................................................
.......................................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
0.91.
0.91.
0.92.
1.0136
0.9984
0.9853
0.9720
Uniform energy factor
¥
¥
¥
¥
(0.0028
(0.0014
(0.0010
(0.0007
x
x
x
x
Vr).
Vr).
Vr).
Vr).
* Vr is the ‘‘Rated Storage Volume’’ (in gallons), as determined by 10 CFR 429.17.
** For instantaneous water heaters the standard is represented as a single value rather than as a function of storage volume. Because the
UEF standard only applies to models with less than 2 gallons of storage volume, the coefficient becomes zero, and the standard does not vary
for models between 0 and 2 gallons.
TABLE II.2—RESIDENTIAL-DUTY COMMERCIAL WATER HEATER ENERGY CONSERVATION STANDARDS DENOMINATED IN
UEF
Product class
Draw pattern
Gas-fired Storage ..............................................
Very Small ........................................................
Low ...................................................................
Medium .............................................................
High ..................................................................
Very Small ........................................................
Low ...................................................................
Medium .............................................................
High ..................................................................
Very Small ........................................................
Low ...................................................................
Medium .............................................................
High ..................................................................
Oil-fired Storage ................................................
Electric Instantaneous ** ....................................
Uniform energy factor
0.2674¥(0.0009
0.5362¥(0.0012
0.6002¥(0.0011
0.6597¥(0.0009
0.2932¥(0.0015
0.5596¥(0.0018
0.6194¥(0.0016
0.6740¥(0.0013
0.80.
0.80.
0.80.
0.80.
×
×
×
×
×
×
×
×
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
srobinson on DSK5SPTVN1PROD with RULES2
* Vr is the ‘‘Rated Storage Volume’’ (in gallons), as determined by 10 CFR 429.44.
** For instantaneous water heaters the standard is represented as a single value rather than as a function of storage volume. Because the
UEF standard only applies to models with less than 2 gallons of storage volume, the coefficient becomes zero, and the standard does not vary
for models between 0 and 2 gallons.
The conversion factor formulas may
be used for making representations
regarding energy efficiency or energy
use until December 29, 2017. After that,
all representations regarding energy
efficiency or energy use must be based
on testing (either directly or through the
application of an AEDM, where
permitted). In addition, EPCA requires
that a water heater be considered to
comply with the July 2014 final rule on
and after July 13, 2015 (the effective
date of the July 2014 final rule) and with
any revised labeling requirements
established by the FTC to carry out the
July 2014 final rule if that water heater
basic model was manufactured prior to
July 13, 2015, and complied with the
applicable efficiency standards and
labeling requirements in effect prior to
July 13, 2015. (See 42 U.S.C.
6295(e)(5)(K)) Sections III.E and III.F
explain that DOE intends to address
various issues related to the transition
from the metrics in effect prior to July
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13, 2015, through the use of
enforcement policies.
III. Discussion
A. Purpose
As discussed in section I, this
rulemaking establishes mathematical
conversion factors that satisfy
requirements added to EPCA by
AEMTCA. (42 U.S.C. 6295(e)(5)) EPCA
requires DOE to establish a uniform
efficiency descriptor for consumer water
heaters and commercial water heaters,
and to establish a mathematical
conversion factor to translate from the
EF, TE, and SL descriptors to the
uniform efficiency descriptor
established by DOE. Id. In the July 2014
test procedure final rule, DOE
established UEF as the uniform
efficiency descriptor, and adopted a test
method for measuring UEF for
consumer and certain commercial water
heaters. 79 FR 40542 (July 11, 2014).
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This final rule addresses the
mathematical conversion factor required
by EPCA (see 42 U.S.C. 6295(e)(5)(E))
and the requirement that the efficiency
standard be denominated according to
the uniform efficiency descriptor (i.e.,
UEF) (see 42 U.S.C. 6295(e)(5)(D)(i)).
As discussed in the August 2016
SNOPR, DOE reviewed the test results
used to develop the mathematical
conversion factors, and found that
different water heaters are impacted in
different ways by the new test method
and metric, depending on the specific
design and characteristics of the water
heater. 81 FR 59736, 59741–59742
(August 30, 2016). Water heaters have
numerous attributes that impact energy
efficiency and performance, and the
changes to the test method and metrics
impact each water heater model
differently, often in ways that are
difficult to predict. For example, two
electric water heaters with the same
rated storage volume, input rating, first-
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96209
hour rating, and energy factor rating (all
represented values published under the
EF test method as indicators of water
heater performance) were shown by
testing to have different measured firsthour ratings and uniform energy factors
when tested under the new test
procedure.
Given the number of models currently
available in the market (756 unique
models at the time of the analysis
performed for the August 2016 SNOPR),
it would not be practical to analyze each
model individually to determine the
change in represented values under the
new test procedure. Rather, DOE
analyzed a subset of models that are
representative of the market as a whole.
This approach is consistent with the
statutory mandate, which instructs DOE
to develop ‘‘a mathematical conversion
factor.’’ (42 U.S.C. 6295(e)(5)(E)) In
DOE’s view, the phrase ‘‘mathematical
conversion factor’’ does not require DOE
to generate a single number applicable
to all water heaters. Rather, DOE
believes that, despite the use of the
word ‘‘factor,’’ in the singular, the
statute permits the use of a conversion
equation involving several numbers and
mathematical operations besides
multiplication. Still, the phrasing
suggests that DOE should develop a
formula that is broadly applicable,
rather than generate a table of
equivalencies stating the exact UEF
equivalent for every individual product
on the market.
Because each water heater is impacted
differently, it would be impossible to
develop a single equation, or reasonable
set of equations, that could be used to
model the energy performance of every
water heater exactly under the new test
method. Therefore, DOE interprets the
statutory mandate for a ‘‘mathematical
conversion factor’’ to call for an
equation that will be able to reasonably
predict a water heater’s energy
efficiency under the UEF test method
based on values measured under the EF,
TE, or SL test methods for that model.
Any mathematical conversion of that
type will have some amount of residual
difference between predicted and
measured values that is inherent when
applying a mathematical equation (or
multiple equations for different types of
water heaters) to predict the energy
efficiency performance or delivery
capacity of a large set of models. In this
final rule, DOE sought to reduce the
amount of difference between predicted
and actual performance in several ways.
DOE incorporated as much test data as
was practical and available, and which
represented models currently on the
market. DOE considered several
attributes that could have a large impact
on the test results under both the new
and old metrics, and included those as
appropriate when developing the
mathematical conversion, which led to
a set of equations for water heaters with
certain different characteristics (e.g.,
different fuel types, different nitrogen
oxide (NOX) emissions levels). DOE also
explored several options for developing
the mathematical conversion equations
(see section III.C for a summary of the
approaches considered). In addition,
DOE sought feedback from interested
parties and incorporated suggestions for
improving the mathematical
conversions when those suggestions
resulted in conversion equations that
were better predictors of actual
measured performance.
As noted previously, this final rule
also addresses the requirement that the
efficiency standard be denominated in
terms of UEF and establishes energy
conservation standard levels using the
UEF metric. (42 U.S.C. 6295(e)(5)(D)(i))
As discussed in section I, DOE may not
adopt a standard that reduces the
stringency of the existing standards, due
to EPCA’s ‘‘anti-backsliding’’
provisions. (42 U.S.C. 6295(o)(1);
6313(a)(6)(B)(iii)(I)) Further, EPCA
requires that the mathematical
conversion factor not affect the
minimum efficiency requirements. (42
U.S.C 6295(e)(5)(E)(iii)).
The methodology used for translating
the standards ensures equivalent
stringency between the existing
standards (using EF, TE, and SL metrics)
and the converted standards (using
UEF). Due to differences in water heater
performance under the different test
methods discussed in the preceding
paragraphs, some models will perform
better, and others worse, under the new
test method than they did under the
previous test method. In principle, a
model that was just above the standard
level using the old metrics might come
out just below the converted standard
using the conversion factor, and in
principle, one could regard that result as
a change in the standard applicable to
that particular model. However, such
outcomes are unavoidable possibilities
In the NOPR, DOE stated that it was
not including water heaters that were
not previously subject to the test
procedures or standards for energy
factor established in the Code of Federal
Regulations in the scope of the
conversion factor. Id. In the August
2016 SNOPR, DOE proposed to make
clear its interpretation that the initial
consumer water heater standards in
EPCA 5 are applicable to the consumer
water heaters listed in Table III.1 and,
accordingly, proposed mathematical
conversion factors for these water
heaters in the August 2016 SNOPR. 81
FR 59736, 59743 (August 30, 2016).
5 The initial energy factor energy conservation
standards for consumer water heaters established in
EPCA are found at 42 U.S.C. 6295(e)(1), and require
that the energy factor be not less than the following
for products manufactured on or after January 1,
1990:
Gas Water Heater—0.62¥(0.0019 × Rated Storage
Volume in gallons).
Oil Water Heater—0.59¥(0.0019 × Rated Storage
Volume in gallons).
Electric Water Heater—0.95¥(0.00132 × Rated
Storage Volume in gallons).
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if DOE is to prescribe a single equation
to convert efficiency measurements
across a product class. As noted above,
given the complex ways in which
detailed design characteristics can affect
measurements using both the existing
protocols and the UEF test procedure,
specifying EF, TE, and SL for a product
does not predict UEF for the product
with absolute precision. Given that
reality, DOE interprets section 325 of
EPCA as a whole, including the antibacksliding provision and the mandate
to develop a conversion factor, to permit
outcomes in which conversion might
shift some products from above to below
the standard (and some from below to
above)—since this is the natural and
foreseeable consequence of using a
conversion factor. Because the statute
calls for a conversion factor, DOE
understands the ‘‘standard,’’ in this
context, to refer to the efficiency level
required on average over a product
class. Thus, DOE’s goal in developing
the conversion factor is to ensure that,
on average over a product class, the
standard denominated in UEF
corresponds to the same maximum
energy use and minimum efficiency as
the standard denominated in EF, TE,
and SL.
B. Scope
This section describes DOE’s process
for categorizing water heaters and
establishing the range of units subject to
this mathematical conversion factor
final rule. DOE initially outlined the
scope of this rulemaking in the April
2015 NOPR. 80 FR 20116, 20122–20124
(April 14, 2015).
1. Storage Volume and Input Capacity
Limitations
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TABLE III.1—CONSUMER WATER HEATERS NOT COVERED IN THE NOPR BY THE MATHEMATICAL CONVERSION FACTOR
Product class
Description of criteria for exclusion from conversion rulemaking
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Gas-fired Storage .....................................................................................
Oil-fired Storage .......................................................................................
Electric Storage ........................................................................................
Tabletop ....................................................................................................
Gas-fired Instantaneous ...........................................................................
Electric Instantaneous ..............................................................................
Oil-fired Instantaneous .............................................................................
In the August 2016 SNOPR, DOE
noted that the definitions for consumer
water heaters added to EPCA under the
National Appliance Energy
Conservation Act of 1987 (NAECA; Pub.
L. 100–12 (March 17, 1987)) do not
place any limitation on the storage
volume of consumer water heaters and
do not place a minimum fuel input rate
on gas-fired instantaneous water
heaters. (42 U.S.C. 6291(27)) Thus, DOE
proposed to make clear its interpretation
that the initial standards for water
heaters added to EPCA cover all
consumer water heaters meeting the
definition of ‘‘water heater’’ at 42 U.S.C.
6291(27), regardless of the storage
volume and without a lower limit on the
fuel input rating for gas-fired
instantaneous water heaters. 81 FR
59736, 59743 (August 30, 2016).
The Air-Conditioning, Heating, &
Refrigeration Institute (AHRI), Bradford
White Corporation (Bradford White),
A.O. Smith Corporation (A.O. Smith),
and Rheem Manufacturing Company
(Rheem) submitted comments opposed
to the inclusion of the proposed
clarification in the August 2016 SNOPR.
Those comments were focused
primarily on the application of
standards to consumer water heaters
with storage tanks of more than 2
gallons (7.6 L) and less than 20 gallons
(76 L), with commenters stating that the
application of standards to these
consumer water heaters would be
inconsistent with DOE’s historical
treatment of such water heaters. (AHRI,
No. 27 at p. 7; Bradford White, No. 26
at p. 2; A.O. Smith, No. 28 at p. 1;
Rheem No. 32 at p. 2.) AHRI asserted
that NAECA codified limitations on the
applicability of standards for consumer
water heaters consistent with the thencurrent DOE test procedure, including
the exclusion of storage-type residential
water heaters less than 20 gallons and
greater than 120 gallons. (AHRI, No. 27
at pp. 7–8) Rheem stated that the test
procedures for consumer water heaters
specifically exempted water heaters
with storage tanks of more than 2
gallons (7.6 L) and less than 20 gallons
(76 L) from being covered prior to the
UEF test procedure that was finalized in
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Rated
Rated
Rated
Rated
Rated
Rated
All.
Storage Volume ≥2 gal and <20 gal or >100 gal.
Storage Volume >50 gal.
Storage Volume ≥2 gal and <20 gal or >120 gal.
Storage Volume ≥2 gal and <20 gal or >120 gal.
Input ≤50,000 Btu/h; Rated Storage Volume ≥2 gal.
Storage Volume ≥2 gal.
July 2014 final rule for consumer and
certain commercial water heaters.
(Rheem, No. 32 at p. 2) Rheem added
that the August 2016 SNOPR was a
departure from the April 2015 NOPR,
which stated that DOE’s current
consumer water heater test procedures
and energy conservation standards are
not applicable to gas or electric water
heaters with storage tanks that are at or
above 2 gallons (7.6 L) and less than 20
gallons (76 L). (Rheem, No. 32 at p. 3)
AHRI stated that it understood DOE to
be applying standards to these products
based on the 1990 final rule that
adopted standards established in EPCA
under the NAECA amendments (55 FR
42162 (Oct. 17, 1990)) and that
application of standards to the specified
products as proposed in the SNOPR
would be contrary to EPCA. (AHRI, No.
27 at p. 8) Bradford White stated that it
does not support using only input
capacity to distinguish between
consumer and commercial water
heaters, and expressed concern that
under the proposed clarification, water
heaters that are currently marketed as
commercial products will have to be
eliminated unless they are able to meet
the new UEF established for the
consumer water heaters. (Bradford
White, No. 26 at p. 2)
AHRI also asserted that it is contrary
to administrative law and unfair to
include a proposal to apply the
standards to these products (i.e.,
consumer gas-fired storage water heaters
with a rated storage volume greater than
100 6 gallons and consumer electric
storage water heaters with a rated
storage volume greater than 2 gallons
and less than 20 gallons) at the ‘‘11th
hour.’’ (AHRI, No. 27 at p. 9) AHRI
stated that given the thirty-day comment
period and DOE’s prior statements on
this issue, manufacturers did not foresee
the need to spend time or resources to
conduct testing and analysis on this
particular class of products, but instead,
the industry devoted its limited time
6 AHRI’s comment stated 120 gallons; however,
the upper limit on storage volume for the energy
conservation standards found in 10 CFR 430.32(d)
for consumer gas-fired storage water heaters is 100
gallons.
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and available resources to testing the
many products which DOE initially
identified. (AHRI, No. 27 at p. 9) Rheem
stated that based on past practice and
DOE’s statements in the NOPR, it did
not anticipate the current rulemaking
addressing the UEF for the specified
consumer water heaters, and as a result,
the commenter urged DOE to address
this matter in a separate rulemaking.
(Rheem No. 32 at pp. 2–4) A.O. Smith
also questioned whether the
clarification in the August 2016 SNOPR
may violate the letter if not the spirit of
the Administrative Procedures Act
(APA). A.O. Smith viewed the August
2016 test procedure SNOPR to represent
a change of position, which has placed
manufacturers in the position of having
to respond within thirty days to new
efficiency standards without knowing if
they can meet the standards. (A.O.
Smith No. 28, pp. 2–3)
DOE acknowledges that it has not
previously implemented the standards
established by NAECA with respect to
gas or electric water heaters with storage
tanks between 2 and 20 gallons in
capacity or other water heaters listed in
Table III.1. However, after careful
consideration of both the statutory
provisions and the comments received,
DOE is reaffirming its interpretation in
the August 2016 SNOPR that the
standards established in EPCA are
applicable to the water heaters listed in
Table III.1. As such, the standards
initially established by Congress in
EPCA are applicable to consumer water
heaters identified in the August 2016
SNOPR, including those with storage
tanks that are at or above 2 gallons (7.6
L) and less than 20 gallons (76 L). As
explained in the following paragraphs,
this interpretation is based on the plain
language of EPCA that establishes
definitions for consumer water heaters
and the scope of the statutorilyprescribed standards for consumer
water heaters, and a review of the
legislative history reveals no
congressional intent to the contrary.
Nonetheless, as discussed in more
detail, DOE will not enforce those
standards until such time as conversion
factors and converted standards are
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adopted, which DOE is declining to do
in this final rule.
EPCA, through the amendments made
by NAECA, defines ‘‘water heater’’ for
the purpose of delineating which
consumer products are subject to energy
conservation standards. (42 U.S.C.
6291(27); see also 101 Stat. 103, 104–
105) The statutory definition specifies
input ratings at or below which water
heaters are to be classified as consumer
water heaters (e.g., 75,000 Btu/h for gasfired storage water heaters; 12 kW for
electric storage water heaters and
electric instantaneous water heaters;
210,000 Btu/h for oil-fired
instantaneous water heaters). The
statutory definition of ‘‘water heater’’
does not provide for any limitation
based on storage volume. (42 U.S.C.
6291(27)) The NAECA amendments also
established standards for gas-fired
consumer water heaters, oil-fired
consumer water heaters, and electric
consumer water heaters, once again
without any limitation in terms of
storage volume. (42 U.S.C. 6295(e)(1);
see also 101 Stat. 103, 110)
AHRI argued that the NAECA
amendments imposing standards for
water heaters do not apply to water
heaters smaller than 20 gallons because
DOE had no test procedures for such
products when NAECA was enacted.
According to AHRI, NAECA ‘‘codified’’
DOE’s existing test procedures ‘‘into
law,’’ and the NAECA standards were
‘‘based on the pre-existing EF test
procedure.’’ DOE does not agree with
AHRI’s argument that Congress
intended its statutory standards to be
somehow constrained by DOE’s existing
test procedure applicability. DOE had,
and retains, the discretion to change the
test procedures. The provision that
AHRI cited as ‘‘codif[ying]’’ DOE’s test
procedures—which DOE takes to mean
adopting them as statute, and thus
restricting DOE’s authority to alter
them—did no such thing. AHRI referred
to 42 U.S.C. 6293(a); but, as amended by
NAECA, that provision simply says that
‘‘[a]ll test procedures and related
determinations . . . which are in effect
on the date of enactment of [NAECA]
shall remain in effect until the Secretary
amends such test procedures and
related determinations.’’ The point of
this provision was to avoid, in a statute
that substantially revised the substance
of DOE’s authority to develop test
procedures, any suggestion that the
changes would invalidate pre-existing
test procedures. The text of the sentence
itself makes clear that it did not freeze
the test procedures into statute; they
remained in effect only until the
Secretary ‘‘amends such test
procedures.’’
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The NAECA amendments also do not
support AHRI’s contention that the
section 6295(e)(1) standards were based
specifically on the existing test
procedure. The statute does not
explicitly say the standards depended
solely on that version of the test
procedure. AHRI seems to rely on the
facts that section 6295(e)(1) prescribed
minimum values of ‘‘energy factor’’ and
that the NAECA amendments defined
‘‘efficiency descriptor,’’ which for water
heaters was to be expressed as energy
factor, as the ratio of output and input
‘‘determined using the test procedures
prescribed under section 323.’’ The
argument appears to be that, for water
heaters, ‘‘the test procedures prescribed
under section 323’’ meant the test
procedures as they existed when
NAECA was enacted. Thus, AHRI infers,
the water heater standards in section
6295(e)(1) were minimums for energy
factor as the extant test procedures
determined that value. However, DOE
believes it is sounder to read the
definition of ‘‘efficiency descriptor’’ as
referring to DOE’s test procedures as
they change over time. Section 323
authorized DOE to amend or revise test
procedures in appropriate
circumstances. It would be odd and
counterproductive if the concept of
‘‘efficiency descriptor’’ excluded such
updates.
Fundamentally, if Congress had
intended the section 6295(e)(1)
standards to apply only to products for
which DOE had already developed test
procedures, it could easily have said so.
Instead, the statute defined ‘‘water
heaters’’ without a minimum storage
capacity; it prescribed standards
without mention of any minimum; and
it invoked a metric, energy factor, that
was to be measured using test
procedures that the statute authorized
DOE to revise. DOE concludes,
therefore, that the section 6295(e)(1)
were to apply to the full scope of ‘‘water
heaters’’ as soon as DOE issued test
procedures reaching that scope. Based
upon changes in the market and the
availability of additional data, DOE
determined in the July 2014 test
procedure final rule (79 FR 40542,
40545–40549 (July 11, 2014)) that it was
appropriate to expand the applicability
of the water heaters test procedure and
thereby embrace the full scope of the
authority provided by Congress. (42
U.S.C. 6295(e)(1); see also 101 Stat. 103,
110).
Based on the foregoing discussion,
DOE is reaffirming its interpretation in
the August 2016 SNOPR that the
statutory standards apply to the water
heaters listed in Table III.1, including
those with storage volumes between 2
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96211
and 20 gallons. DOE acknowledges that
its long delay in issuing test procedures
for such products as well as statements
it has made in the past may have caused
confusion about this issue. Coming into
compliance with the statutory standards
immediately would be quite
burdensome for industry.
DOE also received voluminous
comments regarding the technical
merits of the conversion factors and of
the converted standards expressed in
UEF for the water heaters listed in Table
III.1, for which DOE is going to defer
finalizing and implementing these
statutory standards and further consider
the comments. Since DOE is declining
to adopt mathematical conversion
factors and converted standards in UEF
in this final rule for the water heaters
listed in Table III.1, DOE will not
enforce the statutory standards
applicable to the consumer water
heaters listed in Table III.1 until some
point after DOE finalizes the conversion
factor and the converted standards
applicable to those products. In doing
so, DOE will work with industry on
making this transition.
2. Water Temperature Limitations
A.O. Smith expressed concern with
DOE’s position (adopted in the
November 2016 commercial water
heater test procedure final rule; see 81
FR 79261, 79286 (Nov. 10, 2016)) that
electric water heaters with inputs of 12
kW or less are consumer water heaters,
regardless of the outlet water
temperature delivered. A.O. Smith
argued that the 180 °F delineation
serves an important function in the
marketplace to distinguish between
consumer and commercial water
heaters. (A.O. Smith, No. 28 at p. 2)
As explained in further detail in the
November 10, 2016 commercial water
heater test procedure final rule, DOE
relies on the temperature threshold
when determining how to distinguish a
commercial water heater that may be
used to serve residential applications
(i.e., a ‘‘residential-duty commercial
water heater’’) and commercial water
heaters generally. 81 FR 79261, 79286.
Outlet water temperature is one of
several dividing criteria between those
types of commercial models. 79 FR
40542, 40546 (July 11, 2014). However,
DOE has interpreted the statute to
distinguish between water heaters that
are commercial equipment under EPCA
and those that are consumer products
on the basis of the rated input, not the
delivery temperature. The November
2016 final rule explained DOE’s
interpretation on this point, and DOE is
not revisiting the issue in this final rule.
The application of the conversion factor
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to residential-duty commercial water
heaters is discussed section III.B.4. If
manufacturers of water heaters have
additional inquiries they should contact
Ashley Armstrong directly using the
contact information in the ADDRESSES
section of this final rule.
3. Grid-Enabled Water Heaters
As noted in section I, EPCA was
recently amended to define and set
efficiency requirements for grid-enabled
water heaters in terms of EF (see 42
U.S.C. 6295(e)(6)). EPCA provides that
the conversion factor may exclude
certain covered water heaters from the
uniform efficiency descriptor if the
Secretary determines that the category
of water heaters does not have a
residential use and can be clearly
described in the final rule, and that the
category of water heaters are effectively
rated using the thermal efficiency and
standby loss descriptors. (42 U.S.C.
6295(e)(5)(F)). Grid-enabled water
heaters do have residential uses and are
not rated using thermal efficiency or
standby loss, and thus, do not meet the
criteria for exclusion from the UEF
metric. As a result, DOE has developed
a conversion factor in this final rule to
express the standard for these products
in terms of UEF. Comments related to
the conversion factor and converted
UEF standards for grid-enabled water
heaters are discussed in sections
III.D.2.d and section III.D.3.
4. Residential-Duty Commercial Water
Heaters
DOE notes that only commercial
water heaters meeting the definition of
‘‘residential-duty commercial water
heater’’ are subject to the uniform
efficiency descriptor test method, while
all other commercial water heaters are
not. EPCA allows DOE to provide an
exclusion from the uniform efficiency
descriptor for specific categories of
otherwise covered water heaters that do
not have residential uses, that can be
clearly described, and that are
effectively rated using the current
thermal efficiency and standby loss
descriptors. (42 U.S.C. 6295(e)(5)(F)) In
the July 2014 test procedure final rule,
DOE determined that covered
commercial water heating equipment
that did not meet the definition of a
‘‘residential-duty commercial water
heater’’ met the criteria in EPCA for
exclusion from the uniform efficiency
descriptor. 79 FR 40542, 40545–40547
(July 11, 2014). As a result, this final
rule only addresses commercial water
heaters that meet the definition of
‘‘residential-duty commercial water
heater.’’ This definition was recently
updated in the November 10, 2016
commercial water heater test procedure
final rule to remove residential-duty
classes where definitional criteria
preclude the classification of any
products as residential-duty commercial
water heaters within that class.7 81 FR
79261, 79321–79322. The definition of
‘‘residential-duty commercial water
heater’’ adopted in that final rule
includes any gas-fired storage, oil-fired
storage, or electric instantaneous
commercial water heater that meets the
following conditions:
(1) For models requiring electricity,
uses single-phase external power
supply;
(2) Is not designed to provide outlet
hot water at temperatures greater than
180 °F; and
(3) Does not meet any of the criteria
regarding rated input and storage
volume presented in Table III.2.
TABLE III.2—CAPACITY LIMITATIONS FOR DEFINING COMMERCIAL WATER HEATERS WITHOUT RESIDENTIAL APPLICATIONS
[i.e., Non-Residential-Duty]
Water heater type
Indicator of non-residential application
Gas-fired Storage .....................................................................................
Oil-fired Storage .......................................................................................
Electric Instantaneous ..............................................................................
This final rule establishes
mathematical conversion factors for gasfired storage, oil-fired storage, and
electric instantaneous residential-duty
commercial water heaters. DOE also
uses the conversion factors to express
the energy conservation standards for
these classes of equipment in the UEF
metric.
srobinson on DSK5SPTVN1PROD with RULES2
C. Approaches for Developing
Conversions
To develop the conversions between
the prior metrics (first-hour rating,
maximum GPM, energy factor, thermal
efficiency, standby loss) and the new
metrics (first-hour rating, maximum
GPM, uniform energy factor), DOE
considered three different approaches.
The first, termed ‘‘analytical methods,’’
uses equations based on the
7 For example, DOE has interpreted EPCA to
include as consumer products electric storage water
heaters as having an input of ≤ 12 kW. (42 U.S.C.
6291(27)) The previous definition of a residentialduty water heater excluded any electric storage
water heater with an input of > 12 kW from being
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Rated input >105 kBtu/h; Rated storage volume >120 gal.
Rated input >140 kBtu/h; Rated storage volume >120 gal.
Rated input >58.6 kW; Rated storage volume >2 gal.
fundamental physics of water heater
operation to predict how changes in test
parameters lead to changes in the
performance metrics. The second,
termed ‘‘empirical regression,’’ is a
purely data-driven approach that uses
experimental data and regressions to
develop equations that relate the prior
metrics to the new ones. The third
approach, termed ‘‘hybrid,’’ uses a
regression on the result of an analytical
method to account for changes in the
test procedure not captured by the
analytical method.
1. Analytical Methods Approach
The analytical methods approach
relies on basic equations of heat transfer
and thermodynamics, as well as
established understanding of the
behavior of water heaters, to calculate
residential-duty. Thus, because all electric storage
water heaters > 12 kW are not residential-duty, but
all electric storage water heaters ≤ 12 kW are
consumer water heaters, there could not have been
a residential-duty commercial electric storage water
heater. The changes adopted in the commercial
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the metric based on a set of known
parameters for the water heater,
environment, and test pattern. Such an
approach typically yields an equation or
set of equations that can be solved to
ultimately yield the metric of interest,
either an efficiency or delivery capacity.
An attempt is then made to modify the
equations for the metrics to yield an
equation that expresses the new metrics
in terms of the old metrics and other
known quantities. Analytical methods
have the advantage of capturing known
effects on performance without
conducting a series of experiments.
Additionally, a properly formulated
relationship would be expected to be
applicable to all water heaters on the
market. Analytical approaches do have
some drawbacks, however. Most
notably, these methods only account for
water heater test procedure final rule amended the
definition to remove mention of electric storage
water heaters, along with several other types of
water heaters, to prevent confusion.
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factors that are known to impact
performance and that can be readily
modeled analytically. There may be
other unknown phenomena that affect
performance that may not be taken into
account in the known models. Second,
application of these models often
require assumptions about conditions.
For example, one may need to assume
a particular temperature of the water in
the water heater despite the fact that it
is known that there is variation in that
temperature. Lastly, while an analytical
model reduces the amount of tests
needed to generate a conversion
equation, a thorough set of experiments
is still necessary to validate the model.
Because it is based on fundamental
physics, though, an analytical model
can typically be extended with more
confidence to a water heater that has not
been tested than would a model based
purely on experimental data.
DOE developed conversion equations
based on analytical methods for the
maximum GPM test (from the maximum
GPM under the prior method to the
current method) and simulated-use tests
(i.e., from EF to UEF) for all water
heaters covered in this rule. DOE
created the UEFWHAM parameter for
consumer water heaters and the UEFrd
parameter for residential-duty
commercial water heaters, which
represent the converted UEF value for
storage water heaters using the Water
Heater Analysis Model (WHAM) as a
basis for the conversions, along with
several simplifying assumptions.
Specifically, DOE assumed that the
standby heat loss coefficient (UA) and
recovery efficiency are the same for the
EF and UEF test procedure, and that the
nominal outlet water temperature is a
representative approximation of the
mean temperature of water within the
tank. For consumer and residential-duty
commercial instantaneous water
heaters, DOE derived an analytical
method for the conversion through
testing experience and commenter
feedback. DOE created the UEFmodel and
UEFmodel,rd parameters, which represent
the converted UEF value for
instantaneous water heaters using the
analytical methods derived by DOE.
DOE presented an in-depth derivation of
the analytical methods in the August
2016 SNOPR. 81 FR 59736, 59744–
59752 (August 30, 2016).
For the consumer storage uniform
energy factor analytical conversion,
Bradford White commented that the
DOE finding that average delivered
temperature versus mean tank
temperature is higher for electric than
gas-fired storage water heaters is
inconsistent with their testing
experience and does not fundamentally
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make sense due to water temperature
stacking in gas-fired storage water
heaters. (Bradford White, No. 26 at p. 2)
Although DOE acknowledges that there
is apparently a difference between the
testing results observed by Bradford
White and those observed by DOE, as
the August 2016 SNOPR explained after
discussing several potential
assumptions about mean tank
temperatures, the analytical model that
best predicts UEF tested values uses the
assumption that the mean tank
temperature and delivered temperature
were the same, regardless of fuel type.
81 FR 59736, 59747 (August 30, 2016).
As a result, DOE did not change its
assumptions related to the mean tank
temperature and delivered water
temperature based on either DOE’s data
or Bradford White’s data, as such
changes do not appear as though they
would improve the accuracy of the
conversion equation. Bradford White
also commented that it does not agree
that the UA and recovery efficiency will
not change with the change in test
procedure. (Bradford White, No. 26 at p.
2) DOE agrees that UA and recovery
efficiency are different when testing to
the EF test procedure than when testing
to UEF test procedures, and so stated in
the August 2016 SNOPR in addressing
similar comments at that stage. 81 FR
59736, 59747 (August 30, 2016). DOE
also stated that the analytical model that
best predicts UEF test results uses the
assumption that UA and recovery
efficiency did not change with a change
in test procedure. Id. Bradford White
did not provide any data as would cause
DOE to alter the tentative conclusion it
reached in the August 2016 SNOPR.
Accordingly, for this final rule, DOE has
decided to continue to use the
assumption that UA and recovery
efficiency are the same in both the EF
and UEF test procedures, as it provides
the best prediction of the measured
UEF. DOE recognizes that this
assumption is a simplification of the
realities of how water heaters operate
under the old and new test procedures.
The use of simplifying assumptions is
appropriate in the development of an
analytical model. The model is not
intended to capture every aspect of the
physical behavior of water and heat in
these products down to the last detail.
Rather, it is meant to provide a
physically meaningful description that
reflects the most significant features of
water-heater physics and engineering so
as to enable DOE to develop a
mathematically-tractable conversion
formula. To serve that purpose, DOE
considers it appropriate to make
simplifying assumptions like those
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regarding UA and recovery efficiency
where, as discussed, doing so improves
rather than decreases the predictive
accuracy of the model.
Although, as previously noted, DOE
developed a conversion based on
analytical methods for converting the EF
to UEF for all types of water heaters, as
proposed in the August 2016 SNOPR.
For the reasons explained in the
SNOPR, DOE is choosing in this rule to
use the analytical method approaches
only for: (1) The conversion of
maximum GPM under the prior test
method to maximum GPM under the
current test method for consumer
instantaneous water heaters; and (2) the
conversion of thermal efficiency and
standby loss to UEF for electric
instantaneous residential-duty
commercial water heaters. 81 FR 59736,
59774 and 59778 (August 30, 2016). For
the maximum GPM conversion for
consumer instantaneous water heaters,
DOE concludes that the analytical
method predicts the resultant data very
closely and will broadly apply to those
units not tested, making it preferable to
other approaches. For electric
instantaneous residential-duty
commercial water heaters, DOE did not
have test data that would be appropriate
for use in a regression analysis, thereby
precluding the use of an empirical
regression approach or the ‘‘hybrid’’
approach that combines an analytical
method with a regression analysis. For
the remaining conversion factors, DOE
uses either the empirical regression
approach (see section III.C.2) or the
‘‘hybrid’’ approach (see section III.C.3).
2. Empirical Regression Approach
The second category of conversion
factors considered by DOE is empirical
regression. In this approach, a collection
of water heaters are tested according to
both the former test procedure and the
new test procedure. The resultant
performance metrics, as well as other
data on the units (e.g., storage volume,
input rate), are compiled, and statistical
techniques are used to create
correlations that relate the new
performance metrics to the prior metrics
and characteristics. No consideration of
the underlying physics is used in this
approach. Rather, it is purely a datadriven method. The advantage of this
approach is that the results are not
affected by existing assumptions on how
a water heater should behave under
given conditions, with the results
representing exactly what is observed in
actual comparison testing. This
approach should capture all factors that
affect the energy efficiency and delivery
capacity, even though those factors may
not be known a priori.
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Empirical regression also has some
drawbacks. One drawback is that the
resulting equations are most confidently
applied to water heaters with attributes
similar to those that were tested.
Consequently, to minimize
uncertainties, a large sample for testing
is often appropriate to capture more
fully many of the nuances in water
heater design. If extended to units not
sufficiently similar to those that were
tested, the equations may produce
unacceptably large differences between
predicted and measured values if a
feature on the untested model has an
effect that is not captured in the
experimental data. Another major
drawback is that empirical regression is
susceptible to experimental
uncertainties. While uncertainties can
be reduced through careful quality
checks of experimental data, uncertainty
is present in any test. The empirical
regressions, being based on many
samples across multiple different units,
will further reduce the uncertainty, but
some amount of uncertainty in the
regression may be unavoidable.
In the April 2015 NOPR and August
2016 SNOPR, DOE noted that it was not
aware of an analytical method for
determining the first-hour rating, and
proposed to use an empirical regression
methodology for developing the
mathematical conversion factors for
first-hour rating. DOE believed this
approach would be more accurate than
attempting to develop an analytical
method. 80 FR 20116, 20125–20128
(April 14, 2015) and 81 FR 59736, 59752
(August 30, 2016). DOE did not receive
any comments suggesting an alternate
methodology for determining first-hour
rating, and, thus, DOE is establishing
conversion factors for those metrics and
product types based on the use of the
empirical regression methodology. In
the August 2016 SNOPR, DOE found
that the conversion equations for heat
pump water heaters resulting from the
analytical method (see section III.C.1)
and hybrid regressed-analytical
approach (see section III.C.3) had higher
root-mean-square deviation (RMSD)
values than those resulting from the
empirical regression approach. 81 FR
59736, 59752, 59768 (August 30, 2016).
Therefore, for the reasons explained in
the August 2016 SNOPR and noted
above, DOE is establishing a
mathematical conversion for heat pump
water heaters based on the empirical
regression approach. Finally, for the
reasons explained in the August 2016
SNOPR (81 FR 59736, 59778 (August 30,
2016)), for residential-duty commercial
electric instantaneous water heaters,
DOE has concluded that it is
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appropriate to assume that the delivery
capacity would be heavily dependent on
the input rating for electric
instantaneous water heaters, and, thus,
DOE developed an equation to predict
maximum GPM as a function of input
rate based on a regression analysis.
3. Hybrid Approach
DOE also analyzed a combination of
the analytical methods approach and
empirical regression approach, termed a
hybrid approach. In this approach, a
broad range of water heaters are tested,
as would be done in using empirical
regression. An additional factor is added
to the list of attributes that is examined
in the regression; this factor uses the
analytical methods to first estimate the
converted value. This estimate of the
revised performance metric (maximum
GPM, first-hour rating, or UEF) for each
water heater tested is then used as an
independent variable in a regression to
determine the measured UEF. DOE
believes that this approach takes
advantage of the ability of the analytical
methods approach to capture the major
known factors that affect the efficiency,
yet adds the additional step of
regression to account for any influences
that are not well described by the
analytical methods. DOE uses this
approach for the conversion factors
adopted to convert from EF to UEF for
all types of water heaters except for heat
pump water heaters, for which the
empirical regression approach is used
(see section III.C.2), and residential-duty
commercial electric instantaneous water
heaters, for which the analytical
methods approach is used (see section
III.C.1).
D. Testing Results and Analysis of Test
Data
DOE used actual test data as part of
the basis for the conversion factors and
to validate the results. DOE selected
models for testing based on their
characteristics being representative of
the broader market. DOE also used test
data supplied by AHRI in developing
the mathematical conversion factors,
and in total, the conversion factors
prescribed by this final rule are based
on test results for 264 basic models. The
August 2016 SNOPR includes a detailed
description of the characteristics of the
models used in the development of the
mathematical conversion factors. 81 FR
59736, 59760–59779 (August 30, 2016).
1. Impact of Certain Water Heater
Attributes on Efficiency Ratings
After conducting testing on all of the
selected water heaters according to both
the prior test procedures and the
uniform efficiency descriptor test
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procedure, DOE examined how
particular attributes of water heaters
might affect the conversion factors and
investigated the approaches discussed
in section III.C for obtaining conversion
factors. The goal of this analysis was to
determine whether or not particular
attributes would warrant separate
conversion equations. DOE investigated
attributes such as: (1) NOX emission
level; (2) short or tall configuration; (3)
vent type; (4) standing pilot versus
electronic ignition; (5) whether
condensing or heat pump technology is
used; and (6) whether the unit is
tabletop. The RMSD between the
measured values and the values
obtained through various conversion
methods was compared. The conversion
approach with the lowest cumulative
RMSD value for a particular fuel type
was considered to be the best candidate
for the conversion equation.
No comments were received in
response to the August 2016 SNOPR
suggesting different combinations of
water heater attributes to examine in
regards to the derivation of conversion
factors. Accordingly, in this final rule,
DOE does not change the combination
of water heater attributes used to derive
the mathematical conversion factors. 81
FR 59736, 59760 (August 30, 2016).
2. Conversion Factor Derivation
DOE used the methods described in
section III.C to derive the mathematical
conversion factor for the different types
of water heaters covered within the
scope of this rulemaking (as discussed
in section III.B). This section describes
the methodology that was applied to
develop a conversion factor for each
type of water heater.
a. Consumer Storage Water Heaters
In total, DOE conducted testing of 55
consumer storage water heater models
using both the EF and UEF test
procedures, and likewise, AHRI
supplied test data for 130 consumer
storage water heater models using both
the EF and UEF test procedures.8 9 In the
August 2016 SNOPR, DOE presented the
test data used to derive the consumer
8 The AHRI submitted data points 2–5 and 2–6
were not used in this analysis as the reported
recovery efficiencies were 98 percent and not
calculated from test data.
9 If multiple tests were conducted on either the
same unit or same basic model of a water heater,
the results were averaged to produce the values
reported in this final rule. In one instance within
the AHRI-submitted data for consumer storage
water heaters, three tests were conducted, where
two tests were conducted on the same unit and
another test was conducted on a unit of the same
basic model. The two tests of the same unit were
averaged, and this value was then averaged with the
results of the test of the unit of the same basic
model.
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storage water heater conversion factors
and the water heater attributes by unit,
respectively. 81 FR 59736, 59761–59767
(August 30, 2016).
In response to the August 2016
SNOPR, Bock Water Heaters, Inc. (Bock)
provided test data for its 32E consumer
oil-fired storage water heater. Bock
stated that the DOE test model labeled
in the August 2016 SNOPR as ‘‘CS–27’’
was the most similar to the 32E, but that
it was unclear if the 32E was the actual
unit tested in the SNOPR due to the
measured first-hour rating under the EF
test procedure being well below that of
32E. (Bock, No. 29 at p. 1) In response,
DOE confirms that CS–27 was the Bock
32E. DOE reviewed its test data and did
not identify any errors in the testing, nor
does DOE have access to the raw test
data from Bock to reconcile the
difference in results. Therefore, DOE
treated all three points as valid test
points and in order to factor in the Bock
data, averaged DOE’s data point with
the test results of the two units provided
by Bock and derived the conversion
factors with this updated test data. The
test data replacing CS–27 is shown in
Table III.3.
TABLE III.3—UPDATED CONSUMER STORAGE WATER HEATER TEST DATA POINT
CS No.
AHRI No.
Type
Storage
volume
(gal)
Input rate
(Btu/h)
Prior FHR
(gal)
Updated
FHR
(gal)
Prior
recovery
efficiency
(%)
EF
UEF
27 ..............
N/A ............
Oil ..............
30.2
103,800
153.3
128.5
91.6
0.621
0.641
For consumer storage water heaters,
DOE used the regression method
described in section III.C.2 to predict
first-hour ratings (FHRs) under the UEF
test procedure to be used in the
conversion to UEF since DOE is not
aware of an ‘‘analytical approach’’ that
can be used to predict first-hour ratings.
Of the factors considered, DOE found
that the first-hour rating determined
under the EF test procedure was the best
overall predictor of the new first-hour
rating. These findings were based on the
RMSDs between predicted and
measured values. The resulting
equations for determining the new FHR
of consumer storage water heaters are
presented in Table III.4.
TABLE III.4—CONSUMER STORAGE WATER HEATER FIRST-HOUR RATING CONVERSION FACTOR EQUATIONS
Product class
Distinguishing criteria
Consumer Gas-fired Water Heater
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Consumer Oil-fired Water Heater ...
Consumer Electric Water Heater ....
Non-Condensing, Standard or Low
NOX.
Non-Condensing, Ultra-Low NOX ..
Condensing ....................................
N/A .................................................
Electric Resistance ........................
Tabletop .........................................
Heat Pump .....................................
In the equations, ‘‘New FHR’’ is the
predicted first-hour rating that would
result under the UEF test method and is
used for conversion to UEF; ‘‘FHRP’’ is
the first-hour rating determined under
the EF test procedure, and the slope and
intercept are constants obtained from a
linear regression. While most of the data
allowed for such a regression fit, in two
cases (condensing gas-fired and oilfired) the available data were too limited
to produce reliable regressions for the
full set of parameters. To constrain the
regression so as to generate more
reliable predictions for those smaller
sets of data, the intercepts of the
regressions were assigned a value of
zero, meaning that a water heater with
an FHRP of zero would also have a New
FHR of zero. This assignment is
reasonable because if a hypothetical
water heater were not able to deliver
any water under the EF test procedure,
it also would not be able to deliver
water under the UEF test procedure.
Bock commented that the first-hour
rating conversion proposed in the
SNOPR for consumer oil-fired water
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Conversion factor
New FHR = 7.9592 + 0.8752 × FHRP.
New
New
New
New
New
New
FHR
FHR
FHR
FHR
FHR
FHR
=
=
=
=
=
=
25.0680 + 0.6535 × FHRP.
1.0570 × FHRP.
0.9102 × FHRP.
9.2827 + 0.8092 × FHRP.
41.5127 + 0.1989 × FHRP.
¥4.2705 + 0.9947 × FHRP.
heaters was different in both direction
and magnitude from its supplied test
data and requested the conversion be
reexamined. (Bock, No. 29 at p. 2) DOE
notes, however, that the conversion
factor must cover a range of water
heaters, including models from
manufacturers other than Bock. That the
conversion is not the same as what one
would get from Bock’s tests alone does
not invalidate it.
In response to the first-hour rating
mathematical conversion developed in
the SNOPR, Bradford White commented
that the conversion is too inaccurate,
but that it did not have an alternative
suggestion. (Bradford White, No. 26 at p.
3) AHRI commented that the inaccuracy
of the conversion causes models be
converted to bins to which they were
not tested. (AHRI, No. 27 at p. 6) In
response, DOE notes that it explored
several possible conversions for
developing the first-hour rating
conversion. The best trend was observed
based on a regression as a function of
first-hour rating. The average RMSD
value resulting from this approach (7.73
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gallons) is the lowest RMSD observed in
the FHR analysis, and DOE is unaware
of any approaches that would result in
lower RMSDs. DOE received no
comments suggesting methods that
would result in a lower RMSD for the
first-hour rating conversion. DOE
acknowledges that some models can
have a converted FHR that would
classify it into one draw pattern and a
tested FHR that would classify it into
another as a result of the difference
inherent with a mathematical
representation of a physical system.
DOE views such a result as unavoidable;
as discussed above in section III.A, any
conversion formula applied to a broad
set of models will leave some residual
differences for many models. Those
differences can push a model at the edge
of one category into another. However,
DOE will not take enforcement action
regarding such a model if there is
adherence to the provisions discussed
in section III.E. For models entering the
market after July 13, 2015,
representations will have to be based on
tested UEF values, and the appropriate
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energy conservation standards set forth
in section III.D.3 will need to be met.
Thus, for such units, the issue of a
converted FHR value resulting in
classification into the wrong draw
pattern bin is not applicable.
After determining the converted firsthour rating, the next step in the
conversion process is to determine
which draw pattern is to be applied to
convert from EF to UEF. After the firsthour rating under the uniform efficiency
descriptor is determined using the
conversion factor above, that value can
be applied to determine the appropriate
draw pattern bin (i.e., very small, low,
medium, or high) using Table 1 of the
uniform efficiency descriptor test
procedure. 10 CFR part 430, subpart B,
appendix E, section 5.4.1. In the August
2016 SNOPR, DOE proposed to use the
‘‘hybrid approach’’ for all non-heat
pump water heaters and the ‘‘empirical
regression approach’’ for heat pump
water heaters. 81 FR 59736, 59768
(August 30, 2016). DOE received no
comments on the SNOPR regarding
these conversion approaches and has,
therefore, for the reasons provided in
the August 2016 SNOPR, adopted the
conversion factors found in Table III.6.
DOE notes that the UEF conversion
factor for consumer oil-fired storage
water heaters has been updated based
upon the addition of the Bock test data.
With the draw bin known, the UEF
value based on the WHAM analytical
model (i.e., UEFWHAM) can be calculated
using the equation and the coefficient
values presented in Table III.5 for all
consumer non-heat pump storage water
heater types, where EF is the energy
factor; hr is the recovery efficiency in
decimal form; and P is the input rate in
Btu/h. The UEF value can be calculated
for heat pump storage water heater
using the equation in Table III.6, which
does not rely on the UEFWHAM value
from the analytical model.
TABLE III.5—COEFFICIENTS FOR THE ANALYTICAL UEF CONVERSION FACTOR FOR CONSUMER STORAGE WATER
HEATERS, EXCEPT CONSUMER HEAT PUMP STORAGE WATER HEATERS
Draw pattern
a
Very Small .......................................................................................................
Low ..................................................................................................................
Medium ............................................................................................................
High ..................................................................................................................
In the equations in Table III.6,
UEFWHAM is a predicted value of UEF
b
0.250266
0.065860
0.045503
0.029794
calculated based on the WHAM
analytical model, EF is the measured
c
57.5
57.5
57.5
57.5
d
0.039864
0.039864
0.039864
0.039864
67.5
67.5
67.5
67.5
energy factor, and DV is the drawn
volume in gallons.
TABLE III.6—CONSUMER STORAGE UEF CONVERSION FACTOR EQUATIONS
Distinguishing criteria
Consumer Gas-fired Water Heater
Consumer Oil-fired Water Heater ...
Consumer Electric Water Heater ....
Non-Condensing, Standard or Low
NOX.
Non-Condensing, Ultra-Low NOX ..
Condensing ....................................
N/A .................................................
Conventional ..................................
Tabletop .........................................
Heat Pump .....................................
srobinson on DSK5SPTVN1PROD with RULES2
b. Consumer Instantaneous Water
Heaters
DOE tested 22 consumer
instantaneous water heaters to both the
EF and UEF test procedures, and AHRI
supplied test data for 36 additional
units of this water heater type.10 11 DOE
10 The AHRI submitted test data point identified
as ‘‘CIS–5’’ was not used because the measured
input rate was greater than the maximum allowable
deviation from the rated input rate of 2 percent,
resulting in an invalid test.
11 To avoid weighting individual basic models
more heavily than others in the development of the
conversion factors, if multiple tests were conducted
on either the same unit or same basic model of a
water heater, the results were averaged to produce
the values reported in the SNOPR. 81 FR 59736,
59773 (August 30, 2016). In one instance within the
AHRI-submitted data for consumer instantaneous
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Conversion factor
New UEF = ¥0.0002 + 0.9858 × UEFWHAM.
New
New
New
New
New
New
UEF
UEF
UEF
UEF
UEF
UEF
=
=
=
=
=
=
0.0746 + 0.8653 × UEFWHAM.
0.4242 + 0.4641 × UEFWHAM.
¥ 0.0033 + 0.9528 × UEFWHAM.
0.4774 + 0.4740 × UEFWHAM.
¥ 0.3305 + 1.3983 × UEFWHAM.
0.1513 + 0.8407 × EF + 0.0043 × DV.
presented the consumer instantaneous
water heater test data and attributes in
the August 2016 SNOPR. 81 FR 59736,
59773–59774 (August 30, 2016).
As proposed in the August 2016
SNOPR, DOE used an analytical method
(see III.C.1) to convert the prior
measured values of maximum GPM
rating for consumer instantaneous water
heaters to the measured values under
the uniform efficiency descriptor test
procedure, because it predicts the
water heaters, three tests were conducted, where
two tests were conducted on the same unit and
another test was conducted on a unit of the same
basic model. The two tests of the same unit were
averaged, and this value was then averaged with the
results of the test of the unit of the same basic
model.
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resultant data very closely and will
broadly apply to those units not tested.
81 FR 59736, 59774 (August 30, 2016).
As discussed in section III.C.1, DOE also
developed an analytical method to
estimate the change in prior measured
values of energy factor under the energy
factor test procedure to measured values
of uniform energy factor under the
uniform efficiency descriptor test
procedure. DOE found that using the
‘‘hybrid approach,’’ which combined
the DOE-developed analytical method
with a regression analysis based on
measured UEF test data (as described in
III.C.3), resulted in the lowest RMSD
value and proposed to use that
conversion factor in the August 2016
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Product class
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
SNOPR. Id. DOE received no comments
on the consumer instantaneous water
heater conversion factors and, therefore,
for the reasons given in the SNOPR,
adopts the conversion factors proposed
in the August 2016 SNOPR, as shown in
Table III.8. In the equations in Table
III.8, Max GPMP is the maximum GPM
based on the prior DOE test procedure,
and UEFmodel is the predicted UEF
determined using the analytical model.
With the draw bin known, the
UEFmodel value can be calculated using
the equation and the coefficient values
presented in Table III.7 below for all
consumer instantaneous water heater
96217
types, where hr is the recovery
efficiency expressed in decimal form,
and A is dependent upon the applicable
draw pattern and fuel type.
TABLE III.7—COEFFICIENTS FOR THE ANALYTICAL UEF CONVERSION FACTOR FOR CONSUMER INSTANTANEOUS WATER
HEATERS
A
Draw pattern
Electric
Very Small ...............................................................................................................................................................
Low ..........................................................................................................................................................................
Medium ....................................................................................................................................................................
High ..........................................................................................................................................................................
0.003819
0.001549
0.001186
0.000785
Gas
0.026915
0.010917
0.008362
0.005534
TABLE III.8—CONSUMER INSTANTANEOUS UEF CONVERSION FACTOR EQUATIONS
Product class
Conversion factor
All Consumer Instantaneous ....................................................................
Gas-fired Instantaneous ...........................................................................
Electric Instantaneous ..............................................................................
srobinson on DSK5SPTVN1PROD with RULES2
DOE tested 8 residential-duty
commercial storage water heaters to
both the thermal efficiency and standby
loss and UEF test procedures, and AHRI
supplied test data for 12 additional
units.12 The August 2016 SNOPR
presented the attributes and test results
for residential-duty commercial storage
water heaters used in the development
of the conversion factors. 81 FR 59736,
59776–59777 (August 30, 2016).
DOE is not aware of an analytical
method to use the measured values from
the thermal efficiency and standby loss
tests conducted under the prior
commercial water heater test procedure
to estimate the first-hour rating under
the new test procedure. Therefore, DOE
used the empirical regression approach
(see section III.C.2) along with the best
combination of water heater attributes to
determine the first-hour rating
conversion factor. The empirical
12 If multiple tests were conducted on either the
same unit or same basic model of a water heater,
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conversion factor for the uniform energy
factor. 81 FR 59736, 59777 (August 30,
2016). DOE received no comments on
the uniform energy factor conversion for
residential-duty commercial storage
water heaters and for the reasons given
in the SNOPR, continues use of the
hybrid approach in this final rule.
Therefore, the resulting conversion
factors adopted in this final rule are the
same as those proposed in the August
2016 SNOPR, and are shown in Table
III.10.
With the draw bin known, the UEFrd
value (i.e., the predicted UEF value from
the analytical method alone) can be
calculated using the equation and the
coefficient values presented in Table
III.9 below for all residential-duty
commercial storage water heater types,
where P is the input rate in Btu/h; Et is
the thermal efficiency; SL is the standby
loss in Btu/h; and F and G are
coefficients as specified in the table
below based on the applicable draw
pattern.
the results were averaged to produce the values
reported in the August 2016 SNOPR. 81 FR 59736,
59776 (August 30, 2016).
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i. Gas-fired Storage and Oil-fired Storage
regression for converting first-hour
ratings presented in the August 2016
SNOPR was based on thermal efficiency
and rated storage volume. 81 FR 59736,
59777 (August 30, 2016). DOE clarifies
here that the storage volumes used in
the empirical regression were measured
storage volumes. The equations in Table
III.10 and in the regulatory text have
been updated to reflect this clarification.
The next step in the conversion is to
determine which draw pattern must be
applied to convert to UEF. After the
first-hour rating under the uniform
efficiency descriptor is determined
through the first-hour rating conversion
factor, the converted value can be
applied to determine the appropriate
draw pattern bin (i.e., very small, low,
medium, or high) using Table 1 of the
uniform efficiency descriptor test
procedure. 10 CFR part 430, subpart B,
appendix E, section 5.4.1. In the August
2016 SNOPR, DOE proposed to use the
hybrid approach (see section III.C.3) to
calculate the residential-duty
commercial storage water heater
ER29DE16.001</GPH>
c. Residential-Duty Commercial Water
Heaters
New Max GPM = 1.1461 × Max GPMP.
New UEF = 0.1006 + 0.8622 × UEFmodel.
New UEF = 0.9847 × UEFmodel.
96218
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
TABLE III.9—COEFFICIENTS FOR THE ANALYTICAL UEF CONVERSION FACTOR FOR RESIDENTIAL-DUTY COMMERCIAL
STORAGE WATER HEATERS
Draw Pattern
F
Very Small ...............................................................................................................................................................
Low ..........................................................................................................................................................................
Medium ....................................................................................................................................................................
High ..........................................................................................................................................................................
0.821429
0.821429
0.821429
0.821429
G
0.0043520
0.0011450
0.0007914
0.0005181
In Table III.10, Vm is the measured
storage volume, in gallons.
TABLE III.10—RESIDENTIAL-DUTY COMMERCIAL STORAGE UEF CONVERSION FACTOR EQUATIONS
Product class
Conversion factor
All Residential-Duty Commercial Storage Water Heaters .......................
As stated in the August 2016 SNOPR,
the maximum GPM conversion for
residential-duty commercial electric
instantaneous water heaters was found
using the empirical regression approach
(see section III.C.2), and the uniform
energy factor conversion was found
using the analytical methods approach
(see section III.C.1). 81 FR 59736, 59778
(August 30, 2016). DOE received no
comments about the maximum GPM or
UEF conversions for residential-duty
commercial electric instantaneous water
heaters, and, therefore, for the reasons
given in the August 2016 SNOPR,
adopts the equations below, where Q is
the input rate in kBtu/h; Et is the
thermal efficiency; and A is found using
the coefficients presented in Table
III.11. The appropriate draw pattern bin
(i.e., very small, low, medium, or high)
can be found by using the converted
New Max GPM value and Table 1 of the
uniform efficiency descriptor test
procedure. 10 CFR part 430, subpart B,
appendix E, section 5.4.1. There is no
further UEF conversion equation
needed, as the analytical method was
used directly, rather than the ‘‘hybrid’’
regression-analytical approach used for
other water heaters, and UEFrd,model is
equal to the New UEF.
srobinson on DSK5SPTVN1PROD with RULES2
New Max GPM = 0.0146 + 0.0295 *Q
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In response, A.O. Smith commented
that while the commenter would have
preferred using test data from electric
storage water heaters at or above 75
gallons, DOE’s approach to the
conversion was reasonable. (A.O. Smith,
No. 28 at p. 5) In contrast, the NRECA
Draw pattern
A
Joint Stakeholders 13 stated that the
Very Small ............................
0.003819 conversion for grid-enabled water
Low .......................................
0.001549 heaters should be based on real test data
Medium .................................
0.001186 and that there was not enough time to
High ......................................
0.000785 review the conversion. (NRECA Joint
Stakeholders, No. 30 at p. 2) Similarly,
Rheem stated that the differences in
d. Grid-Enabled Storage Water Heaters
design and functionality from regular
EPCA defines a ‘‘grid-enabled water
electric resistance water heaters to gridheater’’ as an electric resistance water
enabled water heaters resulting from the
heater that has a rated storage volume
additional requirements on grid-enabled
above 75 gallons, is equipped with an
water heaters (e.g., the activation lock),
activation lock that prevents the water
as well as the change in storage volume,
heater from delivering more than 50
may affect test results, and this cannot
percent of the rated first-hour rating
be represented through data
unless unlocked, and bears a permanent extrapolation and regression analysis.
label advising end-users of the intended Rheem further stated that it expects
and appropriate use of the product. (42
grid-enabled models to be introduced
U.S.C. 6295(e)(6)(A)(ii))
into the market in the near term, and
At the time of the analysis for the
suggested that DOE should postpone the
SNOPR, DOE was unable to identify any development of a conversion factor for
grid-enabled water heaters available on
grid-enabled water heaters until such
time that test data can be used to derive
the market which met the statutory
the conversion. (Rheem, No. 32 at pp. 4–
definition, nor does it have test data
6) In addition, AHRI and several
specific to grid-enabled water heaters.
manufacturers raised concerns regarding
However, due to the similarities in
the test method for grid-enabled water
design between grid-enabled water
heaters (which by definition are electric heaters. AHRI stated that the UEF test
procedure does not clearly specify how
resistance water heaters) and consumer
the activation lock first-hour rating
electric storage water heaters below 55
requirement will be validated or how
gallons that use electric resistance
elements, DOE based its proposed
13 The National Rural Electric Cooperative
conversion factor and energy
Associations (NRECA) submitted a comment on
conservation standard derivation for
behalf of itself, the Natural Resources Defense
grid-enabled water heaters on the
Council, Edison Electric Institute, Steffes
consumer electric storage water heater
Corporation, Rheem Manufacturing Company,
test data and the associated conversions Vaughn Thermal Corporation, and American Public
Power Association under the title ‘‘Joint
for below-55-gallon consumer electric
Stakeholders.’’ This comment is referred to as
storage water heaters. 81 FR 59736,
‘‘NRECA Joint Stakeholders’’ throughout this final
59778–59779 (August 30, 2016).
rule, as another joint comment was also submitted.
TABLE III.11—COEFFICIENTS FOR THE
ANALYTICAL UEF CONVERSION FACTOR FOR RESIDENTIAL-DUTY COMMERCIAL ELECTRIC INSTANTANEOUS
WATER HEATERS
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ii. Electric Instantaneous
New FHR = ¥ 35.8233 + 0.4649 × Vm + 160.5089 × Et.
New UEF = ¥ 0.0022 + 1.0002 × UEFrd.
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
96219
the thermostat should be set for a gridenabled water heater. (AHRI, No. 27 at
p. 3) A.O. Smith and Rheem supported
AHRI’s test procedure comments and
urged DOE to adopt a specific method
of test for grid-enabled water heaters.
(A.O. Smith, No. 28 at p. 4; Rheem, No.
32 at p. 5)
Since the publication of the August
2016 SNOPR, four models of gridenabled storage water heaters have been
added to the AHRI database.14 DOE was
able to find product literature published
on the manufacturer’s Web site for only
one the four models, which is
manufactured by Vaughn. The Vaughn
model is an 80-gallon electric resistance
water heater with an input of 4.5 kW
and an EF of 0.93. Product literature
indicates the model has 3 inches of
polyurethane foam insulation, two
heating elements, and is equipped with
a software activation lock to prevent the
unit being used outside of a utilitysponsored load management or demand
response program.15 As one would
expect, this model appears to be
essentially the same as an electric
resistance storage water heater, but with
an activation lock control that limits the
capacity unless the unit is used in a
utility-sponsored load management or
demand response program. DOE has no
reason to expect that future designs for
grid-enabled water heaters would differ
significantly from Vaughn’s design, and
after considering the design of the gridenabled water heater currently on the
market from Vaughn, DOE disagrees that
there are significant differences in
design and functionality between
regular electric resistance water heaters
and grid-enabled water heaters that
would affect the results under either the
old or the current test procedure. DOE
notes that a typical consumer electric
water heater at or below 55 gallons
would have a rated input of 4.5 kW, two
resistance heating elements, and three to
four inches of insulation, which is
similar to the characteristics of the
Vaughn model. One significant
difference is the change in storage
volume; however, DOE continues to
conclude that the difference is a matter
of scale, not technology, and, thus,
would be well modeled by the WHAM
analytical model. Further, DOE tested
one 80 gallon electric storage water
heater (which, as noted above, is
expected to be similar in design to gridenabled water heaters), and the
measured UEF for the high draw pattern
was 0.94, which is greater than the UEF
standard level proposed in the August
2016 SNOPR of 0.92 for this size unit.
81 FR 59736, 59784 (August 30, 2016).
Regarding concerns related to the
applicability of the test procedure, DOE
notes that there is no separate test
method for grid-enabled water heaters.
Grid-enabled water heaters should be
tested pursuant to the test procedure in
Appendix E to Subpart B of part 430. As
discussed above, DOE expects that
designs for grid-enabled water heaters
will, for the most part, consist of an
electric resistance storage water heater
that is equipped with a control
mechanism to limit the capacity until
activated by a utility company (i.e., an
activation lock). Thus, DOE sees no
reason why the current Federal test
method would not be applicable and
representative of grid-connected water
heaters. DOE believes manufacturers
may have questions regarding set-up of
grid-connected water heaters pursuant
to the test method for which DOE is
willing to work through. To the extent
that the current test procedure is
inapplicable, any interested person may
submit a petition for waiver for a
particular basic model from any
requirements of the Federal test
procedure, upon the grounds that the
basic model contains one or more
design characteristics which either
prevent testing of the basic model
according to the prescribed test
procedures or cause the prescribed test
procedures to evaluate the basic model
in a manner so unrepresentative of its
true energy and/or water consumption
characteristics as to provide materially
inaccurate comparative data. 10 CFR
430.27(a)(1).
After considering the comments, DOE
has decided to use the conversion
factors for consumer electric storage
water heaters below 55 gallons of
storage volume for grid-enabled water
heaters as initially proposed in the
August 2016 SNOPR and shown below.
In the equation for the converted firsthour rating (‘‘New FHR’’), FHRP is the
first-hour rating based on the EF test
procedure in gallons. The converted
UEF (‘‘New UEF’’) equation is based on
the UEFWHAM (resulting from the
analytical method), which is calculated
as shown in the equation below where
hr is the recovery efficiency based on the
EF test procedure, P is the input rate in
Btu/h, and a, b, c, and d are coefficients
to the WHAM analytical model and can
be found using Table III.5.
New UEF = 0.4474 + 0.4740 × UEFWHAM
termed the ‘‘representative model’’
method. 81 FR 59736, 59779–59780.
The ‘‘representative model’’ method,
consists of the following steps for
determining the minimum UEF
standard:
1. Using the DOE compliance
certification database and AHRI
Directory, for minimally-compliant
models, determine the unique rated
storage volumes available on the market
prior to July 13, 2015 (the date on which
DOE’s requirement that rated storage
volume equal the mean of the measured
storage volume was effective).16
2. For each rated storage volume
identified in step 1, find average values
of conversion factor inputs (i.e., input
rating and recovery efficiency for
consumer water heaters (except
consumer heat pump water heaters),
and input rating for residential-duty
commercial water heaters) for
minimally-compliant basic models in
each product class. (For product classes
where no minimally-compliant models
exist on the market, DOE used other
16 As discussed in section III.D.3.a, in the July
2014 final rule, DOE amended the certification
requirements for consumer water heaters to specify
that the rated storage volume of a water heater must
be the mean of the storage volumes measured over
the sample of tested units. 79 FR 40542, 40565–
40566 (July 11, 2014)
After developing the mathematical
conversion factors to convert from the
prior tested values under the EF metric
to the tested values under the UEF
metric, DOE used the conversion factors
to translate the energy conservation
standards to be in terms of UEF. In the
August 2016 SNOPR, DOE developed a
methodology for translating the existing
energy conservation standards to UEF,
14 See: https://www.ahridirectory.org/
ahridirectory/pages/home.aspx.
15 See: https://www.vaughncorp.com/utilities/.
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3. Energy Conservation Standard
Derivation
New FHR = 9.2827 + 0.8092 × FHRP
srobinson on DSK5SPTVN1PROD with RULES2
96220
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
methods to estimate the characteristics
of minimally-compliant models, which
were discussed in detail in the August
2016 SNOPR. 81 FR 59736, 59780–
59782 (August 30, 2016))
3. Calculate the energy conservation
standard (in terms of energy factor for
consumer water heaters and thermal
efficiency/standby loss for residentialduty commercial water heaters (with
input rate for determining standards
found from step 2)) for each product
class based on the rated storage volume,
as reported in the DOE compliance
certification database and AHRI
Directory at the time of this analysis
(before DOE’s requirement that rated
storage volume equal the mean of the
measured storage volume was effective).
4. Using applicable average values for
conversion factor inputs determined in
step 2 and the applicable minimum
energy conservation standards
calculated in step 3, calculate the
equivalent UEF for minimallycompliant models at each discrete rated
storage volume (determined in step 1)
using the appropriate conversion factor
for the product class.
5. Adjust the rated storage volumes to
estimate the rated storage volume that
would reflect DOE’s requirement at 10
CFR 429.17(a)(1)(ii)(C) that rated storage
volume equal the mean of the measured
storage volume of all units within the
sample. DOE estimated that for electric
storage water heaters, the rated storage
volume would decrease by 10 percent,
and for gas-fired and oil-fired water
heaters, the rated storage volume would
decrease by 5 percent.
6. For each product class and draw
pattern, using a simple regression, find
the slope and intercept where the
independent variable is the range of
adjusted rated storage volumes
(determined in step 5) and the
dependent variable is the UEF values
associated with the rated storage
volumes and specific draw pattern
calculated in step 4.
AHRI commented that for models at a
discrete rated volume and with
equivalent efficiency characteristics, the
highest input rate should be used
instead of the average input rate, as a
higher input rate would result in a
lower measured EF or UEF. AHRI
commented further that DOE should
release the actual derivations of the
values used by DOE, as it believes the
use of average input rates reflects an
error in the DOE analysis. (AHRI, No. 27
at p. 3) DOE notes that the
‘‘representative model’’ method was not
intended to analyze the worst-case EF or
UEF at a particular volume, but rather
to examine typical units that are
representative of minimally compliant
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models at that volume. Thus, this
method does not ensure all models on
the market convert to at or above the
standards. Rather, as the last step is the
application of a linear regression, some
of the representative models will be
below the standards. This corresponds
to the potential for some models on the
market to have UEF ratings below the
converted standards, which is to be
expected as discussed in section III.A.
Models that fall below the converted
UEF standards may qualify for DOE’s
enforcement policy, as discussed in
section III.E. Thus, DOE continued to
use a representative value for the input
rate in its calculations, rather than using
the maximum input rate as suggested by
AHRI. Based on the other comments
received from AHRI and other
stakeholders, in regards to the
mathematical method DOE
implemented and discussed
subsequently in the next paragraph,
DOE does not believe releasing the
actual derivations would provide any
benefit to the analysis. DOE has released
the summary data in docket for each
step in the rulemaking process such that
its data is transparent and the results of
the calculations are published as well.
Any stakeholder can run a regression
analysis in Excel on the dataset it
wishes to mirror. Minor adjustments to
specific standard levels were requested
and addressed independently.
Several commenters submitted an
analysis of converted UEF values based
on published data, and compared those
values to the proposed UEF standards.
DOE notes that many of the comments
received in response to the SNOPR
appear to contain calculation errors.
Thus, DOE seeks to clarify the process
for applying the conversion factors, and
has slightly re-organized the regulatory
text at the end of this document in an
attempt to clarify the process for
applying the conversion factors. When
converting the first-hour rating or
maximum GPM values, apply the
appropriate delivery capacity
conversion equation, and round to the
nearest gallon for the converted firsthour rating and nearest 0.1 gpm for the
converted maximum GPM. Use this
rounded delivery capacity value to
determine the appropriate draw pattern
bin (very small, low, medium, or high)
as initially specified in either Table 1 or
Table 2 of the uniform efficiency
descriptor test procedure, and as also
adopted in 10 CFR 429.17 in this final
rule. 10 CFR part 430, subpart B,
appendix E, section 5.4.1. With the
draw pattern known, apply the
appropriate UEF conversion for that
draw pattern and water heater type, and
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round the result to the hundredths
decimal place. To calculate the
applicable minimum EF standard for a
particular model, use the rated storage
volume, as determined before July 13,
2015 (i.e., before the requirement that
the rated storage volume equal the mean
of the measured storage volumes from
testing was applicable) directly in the
applicable equation. To calculate the
minimum UEF for a particular model,
either use the measured storage volume
from testing or, if that information is not
available, correct the rated storage
volume to approximate the rated storage
volume under the requirement that the
rated storage volume be the mean of the
measured volumes of the test sample.
For electric storage water heaters and
fossil fuel-fired storage water heaters,
DOE applied a 10 percent and 5 percent
decrease, respectively, to the rated
storage volume to approximate the
measured storage volume. Round the
approximated measured storage volume
to the nearest gallon, and use it to
determine the minimum UEF
requirement. Round the minimum EF
and UEF values to the hundredths
decimal place. DOE notes that in order
to de-identify the models tested, the
August 2016 SNOPR did not present
rated values, so commenters, therefore,
could not determine the minimum EF
standard (as they did not have the rated
storage volume) or compare the
measured EF results to the rated EF.
Minimum UEF values could be
determined by using the stated
measured storage volume rounded to
the hundredths decimal place. In the
discussion below, when comparing
either a measured or converted EF or
UEF value to the appropriate energy
conservation standard, all values have
been rounded to the hundredths
decimal place.
California Investor Owned Utilities 17
(CA IOUs) stated that they support the
proposed conversion equations. (CA
IOUs, No. 25 at p. 2) ASAP Joint
Stakeholders 18 provided a table with
the number of models, by water heater
type, in the AHRI Directory that did not
meet the proposed UEF standards after
having the appropriate conversion
factors applied. The ASAP Joint
17 Pacific Gas and Electric Company, Southern
California Gas Company, San Diego Gas and
Electric, and Southern California Edison
collectively submitted a comment under the title
California Investor Owned Utilities (CA IOUs).
18 The Appliance Standards Awareness Project
(ASAP) submitted a joint comment on behalf of
itself, the American Council for an Energy Efficient
Economy, the Northeast Energy Efficiency
Partnerships, the Northwest Energy Efficiency
Alliance, and the Alliance to Save Energy
collectively. This comment is referred to as ‘‘ASAP
Joint Stakeholders’’ throughout this final rule.
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Stakeholders stated that the distribution
of non-compliant models is not evenly
distributed across the water heater
product classes, and in particular, that
DOE should reexamine its converted
standard for tabletop water heaters. For
all other product classes, the ASAP Joint
Stakeholders commented in support of
the proposed conversions. (ASAP Joint
Stakeholders, No. 31 at pp. 1–3) Rheem
also stated that none of the tabletop
water heaters convert to pass the
proposed standards and requested the
levels be decreased by 0.04. (Rheem, No.
32 at p. 11) DOE examined the
commenters’ results for tabletop water
heaters and believes that the
commenters made an error in the
calculation of non-complying models.
After applying the proposed
conversions for consumer electric
storage and tabletop water heaters, DOE
found that no models would have
converted UEF values below the
proposed UEF standards. However, for
all other water heater types, DOE found
similar results to those reported by
ASAP Joint Stakeholders. Therefore,
DOE has determined that no
adjustments to the proposed energy
conservation standards for tabletop
storage water heaters are necessary.
For consumer gas-fired storage water
heaters greater than or equal to 20
gallons but less than or equal to 55
gallons in the high draw pattern,
Bradford White recommended the
proposed level be decreased by 0.015.
(Bradford White, No. 26 at p. 4) AHRI
commented that 16 of the 62 consumer
gas-fired storage water heater basic
models tested for this rulemaking tested
into the high draw pattern had
measured UEF values below the
proposed standard and requested the
proposed level be decreased by 0.02.
(AHRI, No. 27 at p. 2) Rheem
commented that 37 of the 86 consumer
gas-fired storage water heater basic
models in the high draw pattern in the
AHRI Directory convert to below the
proposed standard and requested the
proposed level be decreased by 0.01.
(Rheem, No. 32 at p. 9) In reviewing its
test data for the August 2016 SNOPR,
DOE has found that 9 of the 61 19
models tested had measured UEF values
below the proposed standard, but that 6
of these 9 models also had measured EF
values below the existing EF standard.
Thus, most models with measured EF
values at or above the current EF
standard had measured UEF values at or
19 CS–95 has a measured first-hour rating of 74.6
gallons and was tested to the medium draw pattern.
If the first-hour rating is rounded to the nearest
gallon, it would have been tested in the high draw
pattern.
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above the proposed UEF standard.
Further, as discussed in section III.A,
DOE expects certain models that meet
the current EF standard will not meet
the UEF standard when tested. DOE
accounts for this possibility through
applying an enforcement policy to
certain models, as discussed in section
III.E. Further, when DOE analyzed
converted values for models on the
market based on their published ratings,
as was done by Rheem,20 DOE found
that for consumer gas-fired storage water
heaters that would be classified in the
high draw pattern based on their
converted first-hour rating, none have
converted UEF values below the UEF
standard level proposed in the August
2016 SNOPR. Thus, DOE concludes an
adjustment to the proposed UEF
standard for consumer gas-fired storage
water heaters in the high-use draw
pattern bin is not warranted.
For consumer gas-fired storage water
heaters less than or equal to 55 gallons
in the low-draw-pattern bin, Rheem
stated that it found two EF-compliant
models that would have a converted
UEF 0.01 below the proposed standard,
the data for which was supplied to DOE
by AHRI during the development of the
SNOPR. Further, Rheem stated that the
SNOPR test data does not include any
consumer gas-fired storage water heaters
with a measured first-hour rating that
would place the model in the low draw
pattern and that it cannot identify these
models within the tested data.
Therefore, Rheem requested the
proposed standards be decreased by
0.01. (Rheem, No. 32 at p. 9) In
examining the August 2016 SNOPR test
data, DOE notes that AHRI supplied test
data for the consumer gas-fired storage
water heaters identified as CS–66, CS–
70, CS–89, CS–99, and CS–137, for
which the application of the NOPR
conversion factors for first-hour ratings
would result in a converted first-hour
rating that would classify the models in
the low-draw-pattern bin. However,
when applying the August 2016 SNOPR
conversion factors, these models have
converted first-hour ratings that would
classify them in the medium-drawpattern bin, and no models within the
entire test data set have a converted
first-hour rating that would result in
testing to the low draw pattern. CS–89
20 To convert from represented values under the
previous metrics (i.e., EF, TE, and SL) to
represented values under the UEF metric,
manufacturers should utilize measured values
obtained during testing under the previous test
methods, where those values are required in the
conversion factor equations. DOE provides an
analysis of converted values based on published
ratings for illustrative purposes only, in order to
respond to commenters who performed analysis
based on the rated values.
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96221
and CS–90 (identified by AHRI as
models CGS–17 and CGS–18,
respectively) were tested to the low
draw pattern, and AHRI provided those
test results in response to the NOPR.
DOE notes that CS–89 has a measured
EF 0.05 above the minimum EF and a
measured UEF 0.06 above the minimum
UEF, while CS–90 has a measured EF
0.01 above the minimum EF and a
measured UEF 0.01 above the minimum
UEF. Therefore, DOE has determined
that a decrease in the efficiency level for
consumer gas-fired storage water heaters
in the low draw pattern is not
warranted.
For consumer electric storage water
heaters less than or equal to 55 gallons
in the low draw pattern, Bradford White
recommended the proposed level be
decreased by approximately 0.01 UEF to
make the associated formula to 0.9160—
(0.0003 × Vr). (Bradford White, No. 26 at
p. 4) For those same water heaters,
AHRI commented that all 11 basic
models that were tested had measured
UEF values below the proposed
standard and requested the proposed
standard be decreased by 0.01. (AHRI,
No. 27 at p. 2) Rheem stated that 21 of
the 31 electric storage water heaters that
would have a converted first-hour rating
that would classify them in the low
draw pattern in the AHRI directory have
converted UEF values below the
proposed UEF standard, and that most
of those models are around 30 gallons.
Rheem requested that either the
proposed standard be decreased by 0.01
or the slope be adjusted to allow the 30
gallon units to pass. (Rheem, No. 32 at
pp. 9–10)
Rheem also commented that under
the EF test procedure, electric storage
water heaters only had to be tested once,
and provisions were in place to allow
multiple wattage configurations to be
rated using the one test. Under the UEF
test procedure, Rheem noted that
electric storage water heaters now have
to test each wattage to the first-hour
rating test, and if a lower wattage puts
the model in a different draw bin, the
different UEF standard in that lower bin
may not be met, whereas that
configuration complied with the
corresponding EF standard. Rheem
commented that this essentially means
the UEF standards for these draw
patterns are more stringent than the EF
standards. (Rheem, No. 32 at p. 10)
In examining the August 2016 SNOPR
test data, DOE found that 12 of the 13
consumer electric storage water heaters
with storage volumes below 55 gallons
that were tested in the low draw pattern
had measured UEF values below the
proposed standard; however, 9 of those
12 models also had measured EF values
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below the EF energy conservations
standards. This indicates that for most
models, the relationship between the
measured EF and EF standard (i.e.,
whether the measured EF is higher or
lower than the standard) holds true for
UEF as well. In response to Rheem’s
comment regarding testing of electric
storage water heaters, DOE
acknowledges that more testing is
required under the UEF test procedure
as compared to the EF test procedure.
DOE notes that the UEF standards in the
lower draw patterns are less stringent
and are based on models with
characteristics representative of that
draw pattern. Thus, they should be
applicable to electric storage water
heaters being tested at lower element
wattages and avoid the situation that
Rheem describes where an electric
storage water heater is compliant with
one heating element wattage, but not
with another. In addition, DOE
reiterates that it expects certain models
that meet the current EF standard will
not meet the UEF standard when tested,
and accounts for this possibility through
an enforcement policy for certain
models, as discussed in section III.E.
Based on the foregoing, DOE has
determined an adjustment to the
proposed standard for electric storage
water heaters is not warranted.
For consumer gas-fired instantaneous
water heaters less than 2 gallons,
Bradford White, AHRI, and Rheem
recommended that the proposed level
be decreased to those proposed in the
April 2015 NOPR (i.e., 0.80 for all draw
patterns). AHRI argued that the actual
difference between the NOPR and
SNOPR levels of 0.003 (0.804 as
compared to 0.807) resulted in a 0.01
change in the UEF standard level due to
rounding. AHRI commented further that
the converted UEF values for 20 of the
96 basic models in the AHRI Directory
are less than the minimum UEF values
proposed in the August 2016 SNOPR.
Rheem stated that many models,
specifically those in the low and
medium draw pattern, are not meeting
the proposed standard through the use
of the conversion factor. (Bradford
White, No. 26 at p. 4; AHRI, No. 27 at
p. 2; Rheem, No. 32 at p. 11) In
examining the August 2016 SNOPR test
data, DOE found that 5 of the 53
consumer gas-fired instantaneous water
heater models that were tested had
measured UEF values below the
proposed standards; however, 4 of the 5
models also had measured EF values
below the existing EF standards. This
indicates that for most models the
relationship between the measured EF
and EF standard (i.e., whether the
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measured EF is higher or lower than the
standard) holds true for UEF as well.
Further, as was done by commenters,
DOE also examined the number of
models that would pass the proposed
UEF standard based on their converted
UEF determined using published
values, and found that about 20 percent
of the consumer gas-fired instantaneous
water heaters on the market would have
converted UEF values less than the
SNOPR proposed standards, and all of
the converted values were 0.01 below.
All of these models were in the medium
and high draw pattern bins. As stated
above, the ‘‘representative model’’
method was not derived to ensure all
models on the market convert to pass
the converted standards. Rather, some
models are expected to fall below the
converted UEF standards, and these
models are accounted for by the
enforcement policy provisions
discussed in section III.E. Therefore,
DOE has decided to adopt the
conversion factors proposed in the
August 2016 SNOPR.
For consumer oil-fired storage water
heaters in the high draw pattern, AHRI
and Bock commented that two Bock 32E
oil-fired storage water heaters were
tested to the EF and UEF test
procedures, and the average tested UEF
value was below the proposed UEF
standard. Further, the commenters
noted that a similar model tested by
DOE, identified in the August 2016
SNOPR as CS–27, tested below the
proposed minimum. Therefore, AHRI
and Bock requested that the proposed
level be decreased by 0.02. (AHRI, No.
27 at p. 2; Bock, No. 29 at p. 2) As stated
in section III.D.2.a, CS–27 is the Bock
32E, so DOE included the two Bock
supplied test data points by averaging
the results with those of CS–27, and
derived new first-hour rating and UEF
conversion factors. These conversion
factors were carried through the analysis
to derive updated energy conservation
standards. The Bock 32E has a rated
storage volume of 32 gallons (which
DOE assumed would be adjusted to 30
gallons after the 5 percent decrease is
applied to represent the value based on
the mean of the measured volumes, and
the value is rounded to the nearest
gallon) and is in the high draw pattern
which corresponds to a minimum UEF
of 0.64. This updated minimum UEF
value is equal to the mean of the
measured UEF values for the Bock 32E
that were submitted by Bock. Therefore,
for the final rule, DOE is adopting the
standards derived using the test data
supplied by Bock.
For residential-duty commercial gasfired storage water heaters in the high
draw pattern, Rheem commented that
PO 00000
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the proposed standard is more stringent
than the existing minimum thermal
efficiency and maximum standby loss
standards. Rheem stated that a unit with
a storage volume of 100 gallons that
meets the existing energy conservation
standards would have a converted UEF
that is 0.01 below the proposed UEF
standard. Therefore, Rheem
recommended lowering the proposed
standard by 0.01. (Rheem, No. 32 at p.
10) In examining the August 2016
SNOPR test data, DOE found that 4 of
the 5 minimally compliant residentialduty commercial gas-fired storage water
heater models that were tested had
measured UEF values below the
proposed standards; however, 2 of the 4
models also had measured TE and SL
values below and the above the existing
standards, respectively. This indicates
that for most models, the relationship
between the measured EF and EF
standard (i.e., whether the measured EF
is higher or lower than the standard)
holds true for UEF as well. Further, as
was done by Rheem, DOE examined the
minimally compliant residential-duty
commercial gas-fired water heaters on
the market by applying the conversions
based on rated values, and found that
fewer than half of the models would
have a converted UEF value below the
proposed UEF standard based on their
rated values. As stated above, the
‘‘representative model’’ method was not
intended to ensure all models on the
market convert to pass the converted
standards, and existing models that
have UEF values below the converted
standard could be addressed through
DOE’s enforcement policy, as discussed
in section III.E. Further, as discussed in
III.A, because DOE’s goal is to maintain
the same stringency of the existing
standards under EF, SL and TE, and
because individual models are impacted
differentially by the change in test
method and metric, some models that
were previously minimally compliant
will perform better than the translated
UEF minimum, and others will perform
worse. The possibility of such outcomes
does not mean that the conversion
methodology is improper and, based on
the results of testing, DOE believes the
UEF standard that was proposed is
equivalent in stringency to the
minimum thermal efficiency and
maximum standby loss standards.
Therefore, DOE is adopting the
conversion factors for residential-duty
commercial gas-fired water heaters. DOE
notes that the residential-duty
commercial gas-fired conversion factors
adopted in this final rule vary slightly 21
21 For example, for the high draw pattern for
residential-duty commercial gas-fired water heaters,
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from those presented in the August 2016
SNOPR. 81 FR 59736, 59798 (August 30,
2016). To improve the accuracy and
maintain consistency with other
product classes, DOE removed certain
individual models, which were found to
be duplicates (i.e., models with
identical designs that were listed under
different model numbers by
manufacturers), from the final rule
dataset (so as not to give additional
weight to models sold under various
brand names). However, DOE notes that
the resultant equations are essentially
the same as those presented in the
August 2016 SNOPR, and when
rounded to the nearest 0.01, do not
impact the UEF standard level for any
models currently available on the
market.
For consumer gas-fired storage water
heaters below 55 gallons, DOE requested
comment on whether its tentative
decision to use the standard and low
NOX conversion to derive the proposed
standard was appropriate, as well as its
tentative decision that a separate
standard for ultra-low NOX water
heaters was not necessary. CA IOUs,
Bradford White, AHRI, A.O. Smith, and
Rheem all stated that that there should
not be separate standards for ultra-low
NOX. (CA IOUs, No. 25 at p. 3; BWC,
No. 26 at p. 6; AHRI, No. 27 at p. 10;
A.O. Smith, No. 28 at p. 5; Rheem, No.
32 at p. 12) CA IOUs also commented
that in future rulemakings, ultra-low
NOX water heaters should continue to
be examined separately from standard
and low NOX water heaters. (CA IOUs,
No. 25 at p. 3) Therefore, DOE has
decided not to create separate standards
for ultra-low NOX water heaters and will
continue use the standard and low NOX
conversion to derive the converted
energy conservation standards.
For consumer gas-fired storage water
heaters above 55 gallons, DOE requested
comment on whether the assumptions it
used to create representative models
were reasonable. Bradford White, AHRI,
A.O. Smith, and Rheem all stated that
the assumptions made in the August
2016 SNOPR were reasonable. (BWC,
No. 26 at p. 6; AHRI, No. 27 at p. 10;
A.O. Smith, No. 28 at p. 5; Rheem, No.
32 at p. 12) Therefore, DOE continued
to use the assumptions presented in the
August 2016 SNOPR for this final rule.
For consumer electric instantaneous
water heaters, no minimally-compliant
models are available on the market. DOE
sought comment regarding whether the
assumption of 0.93 recovery efficiency
the constant in the equation has changed from
0.6592 in the August 2016 SNOPR to 0.6597 in this
final rule, a difference of 0.0005. The coefficient
multiplied by the volume remains 0.0009, which is
the same as proposed in the August 2016 SNOPR.
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reasonably approximated a minimallycompliant model. Rheem stated that the
0.93 recovery efficiency was reasonable
and correct. (Rheem, No. 32 at p. 12)
Therefore, DOE continued to use 0.93 as
the assumed recovery efficiency for a
representative consumer electric
instantaneous water heater in this final
rule. In the August 2016 SNOPR, DOE
proposed one set of standards for
consumer electric instantaneous water
heaters with storage volumes below 2
gallons and another at or above 2
gallons. 81 FR 59736, 59781 (August 30,
2016). As discussed in section III.B.1,
DOE is not adopting UEF conversion
factors or converting the energy
conservation standards to UEF for the
water heater listed in Table III.1, which
include consumer electric instantaneous
water heaters with storage volumes
greater than or equal to 2 gallons.
Therefore, DOE has updated the
consumer electric instantaneous water
heater energy conservation standards to
be based solely on representative units
with storage volumes less than 2
gallons, and will consider electric
instantaneous water heaters with storage
volumes greater than or equal to 2
gallons in a future proceeding.
For grid-enabled water heaters, AHRI
and A.O. Smith commented that the
proposed minimum energy conservation
standard levels are acceptable. (AHRI,
No. 27 at p. 9; A.O. Smith, No. 28 at p.
5) NRECA Joint Stakeholders stated that
any establishment of a UEF for gridenabled water heaters should await
product development, and DOE should
explicitly state that products meeting
the EF energy conservation standard in
the Energy Efficiency Improvement Act
of 2015 (EEIA 2015) are compliant.
(NRECA Joint Stakeholders, No. 30 at
pp. 1–3) Rheem asserted that as gridenabled water heaters have only
recently been introduced into the
market and no test data are available for
them, they will not be able to use the
conversion factor to rate the UEF.
Further, Rheem argued that it is not
reasonable for industry to be required to
determine UEF values for grid-enabled
water heaters by testing in accordance
with the UEF test procedure, when no
testing of this class was performed by
DOE to establish adequate UEF
standards. Rheem also argued that DOE
should postpone establishing a
conversion factor and converted UEF
standard for grid-enabled water heaters
until a future rulemaking once more
models are available to be tested.
(Rheem, No. 32 at pp. 4–6) In response,
DOE notes that when EEIA 2015 was
enacted, there were no grid-enabled
storage water heaters on the market. As
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96223
explained in section III.D.2.d, DOE has
concluded that, with respect to
characteristics that might affect the
outcome of the old and current test
procedures, grid-enabled water heaters
are not designed and do not function
differently than consumer electric
storage water heaters below 55 gallons.
For the one grid-enabled storage water
heater that has subsequently become
available on the market and for which
published product literature is
available, the rated EF value is equal to
the minimum EF standard (when
rounded to the nearest 0.01), and the
converted UEF value (estimated based
on its rated values in the AHRI
Directory) is equal to the proposed
standard. This suggests that the
conversion factor and proposed
standards appropriately reflect the
operation of grid-enabled water heaters.
For these reasons, DOE has determined
that its conversion of existing EF
standards for grid-enabled water heaters
to UEF standards are adequate for use at
this time.
As originally stated in the August
2016 SNOPR and noted several times
previously in this final rule, DOE
acknowledges that the test data that
serves as the basis for the August 2016
SNOPR show that some units which
previously passed the EF, thermal
efficiency, and/or standby loss energy
conservation standards might fail the
proposed UEF standards, while other
units which previously failed might
now pass. As discussed in section III.A,
DOE recognizes that the conversion
factors presented cannot perfectly
model the behavior of all water heaters,
as each water heater model will react
differently to the changes in the test
procedure based on the characteristics
of that particular model. The standards
presented in Table III.12 and Table
III.13 were derived using a method that
was intended to reduce the number of
units that would either be noncompliant under the EF test method and
compliant under the UEF test method or
vice versa, so as to maintain the
stringency of the updated standard.
Nevertheless, to ensure that water
heaters which previously passed the
energy conservation standards under the
‘‘old’’ metrics (i.e., EF, thermal
efficiency, and/or standby loss) will
continue to comply, pre-existing models
that were first distributed in commerce
prior to July 13, 2015 and that are
compliant with the energy conservation
standards denominated in the old
metric are eligible to have compliance
determined based on the old metric, as
described below in section III.E, if the
design of the model is unchanged.
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DOE restates the standards
denominated in terms of uniform energy
factor, as shown in Table III.12 and
Table III.13 by product class and draw
pattern.
TABLE III.12—CONSUMER WATER HEATER ENERGY CONSERVATION STANDARDS
Product class
Rated storage volume and input
rating
(if applicable)
Gas-fired Storage Water Heater ....
≥ 20 gal and ≤ 55 gal ...................
> 55 gal and ≤ 100 gal .................
Oil-fired Storage Water Heater ......
≤ 50 gal .........................................
Electric Storage Water Heaters .....
≥ 20 gal and ≤ 55 gal ...................
> 55 gal and ≤ 120 gal .................
Tabletop Water Heater ..................
≥ 20 gal and ≤ 120 .......................
Instantaneous
Heater.
Water
< 2 gal and > 50,000 Btu/h ..........
Instantaneous Electric Water Heater.
< 2 gal ...........................................
Grid-Enabled Water Heater ...........
>75 gal ..........................................
Gas-fired
Draw pattern
Uniform energy factor
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
Very Small ....................................
Low ...............................................
Medium .........................................
High ..............................................
0.3456
0.5982
0.6483
0.6920
0.6470
0.7689
0.7897
0.8072
0.2509
0.5330
0.6078
0.6815
0.8808
0.9254
0.9307
0.9349
1.9236
2.0440
2.1171
2.2418
0.6323
0.9188
0.9577
0.9884
0.80
0.81
0.81
0.81
0.91
0.91
0.91
0.92
1.0136
0.9984
0.9853
0.9720
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
(0.0020
(0.0019
(0.0017
(0.0013
(0.0006
(0.0005
(0.0004
(0.0003
(0.0012
(0.0016
(0.0016
(0.0014
(0.0008
(0.0003
(0.0002
(0.0001
(0.0011
(0.0011
(0.0011
(0.0011
(0.0058
(0.0031
(0.0023
(0.0016
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
¥
¥
¥
¥
(0.0028
(0.0014
(0.0010
(0.0007
×
×
×
×
Vr)
Vr)
Vr)
Vr)
* Vr is the Rated Storage Volume (in gallons), as determine pursuant to 10 CFR 429.17.
TABLE III.13—RESIDENTIAL-DUTY COMMERCIAL WATER HEATER ENERGY CONSERVATION STANDARDS
Product class
Draw pattern
Gas-fired Storage ..............................................
Very Small ........................................................
Low ...................................................................
Medium .............................................................
High ..................................................................
Very Small ........................................................
Low ...................................................................
Medium .............................................................
High ..................................................................
Very Small ........................................................
Low ...................................................................
Medium .............................................................
High ..................................................................
Oil-fired Storage ................................................
Electric Instantaneous .......................................
Uniform energy factor
0.2674
0.5362
0.6002
0.6597
0.2932
0.5596
0.6194
0.6740
0.80
0.80
0.80
0.80
¥
¥
¥
¥
¥
¥
¥
¥
(0.0009
(0.0012
(0.0011
(0.0009
(0.0015
(0.0018
(0.0016
(0.0013
×
×
×
×
×
×
×
×
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
srobinson on DSK5SPTVN1PROD with RULES2
* Vr is the Rated Storage Volume (in gallons), as determined pursuant to 10 CFR 429.44.
Storage Volume Requirements
In the July 2014 final rule, DOE
amended the certification requirements
for consumer water heaters to specify
that the rated storage volume of a water
heater must be the mean of the storage
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volumes measured over the sample of
tested units. DOE also added
enforcement provisions that state that if
the rated storage volume is within 5
percent of the mean of the measured
values of storage volume, then that rated
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value will be used as the basis for
calculation of the required uniform
energy factor for the basic model;
otherwise, the mean of the measured
storage volume values will be used as
the basis for calculation of the required
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uniform energy factor for the basic
model. 79 FR 40542, 40565–40566 (July
11, 2014).
In the August 2016 SNOPR, DOE
proposed to decrease the 5 percent
tolerance to 2 percent of the mean of the
measured value of storage volume. 81
FR 59736, 59786 (August 30, 2016). As
discussed in the August 2016 SNOPR,
based on testing performed on a sample
of 24 units, DOE observed that a
tolerance of 2 percent more accurately
reflects the actual level of variability
that manufacturers are currently able to
achieve and allows for slightly more
variability than what was observed in
the sample set. Id.
Bradford White, AHRI, Rheem, and
Giant Factories, Inc. (Giant) commented
that they are opposed to the decrease in
storage volume tolerance from ±5
percent to ±2 percent. Bradford White
and AHRI also argued that the sample
size used as the basis for the new
requirements was too small and not
statistically sound. (Bradford White, No.
26 at p. 3; AHRI, No. 27 at p. 4; Rheem,
No. 32 at p. 8; Giant, No. 33 at p. 2)
Bradford White and Rheem alleged that
DOE did not consider the manufacturing
costs associated with controlling tank
volume variability. (Bradford White, No.
26 at p. 3; Rheem, No. 32 at p. 8) Rheem
also stated that the costs of this change
could amount to hundreds of thousands
of dollars. (Rheem, No. 32 at p. 6) Giant
and Rheem commented that because the
rated volume is part of the water heater
safety certification, any change in the
rated storage volume would require a
manufacturer to update its safety
certification reports and perform
validation testing at a cost that is not
negligible. (Rheem, No. 32 at pp. 7–8;
Giant, No. 33 at p. 2) Rheem requested
clarification as to whether
manufacturers will be permitted to
advertise a different ANSI/UL 174 rated
volume than the DOE UEF test
procedure rated volume. (Rheem, No. 32
at pp. 7–8) Bradford White, AHRI, and
Rheem argued that the requirement to
round to the nearest gallon uses up
some of the 2 percent tolerance and
causes the tolerance to become more
stringent than 2 percent. For smaller
gallon sizes, the commenters asserted
this results in almost no tolerance.22
(Bradford White, No. 26 at p. 3; AHRI,
No. 27 at p. 4; Rheem, No. 32 at pp. 7–
10) AHRI requested clarification of the
exact consequences of measuring a
volume that is beyond 2 percent of the
rated volume during a test with a
22 AHRI cited an example of a water heater with
27.5 gallons of measured storage volume. The rated
storage volume would be rounded to 28 gallons,
and the 0.5 gallon difference would represent a 1.8
percent deviation from the rated volume.
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passing measured UEF, particularly if
the measured volume places the water
heater into a different product category
such as not a grid-enabled or above 55
gallons. (AHRI, No. 27 at p. 5) A.O.
Smith also urged DOE to provide further
clarification regarding any potential
liability that a manufacturer may incur
if the measured volume during an
enforcement test is more than 2 percent
outside the newly defined DOE rated
volume, and if there is any further
consequence beyond that the measured
volume will be used for the enforcement
test and to determine the minimum
efficiency. (A.O. Smith, No. 28 at p. 2)
Giant stated that for products such as
grid-enabled water heaters, a model
with a measured volume of 70 gallons
and a rated volume of 76 gallon model
would now have a maximum rated
volume of 71.4 gallons and no longer
meet the definition of a grid-enabled
water heater. (Giant, No. 33 at p. 2)
Bradford White and Giant commented
that reducing the tolerance to 2 percent
could result in an increase in energy use
as manufacturers redesign their
products to increase the tank size to a
nominal value, adding that this change
would lead to significant confusion in
the market. (Bradford White, No. 26 at
p. 3; Giant, No. 33 at pp. 2; Rheem, No.
32 at pp. 7–10)
After considering the comments, DOE
performed a statistical analysis based on
a t-distribution rather than a normal
distribution as was done for the August
2016 SNOPR, which DOE concluded to
be more appropriate for the number of
samples available. For each model, DOE
calculated the t-based 95-percent
confidence interval, which corresponds
to the maximum amount of deviation
from the mean one would expect if a
new sample were tested. DOE found a
maximum percent deviation from the
mean of three percent using this
method; therefore, DOE is adopting a
three-percent tolerance on measured
storage volume instead of the proposed
two percent. The three-percent tolerance
more accurately reflects the level of
variability that manufacturers are
currently able to achieve. In addition, if
manufacturers do not certify the rated
storage volume in accordance with the
requirements of 10 CFR 429.17 (i.e., as
the mean of the measured storage
volume of the sample), the certified
value may be considered invalid which
could lead to DOE investigating the data
underlying the certification in
accordance with 10 CFR 429. With
regard to the manufacturing costs
associated with controlling tank volume
variability, DOE notes that its test data
show that manufacturers already control
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96225
tank volume variability within the
bounds being adopted, and thus,
additional costs are not expected as
manufacturers already appear to have
this capability. Regarding potential
increased energy usage, DOE
acknowledges that a redesign of the tank
size to a nominal value is possible. If the
redesigned tank is larger than the
previous tank, then it would likely use
slightly more energy. DOE also
acknowledges that there may be costs
associated with safety certification of a
re-designed model. However, DOE notes
that the requirement that the rated
volume be the mean the measured
volumes in the test sample already
exists at 10 CFR 429.17(a)(1)(ii)(C), and
this change only modifies the existing
tolerance in response to comments.
Thus, the rated efficiency should
already be equal to the mean the
measured volumes in the test sample,
and as discussed above, DOE’s data
show that manufacturers already control
their volume within this tolerance.
Finally, in response to Giant’s
comments that certain products that
have a volume threshold, such as gridenabled water heaters, may need to be
reclassified based on the new storage
volume requirements, that is correct.
However, DOE contends that if the
manufacturer was properly certifying to
the July 2014 test procedure, there
would be no reclassification needed.
E. Enforcement Policy
In the August 2016 SNOPR, DOE
acknowledged that the nature of the
conversion process could conceivably
result in models very close to the
standard falling below the converted
standard. Recognizing that there is value
in reducing the uncertainty for
manufacturers and that there is no
significant public harm in letting
manufacturers continue sales of certain
models, DOE explained its planned
approach for basic models where units
of individual models within the basic
model were manufactured prior to July
13, 2015. 81 FR 59736, 59876–59787
(August 30, 2016). Specifically, DOE
explained that in assessment and
enforcement testing, DOE will evaluate
the compliance of a basic model using
the test procedure in effect prior to July
13, 2015, under the following
circumstance: The basic model must
have been in distribution in commerce
prior to July 13, 2015; the basic model
must have been tested and properly
certified to DOE as compliant with the
applicable standard prior to July 13,
2015; and the units manufactured prior
to July 13, 2015, must be essentially
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identical to the units manufactured on
or after July 13, 2015.23
In the August 2016 SNOPR, DOE also
recognized that manufacturers seek
certainty that models introduced (i.e.,
first distributed in commerce) on or
after July 13, 2015, will not be subject
to civil penalties. In enforcing the
standard(s) for models introduced on or
after July 13, 2015, and before the
effective date of this final rule, DOE
stated that it would consider whether
these models meet the standard(s) as
denoted using the ‘‘old’’ metric(s), the
deviation from the UEF standard when
tested using the UEF test procedure, and
efforts taken by the manufacturer to
ensure compliance with the converted
UEF standards. 81 FR 59736, 59787
(August 30, 2016).
In response to the number of
comments and questions DOE received
in response to its enforcement policy as
presented in the August 2016 SNOPR,
DOE is explaining its enforcement
policy in greater detail in this final rule,
as well as offering minor clarifications
in response to comments.
In the event that DOE selects a model
for assessment testing that was first
distributed in commerce prior to July
13, 2015, DOE will first assess
compliance with the UEF standard. If
testing indicates that an individual
model is noncompliant with the UEF
standard, DOE will then evaluate
compliance using the ‘‘old’’ metrics (i.e.,
EF or thermal efficiency/standby loss, as
applicable). DOE may request that the
manufacturer provide information to
show that the selected model met the
minimum efficiency standard using the
test procedure in effect prior to July 13,
2015, and that it has not been
redesigned since that time. (DOE
discusses the issue of whether a model
has been redesigned later within this
section.) The model will continue to be
subject to the enforcement policy as
long as all units of that model
manufactured remain identical 24 to the
23 The last requirement for this policy—that units
must be essentially identical—bears explanation.
DOE generally permits manufacturers great latitude
in assigning basic model numbers, and
manufacturers normally are not required to certify
a model as a new basic model if modifications make
the model more efficient. In the August 2016
SNOPR, DOE stated that, if a manufacturer makes
changes to a model (that make it either more
efficient or less), then it should conduct the
requisite testing using the UEF test procedure and
ensure the compliance of the model with the
converted standard. The proposed policy was
intended to give certainty to manufacturers with
respect to historical models; it was not intended to
provide a mechanism to perpetuate an obsolete test
method and obsolete metrics.
24 DOE acknowledges that in the August 2016
SNOPR it used the term ‘‘essentially identical’’ to
refer to the similarities between units manufactured
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units of that model that were being
manufactured prior to July 13, 2015.
These models will continue to remain
subject to the enforcement policy until
compliance with amended energy
conservation standards is required.
To address any confusion regarding
this enforcement policy, the policy will
apply to individual models, rather than
basic models. DOE generally permits
manufacturers great latitude in
assigning basic model numbers, and
manufacturers normally are not required
to certify a model as a new basic model
if modifications make the model more
efficient. However, in implementing this
policy, DOE believes that if a
manufacturer makes changes to the
design of an individual model, then
DOE would no longer consider the
individual model ‘‘identical’’ to the
units manufactured prior to July 13,
2015, and the model would not be
subject to the enforcement policy. In
such a case, the manufacturer should
conduct the requisite testing using the
UEF test procedure and ensure the
compliance of the model with the
converted standard. Further, if a
manufacturer groups, within the same
basic model, an individual model
subject to DOE’s enforcement policy
with one or more individual models not
subject to the policy, DOE would not
treat the individual model as subject to
the policy. Thus, if certain individual
models within a basic model are
redesigned, those individual models
would have to be recertified as a
separate basic model (or basic models)
from the original basic model.
A.O. Smith requested clarification as
to what is meant by the requirement that
units for ‘‘grandfathered’’ models must
be essentially identical to those
manufactured prior to July 13, 2015, as
DOE proposed in the August 2016
SNOPR. (A.O. Smith, No. 28 at p. 4)
Rheem also sought clarification
regarding what will be considered
sufficient evidence to demonstrate a
‘‘grandfathered’’ model met the
provisions laid out by DOE. (Rheem, No.
32 at p. 16)
Regarding the term ‘‘essentially
identical’’ used in the August 2016
SNOPR, as well as the term ‘‘identical’’
used in this final rule and intended to
prior to July 13, 2015, and units manufactured on
or after that date, one factor relevant to application
of the enforcement policy set forth here. DOE
realizes that, due to that term’s presence in the
definition of ‘‘basic model’’ at 10 CFR 430.2,
including this term in its statement of enforcement
policy may cause confusion, particularly given
DOE’s application of the enforcement policy on an
individual model basis. Thus, DOE is adopting the
use of the term identical in this final enforcement
policy and has included additional explanation to
help manufacturers understand how it applies.
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have the same meaning, units of models
that were manufactured after July 13,
2015, must have the same design as
those manufactured before July 13,
2015, to be subject to the enforcement
policy described above. If an individual
model is redesigned in any way, it
would no longer be subject to the
policy. However, DOE recognizes that
manufacturers may need to make small
changes, such as a change in component
supplier, that do not change the design
and, thus, would not constitute a
different ‘‘design’’ from the units of that
model that were manufactured prior to
July 13, 2015. One example of such a
change would be a change in foam
suppliers, where the properties of the
foam were the same. Such changes
would not be considered as a re-design
of the model as long as the new
component is identical to the
component it replaces in the original
model. In such instances, DOE would
consider the design identical to that of
the original model, and units of that
model would be subject to the
enforcement policy provided they, at a
minimum, meet the energy conservation
standards in place under the ‘‘old’’
metrics (i.e., energy factor, thermal
efficiency, and standby loss). DOE
understands that manufacturers
typically change suppliers of
components or source raw materials
(e.g., foam or metals) as part of their
day-to-day operations, and DOE does
not consider sourcing decisions for the
same components to constitute a nonidentical model. In contrast, if a
manufacturer were to redesign the
product by introducing a new burner
design for a gas water heater or by
changing the formulation of the foam for
a storage-type water heater, DOE would
consider these changes as redesigns
because such changes affect the
performance and operation of the
model. In these instances, a
manufacturer should: (1) Arrive at
represented values expressed in UEF in
accordance with the test procedure and
the amendments in this final rule; (2)
ensure that the redesigned individual
model complies with the applicable
UEF standard; and (3) properly certify
the individual model before distribution
in commerce (either as its own basic
model or as part of a basic model that
does not have any other individual
models which are subject to the
enforcement policy). As part of
considering whether units of an
individual model were identical, DOE
would consider a manufacturer’s
records of the bills of materials for
models initially distributed in
commerce before July 13, 2015, and for
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which they wish to demonstrate
compliance based on the ‘‘old’’ metrics
that show all components in the model
prior to July 13, 2015. Such evidence
would aid DOE in assessing whether
units manufactured after July 13, 2015,
remain identical to those manufactured
prior to that date.
Bradford White requested clarification
as to whether updating a product’s rated
volume would void ‘‘grandfathering’’ of
a model that was introduced prior to
July 13, 2015, assuming the other
conditions DOE has laid out are met.
(Bradford White, No. 26 at p. 2) As
stated above, a model will not be
eligible for DOE’s enforcement policy if
there was any design change. A change
in the rated volume would not be a
change in the design of the products
themselves in that sense; it would be a
change only in representations about the
products. However, if rather than
simply changing the rated value, the
manufacturer chooses to redesign the
model with a different volume such that
the design would not be identical, such
a model would not be subject to the
policy.
The ASAP Joint Stakeholders noted
that the water heater industry has called
for explicit grandfathering of water
heaters that comply with minimum
efficiency standards when expressed in
terms of EF, but not in terms of UEF,
and argued that AEMTCA does not
provide for such grandfathering. ASAP
Joint Stakeholders’ also expressed their
understanding of the proposed
grandfathering provisions as allowing
EF-compliant water heaters to be sold
for a year following the publication of
the final rule, after which DOE would
not enforce the UEF standards for an
unlimited period of time for essentially
identical, but UEF non-compliant,
models. The ASAP Joint Stakeholders
commented that adopting nonenforcement as a tool for energy
efficiency standards implementation
would set a terrible precedent, would
create the need for DOE to continually
monitor UEF non-compliant models,
and would create uncertainty for
industry and uncertainty about the
ultimate impacts of the water heater
efficiency standards. (ASAP Joint
Stakeholders, No. 31 at p. 4)
To be clear, this enforcement policy is
not ‘‘grandfathering’’—DOE is not
allowing manufacture of products that
do not meet a standard. As discussed
above, the conversion factor can, for
some models, change the compliance
status as a result of changes in the test
method; this enforcement policy
ensures that a model that complied with
the former metrics is not harmed by the
transition to UEF. However, as soon as
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a manufacturer makes any change to a
model, the manufacturer must test and
ensure compliance with the new metric.
This enforcement policy allows a
smooth transition through a metric
change but does not allow manufacture
of non-compliant products. Moreover,
this is not a policy of nonenforcement—DOE is adopting a policy
of conducting additional testing, where
needed, for a limited subset of models
in order to assess compliance using a
second metric. DOE emphasizes that
only models manufactured and certified
prior to July 13, 2015, are eligible for the
full enforcement policy; therefore, DOE
has a known, finite list of models
eligible for this relief.
With respect to the ‘‘transition’’
models first distributed in commerce
between July 13, 2015, and the
publication date of this rule, DOE has
committed to consider compliance
using the former test method as a factor
only and expects manufacturers to take
appropriate, timely steps to ensure those
models meet the standard as measured
using the UEF test method—which was
the applicable test method at the time of
manufacture. Further, because DOE is
not permitting manufacturers to
‘‘overrate’’ to the minimum UEF
standard, manufacturers are required to
disclose the actual performance in the
same metric as all other products.
F. Certification
In this final rule, DOE adopts its
position as stated in the August 2016
SNOPR, that upon the effective date of
this final rule, certification of
compliance with energy conservation
standards will be exclusively in terms of
UEF. 81 FR 59736, 59788 (August 30,
2016). In implementing the provisions
of 42 U.S.C. 6295(e)(5), DOE has
concluded that there will be three
possible paths available to
manufacturers for certifying compliance
of basic models of consumer water
heaters that were certified before July
13, 2015: (1) In the year following the
publication of this final rule, convert the
energy factor values obtained using the
test procedure contained in appendix E
to subpart B of 10 CFR part 430 of the
January 1, 2015 edition of the CFR from
energy factor to uniform energy factor
using the applicable mathematical
conversion factor, and then use the
converted uniform energy factors along
with the applicable sampling provisions
in 10 CFR part 429 to determine the
represented uniform energy factor; or (2)
conduct testing using the test procedure
contained at appendix E to subpart B of
10 CFR part 430, effective July 13, 2015,
along with the applicable sampling
provisions in 10 CFR part 429; or (3)
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where permitted, apply an alternative
efficiency determination method
(AEDM) pursuant to 10 CFR 429.70 to
determine the represented efficiency of
basic models for those categories of
consumer water heaters where the
‘‘tested basic model’’ was tested using
the test procedure contained at
appendix E to subpart B of 10 CFR part
430, effective July 13, 2015.
Similarly, DOE has concluded that
there will be three possible paths
available to manufacturers for certifying
compliance of basic models of
commercial residential-duty water
heaters that were certified before July
13, 2015: (1) In the year following the
publication of this final rule, convert the
thermal efficiency and standby loss
values obtained using the test procedure
contained in 10 CFR 431.106 of the
January 1, 2015 edition of the CFR from
thermal efficiency and standby loss to
uniform energy factor using the
applicable mathematical conversion
factor, and then use the converted
uniform energy factors along with the
applicable sampling provision in 10
CFR part 429 to determine the
represented uniform energy factor; or (2)
conduct testing using the test procedure
at 10 CFR 431.106, effective July 13,
2015, along with the applicable
sampling provisions in part 429; or (3)
where permitted, apply an alternative
efficiency determination method
(AEDM) pursuant to 10 CFR 429.70 to
determine the represented efficiency of
basic models for those categories of
commercial water heaters where the
‘‘tested basic model’’ was tested using
the test procedure at 10 CFR 431.106,
effective July 13, 2015.
Bradford White, AHRI, Rheem, and
Giant commented that it would take at
least 6 months after the publication of
this final rule to convert efficiency and
performance ratings to those under the
UEF test method. (Bradford White, No.
26 at p. 5; AHRI, No. 27 at p. 5; Rheem,
No. 32 at pp. 14–15; Giant, No. 33 at p.
2) AHRI, Rheem, and Giant further
stated that the FTC EnergyGuide
compliance date is June 12, 2017, and
if this final rule is delayed past
December 12, 2016, DOE and FTC
should coordinate actions to delay the
effective date of the revised FTC label so
as to maintain the 6-month period.
AHRI, Rheem, and Giant added that
because the next annual certification
date is May 1, 2017, DOE should delay
the annual certification requirement
until the effective date of the FTC
EnergyGuide label, due to the potential
for confusion resulting from different
values in certification data in the DOE
compliance certification database and
EnergyGuide labels on products. (AHRI,
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No. 27 at p. 5; Rheem, No. 32 at pp. 14–
15; Giant, No. 33 at p. 2) A.O. Smith
stated the next annual certification date
should be delayed to the expiration date
of the conversion factor rulemaking.
(A.O. Smith, No. 28 at p. 4)
DOE recognizes stakeholder concerns
related to the timing of the FTC
requirements and certification reports,
and the Department agrees that
harmonizing the dates for submitting
certification reports and complying with
the EnergyGuide labels is desirable to
prevent consumer confusion and reduce
burden on manufacturers. DOE has
already issued an enforcement policy
with respect to certification of water
heaters subject to this rule. In that
policy, DOE stated that the policy
would be amended when this rule was
finalized. DOE hereby revises that
policy such that DOE will not seek civil
penalties for failure to submit a UEF
certification report, prior to June 12,
2017, for any basic model of water
heater subject to this final rule. DOE
may seek civil penalties for failure to
submit a UEF certification report for
each basic model of water heater subject
to this final rule starting June 12, 2017.
Thus, while manufactures are
required to submit certifications by the
May 1, 2017 annual deadline for
existing basic models of consumer water
heaters, as set forth at 10 CFR 429.12(d),
DOE will not seek civil penalties for
failure to submit required certifications
by this deadline. However, if a
manufacturer does not submit its annual
certification report for each basic model
by June 12, 2017, it will be subject to
civil penalties that will begin accruing
on a per day per basic model basis as
of that date.
This enforcement policy will not
apply to basic models first distributed in
commerce on or after the publication
date of this rule. Manufacturers of any
such basic model must certify the
compliance of the basic model before
distribution in commerce of the basic
model, as required by 10 CFR 429.12(a),
or be subject to civil penalties for failure
to do so.
Rheem also made several comments
specifically related to content of the
FTC EnergyGuide label. (Rheem, No. 32
at pp. 12–14) As noted in section I, FTC
published a final rule on September 15,
2016 updating the EnergyGuide label to
reflect changes to the DOE test
procedure. 81 FR 63634. DOE notes that
it has no authority to make changes the
FTC EnergyGuide label; however, DOE
has passed Rheem’s comments to FTC
for consideration in future updates to
the EnergyGuide label for water heaters.
Rheem stated it is unclear when DOE
will transition the ability of its
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compliance certification database to
collect the UEF metric rather than EF,
thermal efficiency, and/or standby loss.
AHRI and Rheem requested that data be
identified as either converted or tested
in the reporting template to ensure that
enforcement testing is not conducted
based on converted ratings. (AHRI, No.
27 at p. 6; Rheem, No. 32 at p. 15) AHRI
also requested DOE to make a
pronouncement that enforcement testing
will be conducted using the test
procedure which was used to establish
the model’s ratings. (AHRI, No. 27 at p.
5) Finally, AHRI commented that there
should be no risk of a false-positive
enforcement action based on converted
ratings once the conversion factor
expires. That is, if a model converted
into one draw pattern and tested into
another, enforcement action should be
based on the tested ratings and energy
conservation standards associated with
the tested draw pattern. (AHRI, No. 27
at p. 6)
DOE will transition the ability of its
compliance certification database to
collect UEF metrics prior to the date by
which manufacturers must submit
certification reports (i.e., June 12, 2017,
as discussed previously in this section).
The information required for
certification for the various types of
water heaters and methods for
determining UEF (i.e., based on testing
or based on converted values) is
detailed in the regulatory text at the end
of this final rule and will appear in 10
CFR part 429 once this final rule is
effective. Thus, manufacturers will be
aware of the certification information
that DOE will collect. DOE proposed
specific data elements based on whether
a certification was based on converted
or tested values, and AHRI and Rheem
requested that data be identified as
either converted or tested in the
reporting template. Although whether a
value was converted or tested would be
implicit based on the information
provided, DOE will, as suggested by
AHRI and Rheem, explicitly require
manufacturers to report how the
certified values were determined. DOE
will also permit manufacturers to
provide at their option a declaration of
whether they are requesting that the
enforcement policy apply to a basic
model, in which case the manufacturer
must also provide the certified value for
that model using the old metric(s) and
corresponding test data.
Bradford White requested that DOE
provide guidance on how to translate
back to the ‘‘old’’ metrics, so that utility
rebate programs and codes may have
time to transition to the ‘‘new’’ metrics.
(Bradford White, No. 26 at p. 5) In
response, DOE shares Bradford White’s
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concern about utility rebate programs.
However, DOE believes that facilitating
calculation back to the old metrics for
use in utility rebate programs would
simply prolong the transition to the new
metrics and could possibly result in
consumer confusion regarding water
heater efficiency ratings. Accordingly,
DOE is not adopting the commenter’s
suggestion.
In the August 2016 SNOPR, DOE
requested comment about its decision
not to include standby heat loss
coefficient (UA), Annual Energy
Consumption (Eannual), Annual Electrical
Energy Consumption (Eannual,e), and
Annual Fossil Fuel Energy
Consumption (Eannual,f) in the parameters
manufacturers are required to certify to
DOE. 81 FR 59736, 59787 (August 30,
2016). In response, Bradford White,
AHRI, and A.O. Smith commented that
they supported DOE’s decision not to
include these parameters in the annual
certification report. (Bradford White,
No. 26 at p. 3; AHRI, No. 27 at p. 10;
A.O. Smith, No. 28 at p. 5) Bradford
White stated that certifying the
additional parameters could increase
burden due to additional paperwork,
while A.O. Smith argued that the
additional parameters could result in
consumer confusion. AHRI stated that
the values are not necessary for
establishing compliance with DOE
efficiency regulations and the
information is not necessary for
consumers to be able to compare the
efficiency of models. CA IOUs requested
that recovery efficiency continue to be
included in the CCMS directory. (CA
IOUs, No. 25 at p. 2) Having considered
these comments, DOE will not require
the certification of standby heat loss
coefficient (UA), Annual Energy
Consumption (Eannual), Annual Electrical
Energy Consumption (Eannual,e), and
Annual Fossil Fuel Energy
Consumption (Eannual,f), as these values
are not necessary for establishing
compliance with DOE efficiency
regulations and requiring reporting of
them could unnecessarily create
additional burden for manufacturers.
However, as requested by the CA IOUs,
DOE will continue to require
manufacturers to report recovery
efficiency in their annual certification
reports. Manufacturers are currently
required to certify the recovery
efficiency (see 10 CFR 429.17(b)(2)), so
maintaining this requirement would not
create additional burden, nor does is
DOE aware of any consumer confusion
resulting from the inclusion of this
specific parameter.
AHRI, A.O. Smith, and Rheem
provided their understanding of how
‘‘grandfathered’’ models will be handled
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and requested that DOE confirm that it
is correct. (AHRI, No. 27 at pp. 6–7;
A.O. Smith, No. 28 at pp. 3–4; Rheem,
No. 32 at p. 16)
In response, DOE reiterates that the
statute did not grandfather any models.
With respect to models that do not meet
the UEF standard when converted or
tested using the UEF test procedure,
manufacturers of models certified prior
to July 13, 2015, may continue to certify
compliance on the basis of the thenapplicable test procedure but must
disclose the UEF rating as discussed
above. Manufacturers should not
represent the efficiency at the minimum
UEF standard for models that, when
rated in accordance with 10 CFR 429.17,
would have a UEF rating below the
minimum standard.
G. Effective Date
This rule will be effective upon its
publication in the Federal Register.
Ordinarily, pursuant to 5 U.S.C. 553, a
rule can only be effective 30 days after
publication. (This rule is not a major
rule to which the effective-date delay in
5 U.S.C. 801 would apply.) However,
DOE finds good cause to make the rule
effective immediately. EPCA specifies
that manufacturers may use the
conversion factors established by this
rule ‘‘beginning on the date of
publication of the conversion factor in
the Federal Register.’’ 42 U.S.C.
6295(e)(5)(E)(v)(I). Complying with that
statutory mandate would require that
DOE make the rule effective
immediately; DOE accordingly finds
good cause, under 5 U.S.C. 553(d)(3), to
do so.
IV. Procedural Issues and Regulatory
Review
A. Review Under Executive Order 12866
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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 the Office of Management and
Budget.
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 Enforcement
Fairness Act of 1996) requires
preparation of an initial regulatory
flexibility analysis (IRFA) for any rule
that by law must be proposed for public
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comment and a final regulatory
flexibility analysis (FRFA) for any such
rule that an agency adopts as a final
rule, unless the agency certifies that the
rule, if promulgated, will not have a
significant economic impact on a
substantial number of small entities.
A regulatory flexibility analysis
examines the impact of the rule on
small entities and considers alternative
ways of reducing negative effects. Also,
as required by Executive Order 13272,
‘‘Proper Consideration of Small Entities
in Agency Rulemaking,’’ 67 FR 53461
(August 16, 2002), DOE published
procedures and policies on February 19,
2003, to ensure that the potential
impacts of its rules on small entities are
properly considered during the DOE
rulemaking process. 68 FR 7990. DOE
has made its procedures and policies
available on the Office of the General
Counsel’s Web site at: https://energy.gov/
gc/office-general-counsel.
This final rule prescribes a
mathematical conversion that can be
used on a limited basis to determine the
represented values for consumer water
heaters and certain commercial water
heaters. For consumer water heaters and
certain commercial water heaters, the
mathematical conversion establishes a
bridge between the rated values based
on the results under the energy factor,
thermal efficiency, and standby loss test
procedures (as applicable) and the
uniform energy factor test procedure.
DOE reviewed this final rule under the
provisions of the Regulatory Flexibility
Act and the policies and procedures
published on February 19, 2003. 68 FR
7990.
For the manufacturers of the covered
water heater products, the Small
Business Administration (SBA) has set a
size threshold, which defines those
entities classified as ‘‘small businesses’’
for the purposes of the statute. DOE
used the SBA’s small business size
standards to determine whether any
small entities would be subject to the
requirements of the rule. 65 FR 30836,
30849 (May 15, 2000), as amended at 65
FR 53533, 53545 (Sept. 5, 2000), at 77
FR 49991, 50008–50011 (August 20,
2012), and at 81 FR 4469, 4490 (Jan. 26,
2016), and codified at 13 CFR part 121.
The size standards are listed by North
American Industry Classification
System (NAICS) code and industry
description and are available at https://
www.sba.gov/sites/default/files/files/
Size_Standards_Table.pdf. Consumer
water heater manufacturing is classified
under NAICS code 335228—‘‘Other
Major Household Appliance
Manufacturing.’’ The SBA sets a
threshold of 1,000 employees or less for
an entity to be considered as a small
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96229
business under that code number.
Commercial water heater manufacturing
is classified under NAICS code
333318—‘‘Other Commercial and
Service Industry Machinery
Manufacturing,’’ for which SBA sets a
size threshold of 1,000 employees or
fewer as being considered a small
business.
DOE has identified 11 manufacturers
of consumer water heaters that can be
considered small businesses. DOE
identified five manufacturers of
‘‘residential-duty’’ commercial water
heaters that can be considered small
businesses. Four of the ‘‘residentialduty’’ commercial water heater
manufacturers also manufacture
consumer water heaters, so the total
number of small water heater
manufacturers impacted by this rule
would be 12. DOE’s research involved
reviewing several industry trade
association membership directories
(e.g., AHRI), product databases (e.g.,
DOE Compliance Certification Database,
AHRI, CEC, and ENERGY STAR
databases), individual company Web
sites, and marketing research tools (e.g.,
Hoovers reports) to create a list of all
domestic small business manufacturers
of products covered by this rulemaking.
For the reasons explained below, DOE
has concluded that the test procedure
amendments contained in this final rule
will not have a significant economic
impact on any manufacturer, including
small manufacturers.
For consumer water heaters that were
covered under the energy factor test
procedure and energy conservation
standards, the conversion factor in this
final rule converts the rated values
based on the energy factor test
procedure to values based on the
uniform energy factor test procedure.
Likewise, for certain commercial water
heaters, defined under the term
‘‘residential-duty commercial water
heater,’’ the conversion factor in this
final rule converts the rated values
based on the previous test procedure to
the uniform descriptor which is based
on the UEF test procedure. The energy
conservation standards for commercial
water heating equipment is
denominated using the uniform
descriptor.
The conversion factors established in
this final rule accomplish two tasks: (1)
Translating the EF-, TE-, and SLdenominated (as applicable) energy
conservation standards for consumer
water heaters and certain commercial
water heaters to being expressed in
terms of the metric and test procedure
for uniform energy factor; and (2)
providing a limited conversion factor
that manufacturers can use to translate
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represented values established for basic
models certified prior to July 13, 2015.
This limited conversion is a burdenreducing measure which helps to ease
the transition of the market to the new
test procedure and uniform metric over
the one-year period instead of the
typical 180-day timeframe allotted by
statute. In addition, as discussed in
section III.E, DOE will implement an
enforcement policy that DOE will not
seek civil penalties for the continued
manufacture and distribution in
commerce of units of certain basic
models that meet certain conditions (as
described in III.E), thereby further
reducing any burden on small business
manufacturers. Accordingly, DOE
concludes and certifies that this rule
will not have a significant economic
impact on a substantial number of small
entities, so DOE has not prepared a
regulatory flexibility analysis for this
rulemaking. DOE has provided its
certification and supporting statement
of factual basis to the Chief Counsel for
Advocacy of the SBA for review under
5 U.S.C. 605(b).
C. Review Under the Paperwork
Reduction Act of 1995
Manufacturers of water heaters must
certify to DOE that their products
comply with any applicable energy
conservation standards. In certifying
compliance, manufacturers must test
their products according to the DOE test
procedures for water heaters, including
any amendments adopted for those test
procedures. DOE has established
regulations for the certification and
recordkeeping requirements for all
covered consumer products and
commercial equipment, including
consumer and commercial water
heaters. 76 FR 12422 (March 7, 2011);
79 FR 25486 (May 5, 2014). The
collection-of-information requirement
for the certification and recordkeeping
is subject to review and approval by
OMB under the Paperwork Reduction
Act (PRA). This requirement was
approved by OMB under OMB control
number 1910–1400, and this
conversion-factor rule does not
constitute a significant change to the
requirement. 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
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21:43 Dec 28, 2016
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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 establishes
conversion factors to convert results
from prior efficiency and delivery
capacity metrics (and related energy
conservation standard requirements) for
consumer and certain commercial water
heaters to the uniform efficiency
descriptor. 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 final rule amends the
existing rule without affecting the
amount, quality, or distribution of
energy usage, and, therefore, is not
expected to 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 has
examined this final rule and has
determined that it would not have a
substantial direct effect on the States, on
the relationship between the national
government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. EPCA governs and
prescribes Federal preemption of State
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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. Regarding the
review required by section 3(a), section
3(b) of Executive Order 12988
specifically requires that Executive
agencies make every reasonable effort to
ensure that the regulation: (1) Clearly
specifies the preemptive effect, if any;
(2) clearly specifies any effect on
existing Federal law or regulation; (3)
provides a clear legal standard for
affected conduct while promoting
simplification and burden reduction; (4)
specifies the retroactive effect, if any; (5)
adequately defines key terms; and (6)
addresses other important issues
affecting clarity and general
draftsmanship under any guidelines
issued by the Attorney General. Section
3(c) of Executive Order 12988 requires
Executive agencies to review regulations
in light of applicable standards in
sections 3(a) and 3(b) to determine
whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, the 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 likely to result in a
rule that may cause the expenditure by
State, local, and Tribal governments, in
the aggregate, or by the private sector of
$100 million or more in any one year
(adjusted annually for inflation), section
202 of UMRA requires a Federal agency
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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 them. On
March 18, 1997, DOE published a
statement of policy on its process for
intergovernmental consultation under
UMRA. 62 FR 12820. (This policy is
also available at https://energy.gov/gc/
office-general-counsel.) DOE examined
this final rule according to UMRA and
its statement of policy and determined
that the rule contains neither an
intergovernmental mandate, nor a
mandate that may result in the
expenditure by State, local, and Tribal
governments, in the aggregate, or by the
private sector, of $100 million or more
in any year. Accordingly, no further
assessment or analysis is required under
UMRA.
H. Review Under the Treasury and
General Government Appropriations
Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Pub. L. 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any rule
that may affect family well-being. This
rule would not have any impact on the
autonomy or integrity of the family as
an institution. Accordingly, DOE has
concluded that it is not necessary to
prepare a Family Policymaking
Assessment.
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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
would not result in any takings that
might require compensation under the
Fifth Amendment to the U.S.
Constitution.
J. Review Under Treasury and General
Government Appropriations Act, 2001
Section 515 of the Treasury and
General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides
for agencies to review most
disseminations of information to the
public under information quality
guidelines established by each agency
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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 OIRA at OMB, a
Statement of Energy Effects for any
significant energy action. A ‘‘significant
energy action’’ is defined as any action
by an agency that promulgates or is
expected to lead to promulgation of a
final rule, and that: (1) Is a significant
regulatory action under Executive Order
12866, or any successor order; and (2)
is likely to have a significant adverse
effect on the supply, distribution, or use
of energy; or (3) is designated by the
Administrator of OIRA as a significant
energy action. For any 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, which
develops conversion factors to amend
the energy conservation standards for
consumer and certain commercial water
heaters in light of new test procedures
is not a significant regulatory action
under Executive Order 12866 or any
successor order. Moreover, it will not
have a significant adverse effect on the
supply, distribution, or use of energy,
nor has it been designated as a
significant energy action by the
Administrator of OIRA. Therefore, it is
not a significant energy action, and,
accordingly, DOE has not prepared a
Statement of Energy Effects for this
rulemaking.
L. Review Under Section 32 of the
Federal Energy Administration Act of
1974
Under section 301 of the Department
of Energy Organization Act (Pub. L. 95–
91; 42 U.S.C. 7101 et seq.), DOE must
comply with all laws applicable to the
former Federal Energy Administration,
including section 32 of the Federal
Energy Administration Act of 1974
(Pub. L. 93–275), as amended by the
Federal Energy Administration
Authorization Act of 1977 (Pub. L. 95–
70). (15 U.S.C. 788; FEAA) Section 32
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96231
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 to implement
conversion factors between the existing
water heaters test procedure and the
amended test procedure does not
incorporate testing methods contained
in commercial standards.
M. Congressional Notification
As required by 5 U.S.C. 801, DOE will
report to Congress on the promulgation
of this rule before 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, Incorporation by
reference, 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.
10 CFR Part 431
Administrative practice and
procedure, Confidential business
information, Test procedures,
Incorporation by reference, Reporting
and recordkeeping requirements.
Issued in Washington, DC, on December 6,
2016.
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, 430,
and 431 of chapter II subchapter D of
title 10, Code of Federal Regulations as
set forth below:
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(2) The upper 95-percent confidence
limit (UCL) of the true mean divided by
1.10, where
PART 429—CERTIFICATION,
COMPLIANCE, AND ENFORCEMENT
FOR CONSUMER PRODUCTS AND
COMMERCIAL AND INDUSTRIAL
EQUIPMENT
1. The authority citation for part 429
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6317; 28 U.S.C.
2461 note.
2. Section 429.17 is revised to read as
follows:
■
Water heaters.
(a) Determination of represented
value. (1) As of July 13, 2015,
manufacturers must determine the
represented value for each new basic
model of water heater by applying an
alternative efficiency determination
method (AEDM) in accordance with 10
CFR 429.70 or by testing for the uniform
energy factor, in conjunction with the
applicable sampling provisions as
follows:
(i) If the represented value is
determined through testing, the general
requirements of 10 CFR 429.11 are
applicable; and
(ii) For each basic model selected for
testing, a sample of sufficient size shall
be randomly selected and tested to
ensure that—
(A) Any represented value of the
energy consumption or other measure of
energy use of a basic model for which
consumers would favor lower values
shall be greater than or equal to the
higher of:
(1) The mean of the sample, where:
¯
and, x is the sample mean; n is the
number of samples; and xi is the ith
sample;
Or,
Product class
New FHR = 7.9592 + 0.8752 × FHRP.
N/A .................................................
New Max GPM = 1.1461 × Max GPMP.
N/A .................................................
N/A .................................................
New FHR = 9.2827 + 0.8092 × FHRP.
New FHR = ¥35.8233 + 0.4649 × Vm + 160.5089 × Et.
N/A .................................................
New FHR = ¥35.8233 + 0.4649 × Vm + 160.5089 × Et.
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New
New
New
New
New
New
New
FHR = 25.0680 + 0.6535 × FHRP.
FHR = 1.0570 × FHRP.
FHR = 0.9102 × FHRP.
FHR = 9.2827 + 0.8092 × FHRP.
FHR = ¥4.2705 + 0.9947 × FHRP.
FHR = 41.5127 + 0.1989 × FHRP.
Max GPM = 1.1461 × Max GPMP.
Sfmt 4700
E:\FR\FM\29DER2.SGM
29DER2
ER29DE16.008</GPH>
Non-Condensing, Standard and
Low NOX.
Non-Condensing, Ultra-Low NOX ..
Condensing ....................................
N/A .................................................
Electric Resistance ........................
Heat Pump .....................................
N/A .................................................
N/A .................................................
ER29DE16.007</GPH>
Tabletop Water Heater ....................
Instantaneous
Gas-fired
Water
Heater.
Instantaneous Electric Water Heater.
Grid-Enabled Water Heater ............
Residential-Duty Commercial Gasfired Water Heater.
Residential-Duty Commercial Oilfired Water Heater.
Conversion factor *
ER29DE16.006</GPH>
srobinson on DSK5SPTVN1PROD with RULES2
Consumer Oil-fired Water Heater ...
Consumer Electric Water Heater ....
21:43 Dec 28, 2016
¯
And x is the sample mean; s is the
sample standard deviation; n is the
number of samples; and t0.95 is the t
statistic for a 95-percent one-tailed
confidence interval with n-1 degrees of
freedom (from Appendix A).
(C) Any represented value of the rated
storage volume must be equal to the
mean of the measured storage volumes
of all the units within the sample.
(D) Any represented value of firsthour rating or maximum gallons per
minute (GPM) must be equal to the
mean of the measured first-hour ratings
Distinguishing criteria
Consumer Gas-fired Water Heater
VerDate Sep<11>2014
¯
and, x is the sample mean; n is the
number of samples; and xi is the ith
sample;
Or,
(2) The lower 95-percent confidence
limit (LCL) of the true mean divided by
0.90, where:
ER29DE16.005</GPH>
§ 429.17
¯
And x is the sample mean; s is the
sample standard deviation; n is the
number of samples; and t0.95 is the t
statistic for a 95-percent one-tailed
confidence interval with n-1 degrees of
freedom (from Appendix A).
(B) Any represented value of energy
efficiency or other measure of energy
consumption of a basic model for which
consumers would favor higher values
shall be less than or equal to the lower
of:
(1) The mean of the sample, where:
or measured maximum GPM ratings,
respectively, of all the units within the
sample.
(2) For basic models initially certified
before July 13, 2015 (using either the
energy factor test procedure contained
in appendix E to subpart B of 10 CFR
part 430 of the January 1, 2015 edition
of the Code of Federal Regulations or
the thermal efficiency and standby loss
test procedures contained in 10 CFR
431.106 of the January 1, 2015 edition
of the Code of Federal Regulations, in
conjunction with applicable sampling
provisions), manufacturers must:
(i) Determine the represented value
for each basic model by applying an
AEDM in accordance with 10 CFR
429.70 or by testing for the uniform
energy factor, in conjunction with the
applicable sampling provisions of
paragraph (a)(1) of this section; or
(ii) Calculate the uniform energy
factor for each test sample by applying
the following mathematical conversion
factors to test data previously obtained
through testing according to appendix E
to subpart B of 10 CFR part 430 of the
January 1, 2015 edition of the Code of
Federal Regulations or the thermal
efficiency and standby loss test
procedures contained in 10 CFR 431.106
of the January 1, 2015, edition of the
Code of Federal Regulations.
Represented values of uniform energy
factor, first-hour rating, and maximum
GPM rating based on a calculation using
this mathematical conversion factor
must be determined using the
applicable sampling provisions in
paragraphs (a)(1)(i) and (ii) of this
section.
(A) Calculate the New First Hour
Rating (New FHR) or New Max Gallons
per Minute (New Max GPM), as
applicable, using the equations
presented in the table in this paragraph.
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
Product class
Distinguishing criteria
Residential-Duty Commercial Electric Instantaneous Water Heater.
N/A .................................................
96233
Conversion factor *
New Max GPM = 0.0146 + 0.0295 × Q.
FHRP = prior first-hour rating.
Max GPMP = prior maximum GPM rating.
Q = nameplate input rate, in kBtu/h.
Et = thermal efficiency rating.
Vm = measured storage volume in gallons.
(B) Determine the applicable draw
pattern as follows:
(1) For consumer gas-fired water
heaters, consumer oil-fired water
heaters, consumer electric water heaters,
tabletop water heaters, grid-enabled
water heaters, residential-duty
commercial gas water heaters,
residential-duty commercial oil-fired
water heaters: Use the New FHR (as
defined in paragraph (a)(2)(ii)(A) of this
section) to select the applicable draw
pattern from the table in this paragraph:
New FHR greater than or equal to:
and new FHR less than:
Draw pattern
0 gallons ............................................................
18 gallons ..........................................................
51 gallons ..........................................................
75 gallons ..........................................................
18 gallons .........................................................
51 gallons .........................................................
75 gallons .........................................................
No upper limit ...................................................
Very Small.
Low.
Medium.
High.
(2) For instantaneous gas-fired water
heaters, instantaneous electric water
heaters, and residential-duty
commercial electric instantaneous water
heaters: Use New Max GPM (as defined
in paragraph (a)(2)(ii)(A) of this section)
to select the applicable draw pattern
from the table in this paragraph:
New max GPM greater than or equal to:
And new max GPM rating less than:
0 gallons/minute ................................................
1.7 gallons/minute .............................................
2.8 gallons/minute .............................................
4 gallons/minute ................................................
1.7 gallons/minute ............................................
2.8 gallons/minute ............................................
4 gallons/minute ...............................................
No upper limit ...................................................
Very Small .................
Low ............................
Medium .....................
DV
10 gallons.
38 gallons.
55 gallons.
Where a, b, c, and d are coefficients
based on the applicable draw pattern as
(for consumer instantaneous water
heaters), UEFrd (for residential-duty
commercial storage water heaters), and
UEFrd, model (for residential-duty
commercial electric instantaneous water
heaters) as follows:
(1) For consumer storage water
heaters (except consumer electric heat
pump water heaters):
specified in the table below; EF is the
energy factor; hr is the recovery
efficiency in decimal form; and P is the
input rate in Btu/h.
Draw pattern
High ...........................
DV
84 gallons.
Draw pattern
a
Very Small .......................................................................................................
Low ..................................................................................................................
Medium ............................................................................................................
High ..................................................................................................................
b
c
0.250266
0.065860
0.045503
0.029794
57.5
57.5
57.5
57.5
E:\FR\FM\29DER2.SGM
29DER2
0.039864
0.039864
0.039864
0.039864
d
67.5
67.5
67.5
67.5
(2) For consumer instantaneous water
heaters:
VerDate Sep<11>2014
21:43 Dec 28, 2016
Jkt 241001
PO 00000
Frm 00031
Fmt 4701
Sfmt 4700
ER29DE16.009</GPH>
srobinson on DSK5SPTVN1PROD with RULES2
Very Small.
Low.
Medium.
High.
(D) For each class besides consumer
electric heat pump water heaters, use
the applicable equation to calculate:
UEFWHAM (for consumer storage water
heaters-except heat pumps), UEFmodel
(C) For consumer electric heat pump
water heaters, use the draw pattern to
determine the applicable drawn volume
(DV) from the table in this paragraph:
Draw pattern
Draw pattern
96234
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
Where hr is the recovery efficiency
expressed in decimal form and A is
dependent upon the applicable draw
pattern and fuel type as specified in the
table in this paragraph.
A
Draw pattern
Electric
Very Small ...............................................................................................................................................................
Low ..........................................................................................................................................................................
Medium ....................................................................................................................................................................
High ..........................................................................................................................................................................
0.003819
0.001549
0.001186
0.000785
Gas
0.026915
0.010917
0.008362
0.005534
(3) For residential-duty commercial
storage water heaters:
Where P is the input rate in Btu/h; Et
is the thermal efficiency; SL is the
standby loss in Btu/h; and F and G are
coefficients as specified in the table in
this paragraph based on the applicable
draw pattern.
Draw pattern
F
Very Small ...............................................................................................................................................................
Low ..........................................................................................................................................................................
Medium ....................................................................................................................................................................
High ..........................................................................................................................................................................
0.821429
0.821429
0.821429
0.821429
G
0.0043520
0.0011450
0.0007914
0.0005181
(4) For residential-duty commercial
electric instantaneous water heaters:
A
0.003819
0.001549
0.001186
0.000785
Product class
Distinguishing criteria
Consumer Gas-fired Water Heater ....................
Non-Condensing, Standard and Low NOX ......
Non-Condensing, Ultra-Low NOX ....................
Condensing ......................................................
N/A ...................................................................
Electric Resistance ..........................................
Heat Pump .......................................................
srobinson on DSK5SPTVN1PROD with RULES2
Consumer Oil-fired Water Heater .......................
Consumer Electric Water Heater .......................
Tabletop Water Heater .......................................
Instantaneous Gas-fired Water Heater ..............
Instantaneous Electric Water Heater .................
Grid-Enabled Water Heater ................................
Residential-Duty Commercial Gas-fired Water
Heater.
Residential-Duty Commercial Oil-fired Water
Heater.
VerDate Sep<11>2014
22:15 Dec 28, 2016
Jkt 241001
N/A
N/A
N/A
N/A
N/A
Conversion factor
...................................................................
...................................................................
...................................................................
...................................................................
...................................................................
N/A ...................................................................
PO 00000
Frm 00032
Fmt 4701
Sfmt 4700
New UEF
New UEF
New UEF
New UEF
New UEF
New UEF
DV.
New UEF
New UEF
New UEF
New UEF
New UEF
= ¥0.0002 + 0.9858 × UEFWHAM.
= 0.0746 + 0.8653 × UEFWHAM.
= 0.4242 + 0.4641 × UEFWHAM.
= ¥0.0033 + 0.9528 × UEFWHAM.
= 0.4774 + 0.4740 × UEFWHAM.
= 0.1513 + 0.8407 × EF + 0.0043 ×
=
=
=
=
=
¥0.3305 + 1.3983 × UEFWHAM.
0.1006 + 0.8622 × UEFmodel.
0.9847 × UEFmodel.
0.4774 + 0.4740 × UEFWHAM.
¥0.0022 + 1.0002 × UEFrd.
New UEF = ¥0.0022 + 1.0002 × UEFrd.
E:\FR\FM\29DER2.SGM
29DER2
ER29DE16.012</GPH>
Very Small ............................
Low .......................................
Medium .................................
High ......................................
(E) Calculate the ‘‘New UEF’’ (i.e., the
converted UEF) using the applicable
equation in the table in this paragraph.
ER29DE16.011</GPH>
Draw pattern
ER29DE16.010</GPH>
Where Et is the thermal efficiency
expressed in decimal form and A is
dependent upon the applicable draw
pattern, as specified in the table in this
paragraph.
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
Product class
Distinguishing criteria
Residential-Duty Commercial Electric Instantaneous Water Heater.
N/A ...................................................................
96235
Conversion factor
New UEF = UEFrd,
model.
VerDate Sep<11>2014
21:43 Dec 28, 2016
Jkt 241001
PO 00000
Frm 00033
Fmt 4701
Sfmt 4725
3. Section 429.17 is further revised,
effective December 29, 2017, to read as
follows:
■
§ 429.17
Water heaters.
(a) Determination of represented
value. (1) Manufacturers must
determine the represented value for
each water heater by applying an AEDM
in accordance with 10 CFR 429.70 or by
testing for the uniform energy factor, in
conjunction with the applicable
sampling provisions as follows:
(i) If the represented value is
determined through testing, the general
requirements of 10 CFR 429.11 are
applicable; and
(ii) For each basic model selected for
testing, a sample of sufficient size shall
be randomly selected and tested to
ensure that—
(A) Any represented value of the
estimated annual operating cost or other
measure of energy consumption of a
basic model for which consumers would
favor lower values shall be greater than
or equal to the higher of:
(1) The mean of the sample, where:
¯
and, x is the sample mean; n is the
number of samples; and xi is the ith
sample;
Or,
(2) The upper 95-percent confidence
limit (UCL) of the true mean divided by
1.10, where:
¯
And x is the sample mean; s is the
sample standard deviation; n is the
number of samples; and t0.95 is the t
statistic for a 95-percent one-tailed
confidence interval with n-1 degrees of
freedom (from Appendix A).
(B) Any represented value of the
uniform energy factor, or other measure
of energy consumption of a basic model
for which consumers would favor
higher values shall be less than or equal
to the lower of:
(1) The mean of the sample, where:
E:\FR\FM\29DER2.SGM
29DER2
ER29DE16.015</GPH>
(iv) For instantaneous-type water
heater basic models rated pursuant to 10
CFR 429.17(a)(1) or 10 CFR
429.17(a)(2)(i): The uniform energy
factor (UEF, rounded to the nearest
0.01), the rated storage volume in
gallons (gal, rounded to the nearest 1
gal), the maximum gallons per minute
(gpm, rounded to the nearest 0.1 gpm),
and the recovery efficiency in percent
(%, rounded to the nearest 1%);
(v) For grid-enabled water heater basic
models previously certified for energy
factor pursuant to 10 CFR 429.17(a) of
the January 1, 2015 edition of the Code
of Federal Regulations, and for which
uniform energy factor is calculated
pursuant to 10 CFR 429.17(a)(2)(ii): The
energy factor (EF, rounded to the nearest
0.01), the uniform energy factor (UEF,
rounded to the nearest 0.01), the rated
storage volume in gallons (gal, rounded
to the nearest 1 gal), the uniform energy
factor test procedure first-hour rating in
gallons (gal, rounded to the nearest 1
gal) as determined under paragraph
(a)(2)(ii)(A) of this section, the
previously certified first-hour rating
under the energy factor test procedure
in gallons (gal, rounded to the nearest 1
gal), the recovery efficiency in percent
(%, rounded to the nearest 1%), a
declaration that the model is a gridenabled water heater, whether it is
equipped at the point of manufacture
with an activation lock, and whether it
bears a permanent label applied by the
manufacturer that advises purchasers
and end-users of the intended and
appropriate use of the product; and
(vi) For grid-enabled water heater
basic models rated pursuant to 10 CFR
429.17(a)(1) or 10 CFR 429.17(a)(2)(i):
The uniform energy factor (UEF,
rounded to the nearest 0.01), the rated
storage volume in gallons (gal, rounded
to the nearest 1 gal), the first-hour rating
in gallons (gal, rounded to the nearest 1
gal), and the recovery efficiency in
percent (%, rounded to the nearest 1%),
a declaration that the model is a gridenabled water heater, whether it is
equipped at the point of manufacture
with an activation lock, and whether it
bears a permanent label applied by the
manufacturer that advises purchasers
and end-users of the intended and
appropriate use of the product.
ER29DE16.014</GPH>
(b) Certification reports. (1) The
requirements of 10 CFR 429.12 apply;
and
(2) Pursuant to 10 CFR 429.12(b)(13),
a certification report must include the
following public, product-specific
information:
(i) For storage-type water heater basic
models previously certified for energy
factor pursuant to § 429.17(a) of the
January 1, 2015 edition of the Code of
Federal Regulations, and for which
uniform energy factor is calculated
pursuant to 10 CFR 429.17(a)(2)(ii): The
energy factor (EF, rounded to the nearest
0.01), the uniform energy factor (UEF,
rounded to the nearest 0.01), the rated
storage volume in gallons (gal, rounded
to the nearest 1 gal), the uniform energy
factor test procedure first-hour rating in
gallons (gal, rounded to the nearest 1
gal) as determined under paragraph
(a)(2)(ii)(A) of this section, the
previously certified first-hour rating
under the energy factor test procedure
in gallons (gal, rounded to the nearest 1
gal), and the recovery efficiency in
percent (%, rounded to the nearest 1%);
(ii) For storage-type water heater basic
models rated pursuant to 10 CFR
429.17(a)(1) or 10 CFR 429.17(a)(2)(i):
The uniform energy factor (UEF,
rounded to the nearest 0.01), the rated
storage volume in gallons (gal, rounded
to the nearest 1 gal), the first-hour rating
in gallons (gal, rounded to the nearest 1
gal), and the recovery efficiency in
percent (%, rounded to the nearest 1%);
(iii) For instantaneous-type water
heater basic models previously certified
for energy factor pursuant to § 429.17(a)
of the January 1, 2015 edition of the
Code of Federal Regulations, and for
which uniform energy factor is
calculated pursuant to 10 CFR
429.17(a)(2)(ii): The energy factor (EF,
rounded to the nearest 0.01), the
uniform energy factor (UEF. rounded to
the nearest 0.01), the rated storage
volume in gallons (gal, rounded to the
nearest 1 gal), the uniform energy factor
test procedure maximum gallons per
minute (gpm, rounded to the nearest 0.1
gpm) as determined under paragraph
(a)(2)(ii)(A) of this section, the
previously certified maximum gallons
per minute (gpm, rounded to the nearest
0.1 gpm) under the energy factor test
procedure, and the recovery efficiency
in percent (%, rounded to the nearest
1%);
ER29DE16.013</GPH>
srobinson on DSK5SPTVN1PROD with RULES2
New UEF = converted UEF.
EF = Energy Factor.
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
and, x is the sample mean; n is the
number of samples; and xi is the ith
sample;
srobinson on DSK5SPTVN1PROD with RULES2
Or,
(2) The lower 95-percent confidence
limit (LCL) of the true mean divided by
0.90, where:
¯
And x is the sample mean; s is the
sample standard deviation; n is the
number of samples; and t0.95 is the t
statistic for a 95-percent one-tailed
confidence interval with n-1 degrees of
freedom (from Appendix A).
(C) Any represented value of the rated
storage volume must be equal to the
mean of the measured storage volumes
of all the units within the sample.
(D) Any represented value of firsthour rating or maximum gallons per
minute (GPM) must be equal to the
mean of the measured first-hour ratings
or measured maximum GPM ratings,
respectively, of all the units within the
sample.
(b) Certification reports. (1) The
requirements of 10 CFR 429.12 are
applicable to water heaters; and
(2) Pursuant to 10 CFR 429.12(b)(13),
a certification report shall include the
following public, product-specific
information:
(i) For storage-type water heater basic
models: The uniform energy factor
(UEF, rounded to the nearest 0.01), the
rated storage volume in gallons
(rounded to the nearest 1 gal), the firsthour rating in gallons (gal, rounded to
the nearest 1 gal), and the recovery
efficiency in percent (%, rounded to the
nearest 1%);
(ii) For instantaneous-type water
heater basic models: The uniform
energy factor (UEF, rounded to the
nearest 0.01), the rated storage volume
in gallons (gal, rounded to the nearest 1
gal), the maximum gallons per minute
(gpm, rounded to the nearest 0.1 gpm),
and the recovery efficiency in percent
(%, rounded to the nearest 1%); and
(iii) For grid-enabled water heater
basic models: The uniform energy factor
(UEF, rounded to the nearest 0.01), the
rated storage volume in gallons (gal,
rounded to the nearest 1 gal), the firsthour rating in gallons (gal, rounded to
the nearest 1 gal), the recovery
efficiency in percent (%, rounded to the
nearest 1%), a declaration that the
model is a grid-enabled water heater,
whether it is equipped at the point of
manufacture with an activation lock,
and whether it bears a permanent label
applied by the manufacturer that
advises purchasers and end-users of the
VerDate Sep<11>2014
21:43 Dec 28, 2016
Jkt 241001
intended and appropriate use of the
product.
■ 4. Section 429.44 is amended by
adding paragraph (d) to read as follows:
§ 429.44 Commercial water heating
equipment.
*
*
*
*
*
(d) Certification reports for
residential-duty commercial water
heaters. (1) The requirements of
§ 429.12 apply; and
(2) Pursuant to § 429.12(b)(13), a
certification report must include the
following public, equipment-specific
information:
(i) Residential-duty commercial gasfired and oil-fired storage water heaters
previously certified for thermal
efficiency and standby loss pursuant to
10 CFR 429.44(b) of the January 1, 2015
edition of the Code of Federal
Regulations, and for which uniform
energy factor is calculated pursuant to
10 CFR 429.17(a)(2)(ii): The thermal
efficiency in percent (%), the standby
loss in British thermal units per hour
(Btu/h), the uniform energy factor (UEF,
rounded to the nearest 0.01), the rated
storage volume in gallons (gal), and the
nameplate input rate in Btu/h.
(ii) Residential-duty commercial gasfired and oil-fired storage water heaters
rated for uniform energy factor pursuant
to 10 CFR 429.17(a)(2)(i): The uniform
energy factor (UEF, rounded to the
nearest 0.01), the rated storage volume
in gallons (rounded to the nearest 1 gal),
the first-hour rating in gallons (gal,
rounded to the nearest 1 gal), and the
recovery efficiency in percent (%,
rounded to the nearest 1%).
(iii) Residential-duty commercial
electric instantaneous water heaters
previously certified for thermal
efficiency and standby loss pursuant to
10 CFR 429.44(b) of the January 1, 2015
edition of the Code of Federal
Regulations, and for which uniform
energy factor is calculated pursuant to
10 CFR 429.17(a)(2)(ii): The thermal
efficiency in percent (%), the standby
loss in British thermal units per hour
(Btu/h), the uniform energy factor (UEF,
rounded to the nearest 0.01), the rated
storage volume in gallons (gal), and the
nameplate input rate in kilowatts (kW).
(iv) Residential-duty commercial
electric instantaneous water heaters
rated for uniform energy factor pursuant
to 10 CFR 429.17(a)(2)(i): The uniform
energy factor (UEF, rounded to the
nearest 0.01), the rated storage volume
in gallons (gal, rounded to the nearest 1
gal), the maximum gallons per minute
(gpm, rounded to the nearest 0.1 gpm),
and the recovery efficiency in percent
(%, rounded to the nearest 1%)).
*
*
*
*
*
PO 00000
Frm 00034
Fmt 4701
Sfmt 4700
5. Section 429.44 is further revised,
effective December 29, 2017, by revising
paragraph (d)(2) to read as follows:
■
§ 429.44 Commercial water heating
equipment.
*
*
*
*
*
(d) * * *
(2) Pursuant to § 429.12(b)(13), a
certification report for equipment must
include the following public,
equipment-specific information:
(i) Residential-duty commercial gasfired and oil-fired storage water heaters:
The uniform energy factor (UEF,
rounded to the nearest 0.01), the rated
storage volume in gallons (gal, rounded
to the nearest 1 gal), the first-hour rating
in gallons (gal, rounded to the nearest 1
gal), and the recovery efficiency in
percent (%, rounded to the nearest 1%).
(ii) Residential-duty commercial
electric instantaneous water heaters:
The uniform energy factor (UEF,
rounded to the nearest 0.01), the rated
storage volume in gallons (gal, rounded
to the nearest 1 gal), the maximum
gallons per minute (gpm, rounded to the
nearest 0.1 gpm), and the recovery
efficiency in percent (%, rounded to the
nearest 1%).
*
*
*
*
*
6. Section 429.134 is amended by
revising paragraph (d)(2) to read as
follows:
■
§ 429.134 Product-specific enforcement
provisions.
*
*
*
*
*
(d) * * *
(2) Verification of rated storage
volume. The storage volume of the basic
model will be measured pursuant to the
test requirements of appendix E to
subpart B of 10 CFR part 430 for each
unit tested. The mean of the measured
values will be compared to the rated
storage volume as certified by the
manufacturer. The rated value will be
considered valid only if the
measurement is within 3 percent of the
certified rating.
(i) If the rated storage volume is found
to be within 3 percent of the mean of the
measured value of storage volume, then
the rated value will be used as the basis
for calculation of the required uniform
energy factor for the basic model.
(ii) If the rated storage volume is
found to vary more than 3 percent from
the mean of the measured values, then
the mean of the measured values will be
used as the basis for calculation of the
required uniform energy factor for the
basic model.
*
*
*
*
*
E:\FR\FM\29DER2.SGM
29DER2
ER29DE16.016</GPH>
96236
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
PART 430—ENERGY CONSERVATION
PROGRAM FOR CONSUMER
PRODUCTS
7. The authority citation for part 430
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6309; 28 U.S.C.
2461 note.
8. Section 430.23 is amended by
revising paragraph (e) to read as follows:
■
§ 430.23 Test procedures for the
measurement of energy and water
consumption.
*
*
*
*
*
(e) Water heaters. (1) For water
heaters tested using energy factor and
for which uniform energy factor is
determined using the conversion factors
in accordance with 10 CFR 429.17(a)(2):
(i) The estimated annual operating
cost is calculated as—
(A) For a gas-fired or oil-fired water
heater, the product of the annual energy
consumption, determined according to
section 6.3.7 or 6.4.4 of appendix E of
this subpart, times the representative
average unit cost of gas or oil, as
appropriate, in dollars per Btu as
provided by the Secretary. Round the
resulting product to the nearest dollar
per year.
(B) For an electric water heater, the
product of the annual energy
consumption, determined according to
section 6.3.7 or 6.4.4 of appendix E of
this subpart, times the representative
average unit cost of electricity in dollars
per kilowatt-hour as provided by the
Secretary, divided by 3412 Btu per
kilowatt-hour. Round the resulting
product to the nearest dollar per year.
(ii) For an individual unit, determine
the tested energy factor in accordance
with section 6.1.7 or 6.2.4 of appendix
E to subpart B of 10 CFR part 430 of the
January 1, 2015 edition of the Code of
Federal Regulations, and round the
value to the nearest 0.01. Determine the
converted uniform energy factor in
accordance with 10 CFR 429.17(a)(2),
and round the value to the nearest 0.01.
(2) For water heaters tested using
uniform energy factor:
(i) The estimated annual operating
cost is calculated as:
(A) For a gas-fired or oil-fired water
heater, the sum of: The product of the
annual gas or oil energy consumption,
determined according to section 6.3.9 or
6.4.6 of appendix E of this subpart,
times the representative average unit
cost of gas or oil, as appropriate, in
dollars per Btu as provided by the
Secretary; plus the product of the
annual electric energy consumption,
determined according to section 6.3.8 or
6.4.5 of appendix E of this subpart,
times the representative average unit
cost of electricity in dollars per
kilowatt-hour as provided by the
Secretary. Round the resulting sum to
the nearest dollar per year.
(B) For an electric water heater, the
product of the annual energy
consumption, determined according to
section 6.3.7 or 6.4.4 of appendix E of
this subpart, times the representative
average unit cost of electricity in dollars
per kilowatt-hour as provided by the
Secretary. Round the resulting product
to the nearest dollar per year.
(ii) For an individual unit, determine
the tested uniform energy factor in
accordance with section 6.3.6 or 6.4.3 of
appendix E of this subpart, and round
the value to the nearest 0.01.
*
*
*
*
*
■ 9. Section 430.23 paragraph (e) is
further revised, effective December 29,
2017, to read as follows:
§ 430.23 Test procedures for the
measurement of energy and water
consumption.
*
*
*
*
*
Product class
Rated storage volume and input
rating
(if applicable)
Gas-fired Storage Water Heater ........
≥20 gal and ≤55 gal ..........................
>55 gal and ≤100 gal .......................
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Oil-fired Storage Water Heater ..........
≤50 gal ..............................................
Electric Storage Water Heaters .........
≥20 gal and ≤55 gal ..........................
>55 gal and ≤120 gal .......................
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(e) Water heaters. (1) The estimated
annual operating cost is calculated as:
(i) For a gas-fired or oil-fired water
heater, the sum of: The product of the
annual gas or oil energy consumption,
determined according to section 6.3.9 or
6.4.6 of appendix E of this subpart,
times the representative average unit
cost of gas or oil, as appropriate, in
dollars per Btu as provided by the
Secretary; plus the product of the
annual electric energy consumption,
determined according to section 6.3.8 or
6.4.5 of appendix E of this subpart,
times the representative average unit
cost of electricity in dollars per
kilowatt-hour as provided by the
Secretary. Round the resulting sum to
the nearest dollar per year.
(ii) For an electric water heater, the
product of the annual energy
consumption, determined according to
section 6.3.7 or 6.4.4 of appendix E of
this subpart, times the representative
average unit cost of electricity in dollars
per kilowatt-hour as provided by the
Secretary. Round the resulting product
to the nearest dollar per year.
(2) For an individual unit, determine
the tested uniform energy factor in
accordance with section 6.3.6 or 6.4.3 of
appendix E of this subpart, and round
the value to the nearest 0.01.
*
*
*
*
*
10. Section 430.32 is amended by
revising paragraph (d) to read as
follows:
■
§ 430.32 Energy and water conservation
standards and their compliance dates.
*
*
*
*
*
(d) Water heaters. The uniform energy
factor of water heaters shall not be less
than the following:
Draw pattern
Uniform energy factor
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
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29DER2
0.3456
0.5982
0.6483
0.6920
0.6470
0.7689
0.7897
0.8072
0.2509
0.5330
0.6078
0.6815
0.8808
0.9254
0.9307
0.9349
1.9236
2.0440
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
¥
(0.0020
(0.0019
(0.0017
(0.0013
(0.0006
(0.0005
(0.0004
(0.0003
(0.0012
(0.0016
(0.0016
(0.0014
(0.0008
(0.0003
(0.0002
(0.0001
(0.0011
(0.0011
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
×
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
96238
Federal Register / Vol. 81, No. 250 / Thursday, December 29, 2016 / Rules and Regulations
Rated storage volume and input
rating
(if applicable)
Product class
Tabletop Water Heater ......................
≥20 gal and ≤120 gal ........................
Instantaneous Gas-fired Water Heater.
<2 gal and >50,000 Btu/h .................
Instantaneous Electric Water Heater
<2 gal ................................................
Grid-Enabled Water Heater ...............
>75 gal ..............................................
Draw pattern
Uniform energy factor
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
2.1171
2.2418
0.6323
0.9188
0.9577
0.9884
0.80
0.81
0.81
0.81
0.91
0.91
0.91
0.92
1.0136
0.9984
0.9853
0.9720
¥
¥
¥
¥
¥
¥
(0.0011
(0.0011
(0.0058
(0.0031
(0.0023
(0.0016
×
×
×
×
×
×
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
¥
¥
¥
¥
(0.0028
(0.0014
(0.0010
(0.0007
×
×
×
×
Vr)
Vr)
Vr)
Vr)
* Vr is the Rated Storage Volume (in gallons), as determined pursuant to 10 CFR 429.17.
*
*
*
*
*
12. Section 431.110 is revised to read
as follows:
■
PART 431—ENERGY EFFICIENCY
PROGRAM FOR CERTAIN
COMMERCIAL AND INDUSTRIAL
EQUIPMENT
§ 431.110 Energy conservation standards
and their effective dates.
11. The authority citation for part 431
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6317; 28 U.S.C.
2461 note.
(a) Each commercial storage water
heater, instantaneous water heater,
unfired hot water storage tank and hot
water supply boiler (excluding
residential-duty commercial water
heaters) must meet the applicable
energy conservation standard level(s) as
specified in the table in this paragraph.
Any packaged boiler that provides
service water that meets the definition
of ‘‘commercial packaged boiler’’ in
subpart E of this part, but does not meet
the definition of ‘‘hot water supply
boiler’’ in subpart G, must meet the
requirements that apply to it under
subpart E.
Energy conservation standard a
Equipment category
Size
Maximum standby loss c (equipment
manufactured on and after October 29,
2003) b
Electric storage water heaters ..................
Gas-fired storage water heaters ...............
All ..............................
≤155,000 Btu/hr .........
>155,000 Btu/hr .........
≤155,000 Btu/hr .........
>155,000 Btu/hr .........
<10 gal ......................
≥10 gal .......................
<10 gal ......................
≥10 gal .......................
0.30 + 27/Vm (%/hr) .................................
Q/800 + 110(Vr)1⁄2 (Btu/hr) ........................
Q/800 + 110(Vr)1⁄2 (Btu/hr) ........................
Q/800 + 110(Vr)1⁄2 (Btu/hr) ........................
Q/800 + 110(Vr)1⁄2 (Btu/hr) ........................
N/A ............................................................
Q/800 + 110(Vr)1⁄2 (Btu/hr) ........................
N/A ............................................................
Q/800 + 110(Vr)1⁄2 (Btu/hr) ........................
Oil-fired storage water heaters .................
Gas-fired instantaneous water heaters
and hot water supply boilers.
Oil-fired instantaneous water heaters and
hot water supply boilers.
Minimum thermal efficiency
(equipment
manufactured
on and after
October 29,
2003 and
before October
9, 2015) b
(%)
Minimum thermal efficiency
(equipment
manufactured
on and after
October 9,
2015) b
(%)
N/A
80
80
78
78
80
80
80
78
N/A
80
80
80
80
80
80
80
78
Equipment category
Size
All ..............................................................
srobinson on DSK5SPTVN1PROD with RULES2
Unfired hot water storage tank
Minimum thermal insulation
R–12.5
aV
m is the measured storage
b For hot water supply boilers
volume (in gallons), and Vr is the rated volume (in gallons). Q is the nameplate input rate in Btu/hr.
with a capacity of less than 10 gallons: (1) The standards are mandatory for products manufactured on and after
October 21, 2005, and (2) products manufactured prior to that date, and on or after October 23, 2003, must meet either the standards listed in
this table or the applicable standards in subpart E of this part for a ‘‘commercial packaged boiler.’’
c Water heaters and hot water supply boilers having more than 140 gallons of storage capacity need not meet the standby loss requirement if:
(1) The tank surface area is thermally insulated to R–12.5 or more; (2) a standing pilot light is not used; and (3) for gas or oil-fired storage water
heaters, they have a fire damper or fan-assisted combustion.
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(b) Each residential-duty commercial
water heater must meet the applicable
96239
energy conservation standard level(s) as
follows:
Product class
Specifications a
Draw pattern
Uniform energy factor b
Gas-fired Storage ...............................
>75 kBtu/hr and ≤105 kBtu/hr and
≤120 gal.
Oil-fired Storage .................................
>105 kBtu/hr and ≤140 kBtu/hr and
≤120 gal.
Electric Instantaneous ........................
>12 kW and ≤58.6 kW and ≤2 gal ...
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
Very Small ........................................
Low ...................................................
Medium .............................................
High ..................................................
0.2674
0.5362
0.6002
0.6597
0.2932
0.5596
0.6194
0.6740
0.80
0.80
0.80
0.80
¥
¥
¥
¥
¥
¥
¥
¥
(0.0009
(0.0012
(0.0011
(0.0009
(0.0015
(0.0018
(0.0016
(0.0013
×
×
×
×
×
×
×
×
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
Vr)
a Additionally, to be classified as a residential-duty commercial water heater, a commercial water heater must meet the following conditions: (1)
if the water heater requires electricity, it must use a single-phase external power supply; and (2) the water heater must not be designed to heat
water to temperatures greater than 180 °F.
b V is the rated storage volume (in gallons), as determined pursuant to 10 CFR 429.44.
r
[FR Doc. 2016–29994 Filed 12–28–16; 8:45 am]
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BILLING CODE 6450–01–P
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]]>Agencies
[Federal Register Volume 81, Number 250 (Thursday, December 29, 2016)]
[Rules and Regulations]
[Pages 96204-96239]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-29994]
[[Page 96203]]
Vol. 81
Thursday,
No. 250
December 29, 2016
Part II
Department of Energy
-----------------------------------------------------------------------
10 CFR Parts 429, 430, and 431
Energy Conservation Program for Consumer Products and Certain
Commercial and Industrial Equipment: Test Procedures for Consumer and
Commercial Water Heaters; Final Rule
Federal Register / Vol. 81 , No. 250 / Thursday, December 29, 2016 /
Rules and Regulations
[[Page 96204]]
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Parts 429, 430, and 431
[Docket No. EERE-2015-BT-TP-0007]
RIN 1904-AC91
Energy Conservation Program for Consumer Products and Certain
Commercial and Industrial Equipment: Test Procedures for Consumer and
Commercial Water Heaters
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The U.S. Department of Energy (DOE), in this final rule,
establishes mathematical conversion factors to translate the current
energy conservation standards and the measured values determined under
the energy factor, thermal efficiency, and standby loss test procedures
for consumer water heaters and certain commercial water heaters to
those determined under the more recently adopted uniform energy factor
test procedure. As required by the Energy Policy and Conservation Act
of 1975 (EPCA), as amended, DOE initially presented proposals for
establishing a mathematical conversion factor in a notice of proposed
rulemaking (NOPR) published on April 14, 2015 (April 2015 NOPR). Upon
further analysis and review of the public comments received in response
to the April 2015 NOPR, DOE published a supplemental notice of proposed
rulemaking on August 30, 2016 (August 2016 SNOPR). These proposed
rulemakings serve as the basis for the final rule.
DATES: The effective date of this rule is December 29, 2016. The
conversion factors established in this rule shall apply beginning on
December 29, 2016 through December 29, 2017.
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 those containing information that is exempt from
public disclosure.
A link to the docket Web page can be found at https://www.regulations.gov/docket?DRegulations.gov-Docket Folder Summary=EERE-
2015-BT-TP-0007. The docket Web page contains simple instructions on
how to access all documents, including public comments, in the docket.
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:
Ashley.Armstrong@ee.doe.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Authority and Background
II. Summary of the Final Rule
III. Discussion
A. Purpose
B. Scope
1. Storage Volume and Input Capacity Limitations
2. Water Temperature Limitations
3. Grid-Enabled Water Heaters
4. Residential-Duty Commercial Water Heaters
C. Approaches for Developing Conversions
1. Analytical Methods Approach
2. Empirical Regression Approach
3. Hybrid Approach
D. Testing Results and Analysis of Test Data
1. Impact of Certain Water Heater Attributes on Efficiency
Ratings
2. Conversion Factor Derivation
a. Consumer Storage Water Heaters
b. Consumer Instantaneous Water Heaters
c. Residential-Duty Commercial Water Heaters
i. Gas-Fired Storage and Oil-Fired Storage
ii. Electric Instantaneous
d. Grid-Enabled Storage Water Heaters
3. Energy Conservation Standard Derivation
E. Enforcement Policy
F. Certification
G. Effective Date
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. Congressional Notification
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\ Consumer water
heaters, one subject of this document, are a ``covered product'' under
EPCA. (42 U.S.C. 6292(a)(4)) Title III, Part C \3\ of EPCA, Public Law
94-163 (42 U.S.C. 6311-6317, as codified), added by Public Law 95-619,
Title IV, Sec. 441(a), established the Energy Conservation Program for
Certain Industrial Equipment, which includes commercial water heating
equipment, another subject of this rulemaking, as ``covered
equipment.'' (42 U.S.C. 6311(1)(K))
---------------------------------------------------------------------------
\1\ For editorial reasons, upon codification in the U.S. Code,
Part B was redesignated Part A.
\2\ All references to EPCA in this document refer to the statute
as amended through the Energy Efficiency Improvement Act of 2015
(EEIA 2015), Public Law 114-11 (April 30, 2015).
\3\ For editorial reasons, upon codification in the U.S. Code,
Part C was redesignated Part A-1.
---------------------------------------------------------------------------
Under EPCA, DOE's energy conservation program generally consists of
four parts: (1) Testing; (2) labeling; (3) energy conservation
standards; and (4) certification and enforcement procedures. The
testing requirements consist of test procedures that manufacturers of
covered products and equipment must use as the basis for certifying to
DOE that their products and equipment comply with the applicable energy
conservation standards adopted under EPCA, and for making other
representations about the efficiency of those products. (42 U.S.C.
6293(c); 42 U.S.C. 6295(s); 42 U.S.C. 6314) Similarly, DOE must use
these test procedures to determine whether such products and certain
equipment comply with any relevant standards promulgated under EPCA.
(42 U.S.C. 6295(s); 42 U.S.C. 6314)
EPCA contains what is known as an ``anti-backsliding'' provision,
which prevents the Secretary from prescribing any amended standard that
either increases the maximum allowable energy use or decreases the
minimum required energy efficiency of a covered product. (42 U.S.C.
6295(o)(1); 6313(a)(6)(B)(iii)(I)) Also, the Secretary may not
prescribe an amended or new standard if interested persons have
established by a preponderance of the evidence that the standard is
likely to result in the unavailability in the United States of any
covered product type (or class) of performance characteristics
(including reliability), features, sizes, capacities, and volumes that
are substantially the same as those generally available in the United
States. (42 U.S.C. 6295(o)(4); 6313(a)(6)(B)(iii)(II))
[[Page 96205]]
EPCA prescribed the energy conservation standards for consumer
water heaters, shown in Table I.1 (42 U.S.C. 6295(e)(1)), and directed
DOE to conduct further rulemakings to determine whether to amend these
standards. (42 U.S.C. 6295(e)(4)(A)-(B)) DOE notes that under 42 U.S.C.
6295(m), the agency must periodically review its already established
energy conservation standards for a covered product. Under this
requirement, the next review that DOE would need to conduct must occur
no later than six years from the issuance of a final rule establishing
or amending a standard for a covered product. DOE also notes that the
statutory energy conservation standards apply to both storage and
instantaneous consumer water heaters regardless of volume capacity.
Table I.1--EPCA Initial Energy Conservation Standards for Consumer Water
Heaters
------------------------------------------------------------------------
Product class Energy factor
------------------------------------------------------------------------
Gas Water Heater....................... 0.62-(0.0019 x Rated Storage
Volume in gallons).
Oil Water Heater....................... 0.59-(0.0019 x Rated Storage
Volume in gallons).
Electric Water Heater.................. 0.95-(0.00132 x Rated Storage
Volume in gallons).
------------------------------------------------------------------------
The initial test procedures for water heaters were prescribed in a
final rule published on October 4, 1977. 42 FR 54110. On October 17,
1990, DOE published a final rule which updated the test procedure from
a no-draw test to a six-draw, 24-hour simulated-use test. 55 FR 42162.
The effect of this change in test procedure was investigated on a
sample of representative units and based on the results of testing on
those units, DOE updated the energy conservation standard for electric
water heaters to reflect the new test procedure. To account for the
change in test procedure for electric water heaters, DOE amended the
standard to 0.93-(0.00132 x Rated Storage Volume). Id. at 42177.
On April 16, 2010, DOE published a final rule (hereinafter referred
to as the ``April 2010 final rule'') that amended the energy
conservation standards for specified classes of consumer water heaters,
and maintained the existing energy conservation standards for tabletop
and electric instantaneous water heaters. 75 FR 20112. The standards
adopted by the April 2010 final rule are shown below in Table I.2.
These standards apply to all water heater product classes listed in
Table I.2 and manufactured in, or imported into, the United States on
or after April 16, 2015, for all classes except for tabletop and
electric instantaneous. For these latter two classes, compliance with
these standards has been required since April 15, 1991. 55 FR 42162
(Oct. 17, 1990). Current energy conservation standards for consumer
water heaters can be found in DOE's regulations at 10 CFR 430.32(d).
Table I.2--DOE Energy Conservation Standards for Consumer Water Heaters
------------------------------------------------------------------------
Rated storage
Product class volume *** Energy factor **
------------------------------------------------------------------------
Gas-fired Storage............... >=20 gal and <=55 0.675-(0.0015 x
gal. Vs)
>55 gal and <=100 0.8012-(0.00078 x
gal. Vs)
Oil-fired Storage............... <=50 gal.......... 0.68-(0.0019 x Vs)
Electric Storage................ >=20 gal and <=55 0.960-(0.0003 x
gal. Vs)
>55 gal and <=120 2.057-(0.00113 x
gal. Vs)
Tabletop *...................... >=20 gal and <=120 0.93-(0.00132 x
gal. Vs)
Gas-fired Instantaneous [dagger] <2 gal............ 0.82-(0.0019 x Vs)
Electric Instantaneous *........ <2 gal............ 0.93-(0.00132 x
Vs)
------------------------------------------------------------------------
* Tabletop and electric instantaneous water heater standards were not
updated by the April 2010 final rule.
** Vs is the ``Rated Storage Volume'' (in gallons), as determined by 10
CFR 429.17.
*** Rated Storage Volume limitations result from either a lack of test
procedure coverage or from divisions created by DOE when adopting
standards. The division at 55 gallons for gas-fired and electric
storage water heaters was established in the April 16, 2010 final rule
amending energy conservation standards. 75 FR 20112. The other storage
volume limitations shown in this table are a result of test procedure
applicability and are discussed in the July 2014 final rule. 79 FR
40542 (July 11, 2014).
[dagger] The standard for gas-fired instantaneous water heaters applies
only to gas-fired instantaneous water heaters with a rated input of
greater than 50,000 Btu/h.
The initial Federal energy conservation standards and test
procedures for commercial water heating equipment were added to EPCA as
an amendment made by the Energy Policy Act of 1992 (EPACT). (42 U.S.C.
6313(a)(5)) These initial energy conservation standards corresponded to
the efficiency levels contained in the American Society of Heating,
Refrigerating and Air-Conditioning Engineers (ASHRAE) Standard 90.1
(ASHRAE Standard 90.1) in effect on October 24, 1992. The statute
provided that if the efficiency levels in ASHRAE Standard 90.1 were
amended after October 24, 1992, the Secretary must establish an amended
uniform national standard at new minimum levels for each equipment type
specified in ASHRAE Standard 90.1, unless DOE determines, through a
rulemaking supported by clear and convincing evidence, that national
standards more stringent than the new minimum levels would result in
significant additional energy savings and be technologically feasible
and economically justified. (42 U.S.C. 6313(a)(6)(A)(ii)(I)-(II)) The
statute was subsequently amended to require DOE to review its standards
for commercial water heaters (and other ``ASHRAE equipment'') every six
years. (42 U.S.C. 6313(a)(6)(C)) On January 12, 2001, DOE published a
final rule for commercial water heating equipment that amended energy
conservation standards by adopting the levels in ASHRAE Standard 90.1-
1999 for all types of commercial water heating equipment, except for
electric storage water heaters. 66 FR 3336. For electric storage water
heaters, the standard in ASHRAE Standard 90.1-1999 was less stringent
than the standard prescribed in EPCA and, consequently, would have
increased energy consumption, so DOE maintained the standards for
electric
[[Page 96206]]
storage water heaters at the statutorily prescribed level. DOE
published the most recent final rule for commercial water heating
equipment standards on July 17, 2015, in which DOE adopted the thermal
efficiency level for oil-fired storage water heaters that was included
in ASHRAE 90.1-2013. 80 FR 42614. The current standards for commercial
water heating equipment are presented in Table I.3.
Table I.3--Energy Conservation Standards for Commercial Water Heating Equipment
----------------------------------------------------------------------------------------------------------------
Energy conservation standards *
----------------------------------------------
Minimum thermal
efficiency
Equipment category Size (equipment Maximum standby loss
manufactured on (equipment manufactured on
and after October and after October 29,
9, 2015) ** 2003) ** [dagger][dagger]
[dagger] %
----------------------------------------------------------------------------------------------------------------
Electric storage water heaters........ All...................... N/A 0.30 + 27/Vm (%/h)
Gas-fired storage water heaters....... <=155,000 Btu/h.......... 80 Q/800 + 110(Vr)\1/2\ (Btu/
>155,000 Btu/h........... 80 h)
Q/800 + 110(Vr)\1/2\ (Btu/
h)
Oil-fired storage water heaters....... <=155,000 Btu/h.......... [dagger] 80 Q/800 + 110(Vr)\1/2\ (Btu/
>155,000 Btu/h........... [dagger] 80 h)
Q/800 + 110(Vr)\1/2\ (Btu/
h)
Electric instantaneous water heaters <10 gal.................. 80 N/A
[dagger][dagger][dagger]. >=10 gal................. 77 2.30 + 67/Vm (%/h)
Gas-fired instantaneous water heaters <10 gal.................. 80 N/A
and hot water supply boilers. >=10 gal................. 80 Q/800 + 110(Vr) \1/2\ (Btu/
h)
Oil-fired instantaneous water heater <10 gal.................. 80 N/A
and hot water supply boilers. >=10 gal................. 78 Q/800 + 110(Vr)\1/2\ (Btu/
h)
----------------------------------------------
Minimum thermal insulation
----------------------------------------------
Unfired hot water storage tank........ All...................... R-12.5
----------------------------------------------------------------------------------------------------------------
* Vm is the measured storage volume, and Vr is the rated volume, both in gallons. Q is the nameplate input rate
in Btu/h.
** For hot water supply boilers with a capacity of less than 10 gallons: (1) The standards are mandatory for
units manufactured on and after October 21, 2005 and (2) units manufactured on or after October 23, 2003, but
prior to October 21, 2005, must meet either the standards listed in this table or the applicable standards in
Subpart E of 10 CFR 431 for a ``commercial packaged boiler.''
[dagger] For oil-fired storage water heaters: (1) The standards are mandatory for equipment manufactured on and
after October 9, 2015, and (2) equipment manufactured prior to that date must meet a minimum thermal
efficiency level of 78 percent.
[dagger][dagger] Water heaters and hot water supply boilers having more than 140 gallons of storage capacity
need not meet the standby loss requirement if: (1) The tank surface area is thermally insulated to R-12.5 or
more, (2) a standing pilot light is not used, and (3) for gas-fired or oil-fired storage water heaters, they
have a fire damper or fan-assisted combustion.
[dagger][dagger][dagger] Energy conservation standards for electric instantaneous water heaters are included in
EPCA. (42 U.S.C. 6313(a)(5)(D)-(E)). The compliance date for these energy conservation standards is January 1,
1994. In a NOPR for energy conservation standards for commercial water heating equipment published on May 31,
2016, DOE proposed to codify these standards for electric instantaneous water heaters in its regulations at 10
CFR 431.110. 81 FR 34440.
On December 18, 2012, the American Energy Manufacturing Technical
Corrections Act (AEMTCA), Public Law 112-210, was signed into law. In
relevant part, it amended EPCA to require that DOE publish a final rule
establishing a uniform efficiency descriptor and accompanying test
methods for consumer water heaters and certain commercial water heating
equipment \4\ within one year of the enactment of AEMTCA. (42 U.S.C.
6295(e)(5)(B)) AEMTCA requires that the final rule must replace the
energy factor (EF), thermal efficiency (TE), and standby loss (SL)
metrics with a uniform efficiency descriptor. (42 U.S.C. 6295(e)(5)(C))
On July 11, 2014, DOE published a final rule that fulfilled these
requirements. 79 FR 40542 (July 2014 final rule). AEMTCA further
requires that, beginning one year after the date of publication of
DOE's final rule establishing the uniform descriptor (i.e., July 13,
2015), the efficiency standards for the consumer water heaters and
residential-duty commercial water heaters identified in the July 2014
final rule must be denominated according to the uniform efficiency
descriptor established in that final rule (42 U.S.C. 6295(e)(5)(D)),
and that DOE must develop a mathematical conversion for converting the
measurement of efficiency from the test procedures and metrics in
effect at that time to the uniform efficiency descriptor. (42 U.S.C.
6295(e)(5)(E)(i)-(ii))
---------------------------------------------------------------------------
\4\ The uniform efficiency descriptor and accompanying test
procedure apply to commercial water heating equipment with
residential applications defined in the test procedure final rule
published July 11, 2014, as a ``residential-duty commercial water
heater.'' See 79 FR 40542, 40586.
---------------------------------------------------------------------------
EPCA provides that any covered water heater (i.e., under DOE's
rulemaking, all consumer water heaters and residential-duty commercial
water heaters) manufactured prior to the effective date of the UEF test
procedure final rule (i.e., July 13, 2015) that complied with the
efficiency standards and labeling requirements applicable at the time
of manufacture will be considered to comply with the UEF test procedure
final rule and with any revised labeling requirements established by
the Federal Trade Commission (FTC) to carry out the UEF test procedure
final rule. (42 U.S.C. 6295(e)(5)(K)) DOE's interpretation and
application of this provision are discussed in detail in section III.E.
As noted previously, in the July 2014 final rule, DOE amended its
test procedure for consumer and certain commercial water heaters. 79 FR
40542. The July 2014 final rule for consumer and certain commercial
water heaters satisfied the AEMTCA requirements to develop a uniform
efficiency descriptor to replace the EF, TE, and SL metrics. The
amended test procedure includes provisions for determining the uniform
energy factor (UEF), as well as the annual energy consumption of these
products. Furthermore, the uniform descriptor test procedure can be
applied
[[Page 96207]]
to: (1) Consumer water heaters (including certain consumer water
heaters that are covered products under EPCA's definition of ``water
heater'' at 42 U.S.C. 6291(27), but that were not addressed by the
previous test method); and (2) commercial water heaters that have
residential applications. The major modifications to the EF test
procedure to establish the uniform descriptor test method included the
use of multiple draw patterns and different draw patterns, and changes
to the set-point temperature. In addition, DOE expanded the scope of
the test method to include all storage volumes, specifically by
including test procedure provisions that are applicable to water
heaters with storage volumes between 2 gallons (7.6 L) and 20 gallons
(76 L), and to clarify applicability to electric instantaneous water
heaters. DOE also established a new definition for ``residential-duty
commercial water heater'' and re-categorized certain commercial water
heaters into this class.
The Energy Efficiency Improvement Act of 2015 (EEIA 2015) (Pub. L.
114-11) was enacted on April 30, 2015. Among other things, EEIA 2015
added a definition of ``grid-enabled water heater'' to EPCA's energy
conservation standards for consumer water heaters. (42 U.S.C.
6295(e)(6)(A)(ii)) These products are intended for use as part of an
electric thermal storage or demand response program. One of the
criteria in EPCA that defines a ``grid-enabled water heater'' is the
requirement that it meet a certain energy factor (specified by a
formula set forth in the statute), or an equivalent alternative
standard that DOE may prescribe. Id. On August 11, 2015, DOE published
a final rule in the Federal Register to implement the changes to EPCA
by placing the energy conservation standards and related definitions in
the Code of Federal Regulations (CFR). 80 FR 48004. As the energy
conservation standard for grid-enabled water heaters is in terms of
energy factor, DOE is addressing these products in this final rule to
adopt a mathematical conversion to express the energy conservation
standard in terms of UEF.
On September 15, 2016, the Federal Trade Commission (FTC) published
a final rule (``FTC 2016 Final Rule'') updating the EnergyGuide label
to reflect changes to the DOE test procedure. The effective date of the
FTC 2016 Final Rule is June 12, 2017. 81 FR 63634.
This final rule satisfies the requirements of AEMTCA to develop a
mathematical conversion factor for converting the EF, TE, and SL
metrics to the UEF metric. (42 U.S.C. 6295(e)(5)(E)) DOE published a
notice of proposed rulemaking on April 14, 2015 and a supplemental
notice of proposed rulemaking on August 30, 2016, which included
proposed mathematical conversion factors and the proposed energy
conservation standards expressed in terms of the UEF metric. 80 FR
20116 and 81 FR 59736.
II. Summary of the Final Rule
In this final rule, DOE establishes a mathematical conversion
factor between the values determined using the EF, TE, and SL test
procedures (including the first-hour rating or maximum gallons per
minute (GPM) rating, as applicable), and the values that would be
determined using the uniform efficiency descriptor test procedure
established in the July 2014 final rule (i.e., UEF and first-hour
rating or maximum GPM rating).
The mathematical conversion factor required by AEMTCA is a bridge
between the efficiency and delivery capacity values obtained through
testing under the EF, TE, and SL test procedures and those obtained
under the uniform efficiency descriptor test procedure published in the
July 2014 final rule. DOE conducted a series of tests on the classes of
water heaters included within the scope of this rulemaking (see section
III.B for details on the scope) and relied upon that test data and test
data submitted by interested parties, along with the approaches
summarized in section III.C, to calculate the conversion factors
established in this final rule. Subsequently, DOE used the conversion
factors to derive minimum energy conservation standards in terms of
UEF, as shown in Table II.1 and Table II.2. The standards denominated
in UEF are neither more nor less stringent than the EF-denominated
standards for consumer water heaters and for commercial water-heating
equipment based on the thermal efficiency and standby loss metrics.
Table II.1--Consumer Water Heater Energy Conservation Standards Denominated in UEF
----------------------------------------------------------------------------------------------------------------
Rated storage volume
Product class and input rating (if Draw pattern Uniform energy factor
applicable)
----------------------------------------------------------------------------------------------------------------
Gas-fired Storage Water Heater....... >=20 gal and <=55 gal.. Very Small............. 0.3456 - (0.0020 x Vr)
....................... Low.................... 0.5982 - (0.0019 x Vr).
....................... Medium................. 0.6483 - (0.0017 x Vr).
....................... High................... 0.6920 - (0.0013 x Vr).
>55 gal and <=100 gal.. Very Small............. 0.6470 - (0.0006 x Vr).
....................... Low.................... 0.7689 - (0.0005 x Vr).
....................... Medium................. 0.7897 - (0.0004 x Vr).
....................... High................... 0.8072 - (0.0003 x Vr).
Oil-fired Storage Water Heater....... <=50 gal............... Very Small............. 0.2509 - (0.0012 x Vr).
....................... Low.................... 0.5330 - (0.0016 x Vr).
....................... Medium................. 0.6078 - (0.0016 x Vr).
....................... High................... 0.6815 - (0.0014 x Vr).
Electric Storage Water Heaters....... >=20 gal and <=55 gal.. Very Small............. 0.8808 - (0.0008 x Vr).
....................... Low.................... 0.9254 - (0.0003 x Vr).
....................... Medium................. 0.9307 - (0.0002 x Vr).
....................... High................... 0.9349 - (0.0001 x Vr).
>55 gal and <=120 gal.. Very Small............. 1.9236 - (0.0011 x Vr).
....................... Low.................... 2.0440 - (0.0011 x Vr).
....................... Medium................. 2.1171 - (0.0011 x Vr).
....................... High................... 2.2418 - (0.0011 x Vr).
Tabletop Water Heater................ >=20 gal and <=120 gal. Very Small............. 0.6323 - (0.0058 x Vr).
....................... Low.................... 0.9188 - (0.0031 x Vr).
....................... Medium................. 0.9577 - (0.0023 x Vr).
....................... High................... 0.9884 - (0.0016 x Vr).
[[Page 96208]]
Instantaneous Gas-fired Water Heater <2 gal and >50,000 Btu/ Very Small............. 0.80
**. h.
....................... Low.................... 0.81.
....................... Medium................. 0.81.
....................... High................... 0.81.
Instantaneous Electric Water Heater < 2 gal................ Very Small............. 0.91.
**.
....................... Low.................... 0.91.
....................... Medium................. 0.91.
....................... High................... 0.92.
Grid-Enabled Water Heater............ >75 gal................ Very Small............. 1.0136 - (0.0028 x Vr).
....................... Low.................... 0.9984 - (0.0014 x Vr).
....................... Medium................. 0.9853 - (0.0010 x Vr).
....................... High................... 0.9720 - (0.0007 x Vr).
----------------------------------------------------------------------------------------------------------------
* Vr is the ``Rated Storage Volume'' (in gallons), as determined by 10 CFR 429.17.
** For instantaneous water heaters the standard is represented as a single value rather than as a function of
storage volume. Because the UEF standard only applies to models with less than 2 gallons of storage volume,
the coefficient becomes zero, and the standard does not vary for models between 0 and 2 gallons.
Table II.2--Residential-Duty Commercial Water Heater Energy Conservation
Standards Denominated in UEF
------------------------------------------------------------------------
Uniform energy
Product class Draw pattern factor
------------------------------------------------------------------------
Gas-fired Storage............... Very Small........ 0.2674-(0.0009 x
Vr)
Low............... 0.5362-(0.0012 x
Vr)
Medium............ 0.6002-(0.0011 x
Vr)
High.............. 0.6597-(0.0009 x
Vr)
Oil-fired Storage............... Very Small........ 0.2932-(0.0015 x
Vr)
Low............... 0.5596-(0.0018 x
Vr)
Medium............ 0.6194-(0.0016 x
Vr)
High.............. 0.6740-(0.0013 x
Vr)
Electric Instantaneous **....... Very Small........ 0.80.
Low............... 0.80.
Medium............ 0.80.
High.............. 0.80.
------------------------------------------------------------------------
* Vr is the ``Rated Storage Volume'' (in gallons), as determined by 10
CFR 429.44.
** For instantaneous water heaters the standard is represented as a
single value rather than as a function of storage volume. Because the
UEF standard only applies to models with less than 2 gallons of
storage volume, the coefficient becomes zero, and the standard does
not vary for models between 0 and 2 gallons.
The conversion factor formulas may be used for making
representations regarding energy efficiency or energy use until
December 29, 2017. After that, all representations regarding energy
efficiency or energy use must be based on testing (either directly or
through the application of an AEDM, where permitted). In addition, EPCA
requires that a water heater be considered to comply with the July 2014
final rule on and after July 13, 2015 (the effective date of the July
2014 final rule) and with any revised labeling requirements established
by the FTC to carry out the July 2014 final rule if that water heater
basic model was manufactured prior to July 13, 2015, and complied with
the applicable efficiency standards and labeling requirements in effect
prior to July 13, 2015. (See 42 U.S.C. 6295(e)(5)(K)) Sections III.E
and III.F explain that DOE intends to address various issues related to
the transition from the metrics in effect prior to July 13, 2015,
through the use of enforcement policies.
III. Discussion
A. Purpose
As discussed in section I, this rulemaking establishes mathematical
conversion factors that satisfy requirements added to EPCA by AEMTCA.
(42 U.S.C. 6295(e)(5)) EPCA requires DOE to establish a uniform
efficiency descriptor for consumer water heaters and commercial water
heaters, and to establish a mathematical conversion factor to translate
from the EF, TE, and SL descriptors to the uniform efficiency
descriptor established by DOE. Id. In the July 2014 test procedure
final rule, DOE established UEF as the uniform efficiency descriptor,
and adopted a test method for measuring UEF for consumer and certain
commercial water heaters. 79 FR 40542 (July 11, 2014). This final rule
addresses the mathematical conversion factor required by EPCA (see 42
U.S.C. 6295(e)(5)(E)) and the requirement that the efficiency standard
be denominated according to the uniform efficiency descriptor (i.e.,
UEF) (see 42 U.S.C. 6295(e)(5)(D)(i)).
As discussed in the August 2016 SNOPR, DOE reviewed the test
results used to develop the mathematical conversion factors, and found
that different water heaters are impacted in different ways by the new
test method and metric, depending on the specific design and
characteristics of the water heater. 81 FR 59736, 59741-59742 (August
30, 2016). Water heaters have numerous attributes that impact energy
efficiency and performance, and the changes to the test method and
metrics impact each water heater model differently, often in ways that
are difficult to predict. For example, two electric water heaters with
the same rated storage volume, input rating, first-
[[Page 96209]]
hour rating, and energy factor rating (all represented values published
under the EF test method as indicators of water heater performance)
were shown by testing to have different measured first-hour ratings and
uniform energy factors when tested under the new test procedure.
Given the number of models currently available in the market (756
unique models at the time of the analysis performed for the August 2016
SNOPR), it would not be practical to analyze each model individually to
determine the change in represented values under the new test
procedure. Rather, DOE analyzed a subset of models that are
representative of the market as a whole. This approach is consistent
with the statutory mandate, which instructs DOE to develop ``a
mathematical conversion factor.'' (42 U.S.C. 6295(e)(5)(E)) In DOE's
view, the phrase ``mathematical conversion factor'' does not require
DOE to generate a single number applicable to all water heaters.
Rather, DOE believes that, despite the use of the word ``factor,'' in
the singular, the statute permits the use of a conversion equation
involving several numbers and mathematical operations besides
multiplication. Still, the phrasing suggests that DOE should develop a
formula that is broadly applicable, rather than generate a table of
equivalencies stating the exact UEF equivalent for every individual
product on the market.
Because each water heater is impacted differently, it would be
impossible to develop a single equation, or reasonable set of
equations, that could be used to model the energy performance of every
water heater exactly under the new test method. Therefore, DOE
interprets the statutory mandate for a ``mathematical conversion
factor'' to call for an equation that will be able to reasonably
predict a water heater's energy efficiency under the UEF test method
based on values measured under the EF, TE, or SL test methods for that
model.
Any mathematical conversion of that type will have some amount of
residual difference between predicted and measured values that is
inherent when applying a mathematical equation (or multiple equations
for different types of water heaters) to predict the energy efficiency
performance or delivery capacity of a large set of models. In this
final rule, DOE sought to reduce the amount of difference between
predicted and actual performance in several ways. DOE incorporated as
much test data as was practical and available, and which represented
models currently on the market. DOE considered several attributes that
could have a large impact on the test results under both the new and
old metrics, and included those as appropriate when developing the
mathematical conversion, which led to a set of equations for water
heaters with certain different characteristics (e.g., different fuel
types, different nitrogen oxide (NOX) emissions levels). DOE
also explored several options for developing the mathematical
conversion equations (see section III.C for a summary of the approaches
considered). In addition, DOE sought feedback from interested parties
and incorporated suggestions for improving the mathematical conversions
when those suggestions resulted in conversion equations that were
better predictors of actual measured performance.
As noted previously, this final rule also addresses the requirement
that the efficiency standard be denominated in terms of UEF and
establishes energy conservation standard levels using the UEF metric.
(42 U.S.C. 6295(e)(5)(D)(i)) As discussed in section I, DOE may not
adopt a standard that reduces the stringency of the existing standards,
due to EPCA's ``anti-backsliding'' provisions. (42 U.S.C. 6295(o)(1);
6313(a)(6)(B)(iii)(I)) Further, EPCA requires that the mathematical
conversion factor not affect the minimum efficiency requirements. (42
U.S.C 6295(e)(5)(E)(iii)).
The methodology used for translating the standards ensures
equivalent stringency between the existing standards (using EF, TE, and
SL metrics) and the converted standards (using UEF). Due to differences
in water heater performance under the different test methods discussed
in the preceding paragraphs, some models will perform better, and
others worse, under the new test method than they did under the
previous test method. In principle, a model that was just above the
standard level using the old metrics might come out just below the
converted standard using the conversion factor, and in principle, one
could regard that result as a change in the standard applicable to that
particular model. However, such outcomes are unavoidable possibilities
if DOE is to prescribe a single equation to convert efficiency
measurements across a product class. As noted above, given the complex
ways in which detailed design characteristics can affect measurements
using both the existing protocols and the UEF test procedure,
specifying EF, TE, and SL for a product does not predict UEF for the
product with absolute precision. Given that reality, DOE interprets
section 325 of EPCA as a whole, including the anti-backsliding
provision and the mandate to develop a conversion factor, to permit
outcomes in which conversion might shift some products from above to
below the standard (and some from below to above)--since this is the
natural and foreseeable consequence of using a conversion factor.
Because the statute calls for a conversion factor, DOE understands the
``standard,'' in this context, to refer to the efficiency level
required on average over a product class. Thus, DOE's goal in
developing the conversion factor is to ensure that, on average over a
product class, the standard denominated in UEF corresponds to the same
maximum energy use and minimum efficiency as the standard denominated
in EF, TE, and SL.
B. Scope
This section describes DOE's process for categorizing water heaters
and establishing the range of units subject to this mathematical
conversion factor final rule. DOE initially outlined the scope of this
rulemaking in the April 2015 NOPR. 80 FR 20116, 20122-20124 (April 14,
2015).
1. Storage Volume and Input Capacity Limitations
In the NOPR, DOE stated that it was not including water heaters
that were not previously subject to the test procedures or standards
for energy factor established in the Code of Federal Regulations in the
scope of the conversion factor. Id. In the August 2016 SNOPR, DOE
proposed to make clear its interpretation that the initial consumer
water heater standards in EPCA \5\ are applicable to the consumer water
heaters listed in Table III.1 and, accordingly, proposed mathematical
conversion factors for these water heaters in the August 2016 SNOPR. 81
FR 59736, 59743 (August 30, 2016).
---------------------------------------------------------------------------
\5\ The initial energy factor energy conservation standards for
consumer water heaters established in EPCA are found at 42 U.S.C.
6295(e)(1), and require that the energy factor be not less than the
following for products manufactured on or after January 1, 1990:
Gas Water Heater--0.62-(0.0019 x Rated Storage Volume in
gallons).
Oil Water Heater--0.59-(0.0019 x Rated Storage Volume in
gallons).
Electric Water Heater--0.95-(0.00132 x Rated Storage Volume in
gallons).
[[Page 96210]]
Table III.1--Consumer Water Heaters Not Covered In the NOPR by the
Mathematical Conversion Factor
------------------------------------------------------------------------
Description of criteria for
Product class exclusion from conversion
rulemaking
------------------------------------------------------------------------
Gas-fired Storage...................... Rated Storage Volume >=2 gal
and <20 gal or >100 gal.
Oil-fired Storage...................... Rated Storage Volume >50 gal.
Electric Storage....................... Rated Storage Volume >=2 gal
and <20 gal or >120 gal.
Tabletop............................... Rated Storage Volume >=2 gal
and <20 gal or >120 gal.
Gas-fired Instantaneous................ Rated Input <=50,000 Btu/h;
Rated Storage Volume >=2 gal.
Electric Instantaneous................. Rated Storage Volume >=2 gal.
Oil-fired Instantaneous................ All.
------------------------------------------------------------------------
In the August 2016 SNOPR, DOE noted that the definitions for
consumer water heaters added to EPCA under the National Appliance
Energy Conservation Act of 1987 (NAECA; Pub. L. 100-12 (March 17,
1987)) do not place any limitation on the storage volume of consumer
water heaters and do not place a minimum fuel input rate on gas-fired
instantaneous water heaters. (42 U.S.C. 6291(27)) Thus, DOE proposed to
make clear its interpretation that the initial standards for water
heaters added to EPCA cover all consumer water heaters meeting the
definition of ``water heater'' at 42 U.S.C. 6291(27), regardless of the
storage volume and without a lower limit on the fuel input rating for
gas-fired instantaneous water heaters. 81 FR 59736, 59743 (August 30,
2016).
The Air-Conditioning, Heating, & Refrigeration Institute (AHRI),
Bradford White Corporation (Bradford White), A.O. Smith Corporation
(A.O. Smith), and Rheem Manufacturing Company (Rheem) submitted
comments opposed to the inclusion of the proposed clarification in the
August 2016 SNOPR. Those comments were focused primarily on the
application of standards to consumer water heaters with storage tanks
of more than 2 gallons (7.6 L) and less than 20 gallons (76 L), with
commenters stating that the application of standards to these consumer
water heaters would be inconsistent with DOE's historical treatment of
such water heaters. (AHRI, No. 27 at p. 7; Bradford White, No. 26 at p.
2; A.O. Smith, No. 28 at p. 1; Rheem No. 32 at p. 2.) AHRI asserted
that NAECA codified limitations on the applicability of standards for
consumer water heaters consistent with the then-current DOE test
procedure, including the exclusion of storage-type residential water
heaters less than 20 gallons and greater than 120 gallons. (AHRI, No.
27 at pp. 7-8) Rheem stated that the test procedures for consumer water
heaters specifically exempted water heaters with storage tanks of more
than 2 gallons (7.6 L) and less than 20 gallons (76 L) from being
covered prior to the UEF test procedure that was finalized in July 2014
final rule for consumer and certain commercial water heaters. (Rheem,
No. 32 at p. 2) Rheem added that the August 2016 SNOPR was a departure
from the April 2015 NOPR, which stated that DOE's current consumer
water heater test procedures and energy conservation standards are not
applicable to gas or electric water heaters with storage tanks that are
at or above 2 gallons (7.6 L) and less than 20 gallons (76 L). (Rheem,
No. 32 at p. 3) AHRI stated that it understood DOE to be applying
standards to these products based on the 1990 final rule that adopted
standards established in EPCA under the NAECA amendments (55 FR 42162
(Oct. 17, 1990)) and that application of standards to the specified
products as proposed in the SNOPR would be contrary to EPCA. (AHRI, No.
27 at p. 8) Bradford White stated that it does not support using only
input capacity to distinguish between consumer and commercial water
heaters, and expressed concern that under the proposed clarification,
water heaters that are currently marketed as commercial products will
have to be eliminated unless they are able to meet the new UEF
established for the consumer water heaters. (Bradford White, No. 26 at
p. 2)
AHRI also asserted that it is contrary to administrative law and
unfair to include a proposal to apply the standards to these products
(i.e., consumer gas-fired storage water heaters with a rated storage
volume greater than 100 \6\ gallons and consumer electric storage water
heaters with a rated storage volume greater than 2 gallons and less
than 20 gallons) at the ``11th hour.'' (AHRI, No. 27 at p. 9) AHRI
stated that given the thirty-day comment period and DOE's prior
statements on this issue, manufacturers did not foresee the need to
spend time or resources to conduct testing and analysis on this
particular class of products, but instead, the industry devoted its
limited time and available resources to testing the many products which
DOE initially identified. (AHRI, No. 27 at p. 9) Rheem stated that
based on past practice and DOE's statements in the NOPR, it did not
anticipate the current rulemaking addressing the UEF for the specified
consumer water heaters, and as a result, the commenter urged DOE to
address this matter in a separate rulemaking. (Rheem No. 32 at pp. 2-4)
A.O. Smith also questioned whether the clarification in the August 2016
SNOPR may violate the letter if not the spirit of the Administrative
Procedures Act (APA). A.O. Smith viewed the August 2016 test procedure
SNOPR to represent a change of position, which has placed manufacturers
in the position of having to respond within thirty days to new
efficiency standards without knowing if they can meet the standards.
(A.O. Smith No. 28, pp. 2-3)
---------------------------------------------------------------------------
\6\ AHRI's comment stated 120 gallons; however, the upper limit
on storage volume for the energy conservation standards found in 10
CFR 430.32(d) for consumer gas-fired storage water heaters is 100
gallons.
---------------------------------------------------------------------------
DOE acknowledges that it has not previously implemented the
standards established by NAECA with respect to gas or electric water
heaters with storage tanks between 2 and 20 gallons in capacity or
other water heaters listed in Table III.1. However, after careful
consideration of both the statutory provisions and the comments
received, DOE is reaffirming its interpretation in the August 2016
SNOPR that the standards established in EPCA are applicable to the
water heaters listed in Table III.1. As such, the standards initially
established by Congress in EPCA are applicable to consumer water
heaters identified in the August 2016 SNOPR, including those with
storage tanks that are at or above 2 gallons (7.6 L) and less than 20
gallons (76 L). As explained in the following paragraphs, this
interpretation is based on the plain language of EPCA that establishes
definitions for consumer water heaters and the scope of the
statutorily-prescribed standards for consumer water heaters, and a
review of the legislative history reveals no congressional intent to
the contrary. Nonetheless, as discussed in more detail, DOE will not
enforce those standards until such time as conversion factors and
converted standards are
[[Page 96211]]
adopted, which DOE is declining to do in this final rule.
EPCA, through the amendments made by NAECA, defines ``water
heater'' for the purpose of delineating which consumer products are
subject to energy conservation standards. (42 U.S.C. 6291(27); see also
101 Stat. 103, 104-105) The statutory definition specifies input
ratings at or below which water heaters are to be classified as
consumer water heaters (e.g., 75,000 Btu/h for gas-fired storage water
heaters; 12 kW for electric storage water heaters and electric
instantaneous water heaters; 210,000 Btu/h for oil-fired instantaneous
water heaters). The statutory definition of ``water heater'' does not
provide for any limitation based on storage volume. (42 U.S.C.
6291(27)) The NAECA amendments also established standards for gas-fired
consumer water heaters, oil-fired consumer water heaters, and electric
consumer water heaters, once again without any limitation in terms of
storage volume. (42 U.S.C. 6295(e)(1); see also 101 Stat. 103, 110)
AHRI argued that the NAECA amendments imposing standards for water
heaters do not apply to water heaters smaller than 20 gallons because
DOE had no test procedures for such products when NAECA was enacted.
According to AHRI, NAECA ``codified'' DOE's existing test procedures
``into law,'' and the NAECA standards were ``based on the pre-existing
EF test procedure.'' DOE does not agree with AHRI's argument that
Congress intended its statutory standards to be somehow constrained by
DOE's existing test procedure applicability. DOE had, and retains, the
discretion to change the test procedures. The provision that AHRI cited
as ``codif[ying]'' DOE's test procedures--which DOE takes to mean
adopting them as statute, and thus restricting DOE's authority to alter
them--did no such thing. AHRI referred to 42 U.S.C. 6293(a); but, as
amended by NAECA, that provision simply says that ``[a]ll test
procedures and related determinations . . . which are in effect on the
date of enactment of [NAECA] shall remain in effect until the Secretary
amends such test procedures and related determinations.'' The point of
this provision was to avoid, in a statute that substantially revised
the substance of DOE's authority to develop test procedures, any
suggestion that the changes would invalidate pre-existing test
procedures. The text of the sentence itself makes clear that it did not
freeze the test procedures into statute; they remained in effect only
until the Secretary ``amends such test procedures.''
The NAECA amendments also do not support AHRI's contention that the
section 6295(e)(1) standards were based specifically on the existing
test procedure. The statute does not explicitly say the standards
depended solely on that version of the test procedure. AHRI seems to
rely on the facts that section 6295(e)(1) prescribed minimum values of
``energy factor'' and that the NAECA amendments defined ``efficiency
descriptor,'' which for water heaters was to be expressed as energy
factor, as the ratio of output and input ``determined using the test
procedures prescribed under section 323.'' The argument appears to be
that, for water heaters, ``the test procedures prescribed under section
323'' meant the test procedures as they existed when NAECA was enacted.
Thus, AHRI infers, the water heater standards in section 6295(e)(1)
were minimums for energy factor as the extant test procedures
determined that value. However, DOE believes it is sounder to read the
definition of ``efficiency descriptor'' as referring to DOE's test
procedures as they change over time. Section 323 authorized DOE to
amend or revise test procedures in appropriate circumstances. It would
be odd and counterproductive if the concept of ``efficiency
descriptor'' excluded such updates.
Fundamentally, if Congress had intended the section 6295(e)(1)
standards to apply only to products for which DOE had already developed
test procedures, it could easily have said so. Instead, the statute
defined ``water heaters'' without a minimum storage capacity; it
prescribed standards without mention of any minimum; and it invoked a
metric, energy factor, that was to be measured using test procedures
that the statute authorized DOE to revise. DOE concludes, therefore,
that the section 6295(e)(1) were to apply to the full scope of ``water
heaters'' as soon as DOE issued test procedures reaching that scope.
Based upon changes in the market and the availability of additional
data, DOE determined in the July 2014 test procedure final rule (79 FR
40542, 40545-40549 (July 11, 2014)) that it was appropriate to expand
the applicability of the water heaters test procedure and thereby
embrace the full scope of the authority provided by Congress. (42
U.S.C. 6295(e)(1); see also 101 Stat. 103, 110).
Based on the foregoing discussion, DOE is reaffirming its
interpretation in the August 2016 SNOPR that the statutory standards
apply to the water heaters listed in Table III.1, including those with
storage volumes between 2 and 20 gallons. DOE acknowledges that its
long delay in issuing test procedures for such products as well as
statements it has made in the past may have caused confusion about this
issue. Coming into compliance with the statutory standards immediately
would be quite burdensome for industry.
DOE also received voluminous comments regarding the technical
merits of the conversion factors and of the converted standards
expressed in UEF for the water heaters listed in Table III.1, for which
DOE is going to defer finalizing and implementing these statutory
standards and further consider the comments. Since DOE is declining to
adopt mathematical conversion factors and converted standards in UEF in
this final rule for the water heaters listed in Table III.1, DOE will
not enforce the statutory standards applicable to the consumer water
heaters listed in Table III.1 until some point after DOE finalizes the
conversion factor and the converted standards applicable to those
products. In doing so, DOE will work with industry on making this
transition.
2. Water Temperature Limitations
A.O. Smith expressed concern with DOE's position (adopted in the
November 2016 commercial water heater test procedure final rule; see 81
FR 79261, 79286 (Nov. 10, 2016)) that electric water heaters with
inputs of 12 kW or less are consumer water heaters, regardless of the
outlet water temperature delivered. A.O. Smith argued that the
180[emsp14][deg]F delineation serves an important function in the
marketplace to distinguish between consumer and commercial water
heaters. (A.O. Smith, No. 28 at p. 2)
As explained in further detail in the November 10, 2016 commercial
water heater test procedure final rule, DOE relies on the temperature
threshold when determining how to distinguish a commercial water heater
that may be used to serve residential applications (i.e., a
``residential-duty commercial water heater'') and commercial water
heaters generally. 81 FR 79261, 79286. Outlet water temperature is one
of several dividing criteria between those types of commercial models.
79 FR 40542, 40546 (July 11, 2014). However, DOE has interpreted the
statute to distinguish between water heaters that are commercial
equipment under EPCA and those that are consumer products on the basis
of the rated input, not the delivery temperature. The November 2016
final rule explained DOE's interpretation on this point, and DOE is not
revisiting the issue in this final rule. The application of the
conversion factor
[[Page 96212]]
to residential-duty commercial water heaters is discussed section
III.B.4. If manufacturers of water heaters have additional inquiries
they should contact Ashley Armstrong directly using the contact
information in the ADDRESSES section of this final rule.
3. Grid-Enabled Water Heaters
As noted in section I, EPCA was recently amended to define and set
efficiency requirements for grid-enabled water heaters in terms of EF
(see 42 U.S.C. 6295(e)(6)). EPCA provides that the conversion factor
may exclude certain covered water heaters from the uniform efficiency
descriptor if the Secretary determines that the category of water
heaters does not have a residential use and can be clearly described in
the final rule, and that the category of water heaters are effectively
rated using the thermal efficiency and standby loss descriptors. (42
U.S.C. 6295(e)(5)(F)). Grid-enabled water heaters do have residential
uses and are not rated using thermal efficiency or standby loss, and
thus, do not meet the criteria for exclusion from the UEF metric. As a
result, DOE has developed a conversion factor in this final rule to
express the standard for these products in terms of UEF. Comments
related to the conversion factor and converted UEF standards for grid-
enabled water heaters are discussed in sections III.D.2.d and section
III.D.3.
4. Residential-Duty Commercial Water Heaters
DOE notes that only commercial water heaters meeting the definition
of ``residential-duty commercial water heater'' are subject to the
uniform efficiency descriptor test method, while all other commercial
water heaters are not. EPCA allows DOE to provide an exclusion from the
uniform efficiency descriptor for specific categories of otherwise
covered water heaters that do not have residential uses, that can be
clearly described, and that are effectively rated using the current
thermal efficiency and standby loss descriptors. (42 U.S.C.
6295(e)(5)(F)) In the July 2014 test procedure final rule, DOE
determined that covered commercial water heating equipment that did not
meet the definition of a ``residential-duty commercial water heater''
met the criteria in EPCA for exclusion from the uniform efficiency
descriptor. 79 FR 40542, 40545-40547 (July 11, 2014). As a result, this
final rule only addresses commercial water heaters that meet the
definition of ``residential-duty commercial water heater.'' This
definition was recently updated in the November 10, 2016 commercial
water heater test procedure final rule to remove residential-duty
classes where definitional criteria preclude the classification of any
products as residential-duty commercial water heaters within that
class.\7\ 81 FR 79261, 79321-79322. The definition of ``residential-
duty commercial water heater'' adopted in that final rule includes any
gas-fired storage, oil-fired storage, or electric instantaneous
commercial water heater that meets the following conditions:
---------------------------------------------------------------------------
\7\ For example, DOE has interpreted EPCA to include as consumer
products electric storage water heaters as having an input of <= 12
kW. (42 U.S.C. 6291(27)) The previous definition of a residential-
duty water heater excluded any electric storage water heater with an
input of > 12 kW from being residential-duty. Thus, because all
electric storage water heaters > 12 kW are not residential-duty, but
all electric storage water heaters <= 12 kW are consumer water
heaters, there could not have been a residential-duty commercial
electric storage water heater. The changes adopted in the commercial
water heater test procedure final rule amended the definition to
remove mention of electric storage water heaters, along with several
other types of water heaters, to prevent confusion.
---------------------------------------------------------------------------
(1) For models requiring electricity, uses single-phase external
power supply;
(2) Is not designed to provide outlet hot water at temperatures
greater than 180[emsp14][deg]F; and
(3) Does not meet any of the criteria regarding rated input and
storage volume presented in Table III.2.
Table III.2--Capacity Limitations for Defining Commercial Water Heaters
Without Residential Applications
[i.e., Non-Residential-Duty]
------------------------------------------------------------------------
Indicator of non-residential
Water heater type application
------------------------------------------------------------------------
Gas-fired Storage...................... Rated input >105 kBtu/h; Rated
storage volume >120 gal.
Oil-fired Storage...................... Rated input >140 kBtu/h; Rated
storage volume >120 gal.
Electric Instantaneous................. Rated input >58.6 kW; Rated
storage volume >2 gal.
------------------------------------------------------------------------
This final rule establishes mathematical conversion factors for
gas-fired storage, oil-fired storage, and electric instantaneous
residential-duty commercial water heaters. DOE also uses the conversion
factors to express the energy conservation standards for these classes
of equipment in the UEF metric.
C. Approaches for Developing Conversions
To develop the conversions between the prior metrics (first-hour
rating, maximum GPM, energy factor, thermal efficiency, standby loss)
and the new metrics (first-hour rating, maximum GPM, uniform energy
factor), DOE considered three different approaches. The first, termed
``analytical methods,'' uses equations based on the fundamental physics
of water heater operation to predict how changes in test parameters
lead to changes in the performance metrics. The second, termed
``empirical regression,'' is a purely data-driven approach that uses
experimental data and regressions to develop equations that relate the
prior metrics to the new ones. The third approach, termed ``hybrid,''
uses a regression on the result of an analytical method to account for
changes in the test procedure not captured by the analytical method.
1. Analytical Methods Approach
The analytical methods approach relies on basic equations of heat
transfer and thermodynamics, as well as established understanding of
the behavior of water heaters, to calculate the metric based on a set
of known parameters for the water heater, environment, and test
pattern. Such an approach typically yields an equation or set of
equations that can be solved to ultimately yield the metric of
interest, either an efficiency or delivery capacity. An attempt is then
made to modify the equations for the metrics to yield an equation that
expresses the new metrics in terms of the old metrics and other known
quantities. Analytical methods have the advantage of capturing known
effects on performance without conducting a series of experiments.
Additionally, a properly formulated relationship would be expected to
be applicable to all water heaters on the market. Analytical approaches
do have some drawbacks, however. Most notably, these methods only
account for
[[Page 96213]]
factors that are known to impact performance and that can be readily
modeled analytically. There may be other unknown phenomena that affect
performance that may not be taken into account in the known models.
Second, application of these models often require assumptions about
conditions. For example, one may need to assume a particular
temperature of the water in the water heater despite the fact that it
is known that there is variation in that temperature. Lastly, while an
analytical model reduces the amount of tests needed to generate a
conversion equation, a thorough set of experiments is still necessary
to validate the model. Because it is based on fundamental physics,
though, an analytical model can typically be extended with more
confidence to a water heater that has not been tested than would a
model based purely on experimental data.
DOE developed conversion equations based on analytical methods for
the maximum GPM test (from the maximum GPM under the prior method to
the current method) and simulated-use tests (i.e., from EF to UEF) for
all water heaters covered in this rule. DOE created the
UEFWHAM parameter for consumer water heaters and the
UEFrd parameter for residential-duty commercial water
heaters, which represent the converted UEF value for storage water
heaters using the Water Heater Analysis Model (WHAM) as a basis for the
conversions, along with several simplifying assumptions. Specifically,
DOE assumed that the standby heat loss coefficient (UA) and recovery
efficiency are the same for the EF and UEF test procedure, and that the
nominal outlet water temperature is a representative approximation of
the mean temperature of water within the tank. For consumer and
residential-duty commercial instantaneous water heaters, DOE derived an
analytical method for the conversion through testing experience and
commenter feedback. DOE created the UEFmodel and
UEFmodel,rd parameters, which represent the converted UEF
value for instantaneous water heaters using the analytical methods
derived by DOE. DOE presented an in-depth derivation of the analytical
methods in the August 2016 SNOPR. 81 FR 59736, 59744-59752 (August 30,
2016).
For the consumer storage uniform energy factor analytical
conversion, Bradford White commented that the DOE finding that average
delivered temperature versus mean tank temperature is higher for
electric than gas-fired storage water heaters is inconsistent with
their testing experience and does not fundamentally make sense due to
water temperature stacking in gas-fired storage water heaters.
(Bradford White, No. 26 at p. 2) Although DOE acknowledges that there
is apparently a difference between the testing results observed by
Bradford White and those observed by DOE, as the August 2016 SNOPR
explained after discussing several potential assumptions about mean
tank temperatures, the analytical model that best predicts UEF tested
values uses the assumption that the mean tank temperature and delivered
temperature were the same, regardless of fuel type. 81 FR 59736, 59747
(August 30, 2016). As a result, DOE did not change its assumptions
related to the mean tank temperature and delivered water temperature
based on either DOE's data or Bradford White's data, as such changes do
not appear as though they would improve the accuracy of the conversion
equation. Bradford White also commented that it does not agree that the
UA and recovery efficiency will not change with the change in test
procedure. (Bradford White, No. 26 at p. 2) DOE agrees that UA and
recovery efficiency are different when testing to the EF test procedure
than when testing to UEF test procedures, and so stated in the August
2016 SNOPR in addressing similar comments at that stage. 81 FR 59736,
59747 (August 30, 2016). DOE also stated that the analytical model that
best predicts UEF test results uses the assumption that UA and recovery
efficiency did not change with a change in test procedure. Id. Bradford
White did not provide any data as would cause DOE to alter the
tentative conclusion it reached in the August 2016 SNOPR. Accordingly,
for this final rule, DOE has decided to continue to use the assumption
that UA and recovery efficiency are the same in both the EF and UEF
test procedures, as it provides the best prediction of the measured
UEF. DOE recognizes that this assumption is a simplification of the
realities of how water heaters operate under the old and new test
procedures. The use of simplifying assumptions is appropriate in the
development of an analytical model. The model is not intended to
capture every aspect of the physical behavior of water and heat in
these products down to the last detail. Rather, it is meant to provide
a physically meaningful description that reflects the most significant
features of water-heater physics and engineering so as to enable DOE to
develop a mathematically-tractable conversion formula. To serve that
purpose, DOE considers it appropriate to make simplifying assumptions
like those regarding UA and recovery efficiency where, as discussed,
doing so improves rather than decreases the predictive accuracy of the
model.
Although, as previously noted, DOE developed a conversion based on
analytical methods for converting the EF to UEF for all types of water
heaters, as proposed in the August 2016 SNOPR. For the reasons
explained in the SNOPR, DOE is choosing in this rule to use the
analytical method approaches only for: (1) The conversion of maximum
GPM under the prior test method to maximum GPM under the current test
method for consumer instantaneous water heaters; and (2) the conversion
of thermal efficiency and standby loss to UEF for electric
instantaneous residential-duty commercial water heaters. 81 FR 59736,
59774 and 59778 (August 30, 2016). For the maximum GPM conversion for
consumer instantaneous water heaters, DOE concludes that the analytical
method predicts the resultant data very closely and will broadly apply
to those units not tested, making it preferable to other approaches.
For electric instantaneous residential-duty commercial water heaters,
DOE did not have test data that would be appropriate for use in a
regression analysis, thereby precluding the use of an empirical
regression approach or the ``hybrid'' approach that combines an
analytical method with a regression analysis. For the remaining
conversion factors, DOE uses either the empirical regression approach
(see section III.C.2) or the ``hybrid'' approach (see section III.C.3).
2. Empirical Regression Approach
The second category of conversion factors considered by DOE is
empirical regression. In this approach, a collection of water heaters
are tested according to both the former test procedure and the new test
procedure. The resultant performance metrics, as well as other data on
the units (e.g., storage volume, input rate), are compiled, and
statistical techniques are used to create correlations that relate the
new performance metrics to the prior metrics and characteristics. No
consideration of the underlying physics is used in this approach.
Rather, it is purely a data-driven method. The advantage of this
approach is that the results are not affected by existing assumptions
on how a water heater should behave under given conditions, with the
results representing exactly what is observed in actual comparison
testing. This approach should capture all factors that affect the
energy efficiency and delivery capacity, even though those factors may
not be known a priori.
[[Page 96214]]
Empirical regression also has some drawbacks. One drawback is that
the resulting equations are most confidently applied to water heaters
with attributes similar to those that were tested. Consequently, to
minimize uncertainties, a large sample for testing is often appropriate
to capture more fully many of the nuances in water heater design. If
extended to units not sufficiently similar to those that were tested,
the equations may produce unacceptably large differences between
predicted and measured values if a feature on the untested model has an
effect that is not captured in the experimental data. Another major
drawback is that empirical regression is susceptible to experimental
uncertainties. While uncertainties can be reduced through careful
quality checks of experimental data, uncertainty is present in any
test. The empirical regressions, being based on many samples across
multiple different units, will further reduce the uncertainty, but some
amount of uncertainty in the regression may be unavoidable.
In the April 2015 NOPR and August 2016 SNOPR, DOE noted that it was
not aware of an analytical method for determining the first-hour
rating, and proposed to use an empirical regression methodology for
developing the mathematical conversion factors for first-hour rating.
DOE believed this approach would be more accurate than attempting to
develop an analytical method. 80 FR 20116, 20125-20128 (April 14, 2015)
and 81 FR 59736, 59752 (August 30, 2016). DOE did not receive any
comments suggesting an alternate methodology for determining first-hour
rating, and, thus, DOE is establishing conversion factors for those
metrics and product types based on the use of the empirical regression
methodology. In the August 2016 SNOPR, DOE found that the conversion
equations for heat pump water heaters resulting from the analytical
method (see section III.C.1) and hybrid regressed-analytical approach
(see section III.C.3) had higher root-mean-square deviation (RMSD)
values than those resulting from the empirical regression approach. 81
FR 59736, 59752, 59768 (August 30, 2016). Therefore, for the reasons
explained in the August 2016 SNOPR and noted above, DOE is establishing
a mathematical conversion for heat pump water heaters based on the
empirical regression approach. Finally, for the reasons explained in
the August 2016 SNOPR (81 FR 59736, 59778 (August 30, 2016)), for
residential-duty commercial electric instantaneous water heaters, DOE
has concluded that it is appropriate to assume that the delivery
capacity would be heavily dependent on the input rating for electric
instantaneous water heaters, and, thus, DOE developed an equation to
predict maximum GPM as a function of input rate based on a regression
analysis.
3. Hybrid Approach
DOE also analyzed a combination of the analytical methods approach
and empirical regression approach, termed a hybrid approach. In this
approach, a broad range of water heaters are tested, as would be done
in using empirical regression. An additional factor is added to the
list of attributes that is examined in the regression; this factor uses
the analytical methods to first estimate the converted value. This
estimate of the revised performance metric (maximum GPM, first-hour
rating, or UEF) for each water heater tested is then used as an
independent variable in a regression to determine the measured UEF. DOE
believes that this approach takes advantage of the ability of the
analytical methods approach to capture the major known factors that
affect the efficiency, yet adds the additional step of regression to
account for any influences that are not well described by the
analytical methods. DOE uses this approach for the conversion factors
adopted to convert from EF to UEF for all types of water heaters except
for heat pump water heaters, for which the empirical regression
approach is used (see section III.C.2), and residential-duty commercial
electric instantaneous water heaters, for which the analytical methods
approach is used (see section III.C.1).
D. Testing Results and Analysis of Test Data
DOE used actual test data as part of the basis for the conversion
factors and to validate the results. DOE selected models for testing
based on their characteristics being representative of the broader
market. DOE also used test data supplied by AHRI in developing the
mathematical conversion factors, and in total, the conversion factors
prescribed by this final rule are based on test results for 264 basic
models. The August 2016 SNOPR includes a detailed description of the
characteristics of the models used in the development of the
mathematical conversion factors. 81 FR 59736, 59760-59779 (August 30,
2016).
1. Impact of Certain Water Heater Attributes on Efficiency Ratings
After conducting testing on all of the selected water heaters
according to both the prior test procedures and the uniform efficiency
descriptor test procedure, DOE examined how particular attributes of
water heaters might affect the conversion factors and investigated the
approaches discussed in section III.C for obtaining conversion factors.
The goal of this analysis was to determine whether or not particular
attributes would warrant separate conversion equations. DOE
investigated attributes such as: (1) NOX emission level; (2)
short or tall configuration; (3) vent type; (4) standing pilot versus
electronic ignition; (5) whether condensing or heat pump technology is
used; and (6) whether the unit is tabletop. The RMSD between the
measured values and the values obtained through various conversion
methods was compared. The conversion approach with the lowest
cumulative RMSD value for a particular fuel type was considered to be
the best candidate for the conversion equation.
No comments were received in response to the August 2016 SNOPR
suggesting different combinations of water heater attributes to examine
in regards to the derivation of conversion factors. Accordingly, in
this final rule, DOE does not change the combination of water heater
attributes used to derive the mathematical conversion factors. 81 FR
59736, 59760 (August 30, 2016).
2. Conversion Factor Derivation
DOE used the methods described in section III.C to derive the
mathematical conversion factor for the different types of water heaters
covered within the scope of this rulemaking (as discussed in section
III.B). This section describes the methodology that was applied to
develop a conversion factor for each type of water heater.
a. Consumer Storage Water Heaters
In total, DOE conducted testing of 55 consumer storage water heater
models using both the EF and UEF test procedures, and likewise, AHRI
supplied test data for 130 consumer storage water heater models using
both the EF and UEF test procedures.8 9 In the August 2016
SNOPR, DOE presented the test data used to derive the consumer
[[Page 96215]]
storage water heater conversion factors and the water heater attributes
by unit, respectively. 81 FR 59736, 59761-59767 (August 30, 2016).
---------------------------------------------------------------------------
\8\ The AHRI submitted data points 2-5 and 2-6 were not used in
this analysis as the reported recovery efficiencies were 98 percent
and not calculated from test data.
\9\ If multiple tests were conducted on either the same unit or
same basic model of a water heater, the results were averaged to
produce the values reported in this final rule. In one instance
within the AHRI-submitted data for consumer storage water heaters,
three tests were conducted, where two tests were conducted on the
same unit and another test was conducted on a unit of the same basic
model. The two tests of the same unit were averaged, and this value
was then averaged with the results of the test of the unit of the
same basic model.
---------------------------------------------------------------------------
In response to the August 2016 SNOPR, Bock Water Heaters, Inc.
(Bock) provided test data for its 32E consumer oil-fired storage water
heater. Bock stated that the DOE test model labeled in the August 2016
SNOPR as ``CS-27'' was the most similar to the 32E, but that it was
unclear if the 32E was the actual unit tested in the SNOPR due to the
measured first-hour rating under the EF test procedure being well below
that of 32E. (Bock, No. 29 at p. 1) In response, DOE confirms that CS-
27 was the Bock 32E. DOE reviewed its test data and did not identify
any errors in the testing, nor does DOE have access to the raw test
data from Bock to reconcile the difference in results. Therefore, DOE
treated all three points as valid test points and in order to factor in
the Bock data, averaged DOE's data point with the test results of the
two units provided by Bock and derived the conversion factors with this
updated test data. The test data replacing CS-27 is shown in Table
III.3.
Table III.3--Updated Consumer Storage Water Heater Test Data Point
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Prior
Storage Input rate Prior FHR Updated FHR recovery
CS No. AHRI No. Type volume (gal) (Btu/h) (gal) (gal) efficiency EF UEF
(%)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
27..................................... N/A....................... Oil...................... 30.2 103,800 153.3 128.5 91.6 0.621 0.641
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
For consumer storage water heaters, DOE used the regression method
described in section III.C.2 to predict first-hour ratings (FHRs) under
the UEF test procedure to be used in the conversion to UEF since DOE is
not aware of an ``analytical approach'' that can be used to predict
first-hour ratings. Of the factors considered, DOE found that the
first-hour rating determined under the EF test procedure was the best
overall predictor of the new first-hour rating. These findings were
based on the RMSDs between predicted and measured values. The resulting
equations for determining the new FHR of consumer storage water heaters
are presented in Table III.4.
Table III.4--Consumer Storage Water Heater First-Hour Rating Conversion
Factor Equations
------------------------------------------------------------------------
Distinguishing
Product class criteria Conversion factor
------------------------------------------------------------------------
Consumer Gas-fired Water Non-Condensing, New FHR = 7.9592 +
Heater. Standard or Low 0.8752 x FHRP.
NOX.
Non-Condensing, New FHR = 25.0680 +
Ultra-Low NOX. 0.6535 x FHRP.
Condensing....... New FHR = 1.0570 x
FHRP.
Consumer Oil-fired Water N/A.............. New FHR = 0.9102 x
Heater. FHRP.
Consumer Electric Water Heater Electric New FHR = 9.2827 +
Resistance. 0.8092 x FHRP.
Tabletop......... New FHR = 41.5127 +
0.1989 x FHRP.
Heat Pump........ New FHR = -4.2705 +
0.9947 x FHRP.
------------------------------------------------------------------------
In the equations, ``New FHR'' is the predicted first-hour rating
that would result under the UEF test method and is used for conversion
to UEF; ``FHRP'' is the first-hour rating determined under
the EF test procedure, and the slope and intercept are constants
obtained from a linear regression. While most of the data allowed for
such a regression fit, in two cases (condensing gas-fired and oil-
fired) the available data were too limited to produce reliable
regressions for the full set of parameters. To constrain the regression
so as to generate more reliable predictions for those smaller sets of
data, the intercepts of the regressions were assigned a value of zero,
meaning that a water heater with an FHRP of zero would also
have a New FHR of zero. This assignment is reasonable because if a
hypothetical water heater were not able to deliver any water under the
EF test procedure, it also would not be able to deliver water under the
UEF test procedure.
Bock commented that the first-hour rating conversion proposed in
the SNOPR for consumer oil-fired water heaters was different in both
direction and magnitude from its supplied test data and requested the
conversion be reexamined. (Bock, No. 29 at p. 2) DOE notes, however,
that the conversion factor must cover a range of water heaters,
including models from manufacturers other than Bock. That the
conversion is not the same as what one would get from Bock's tests
alone does not invalidate it.
In response to the first-hour rating mathematical conversion
developed in the SNOPR, Bradford White commented that the conversion is
too inaccurate, but that it did not have an alternative suggestion.
(Bradford White, No. 26 at p. 3) AHRI commented that the inaccuracy of
the conversion causes models be converted to bins to which they were
not tested. (AHRI, No. 27 at p. 6) In response, DOE notes that it
explored several possible conversions for developing the first-hour
rating conversion. The best trend was observed based on a regression as
a function of first-hour rating. The average RMSD value resulting from
this approach (7.73 gallons) is the lowest RMSD observed in the FHR
analysis, and DOE is unaware of any approaches that would result in
lower RMSDs. DOE received no comments suggesting methods that would
result in a lower RMSD for the first-hour rating conversion. DOE
acknowledges that some models can have a converted FHR that would
classify it into one draw pattern and a tested FHR that would classify
it into another as a result of the difference inherent with a
mathematical representation of a physical system. DOE views such a
result as unavoidable; as discussed above in section III.A, any
conversion formula applied to a broad set of models will leave some
residual differences for many models. Those differences can push a
model at the edge of one category into another. However, DOE will not
take enforcement action regarding such a model if there is adherence to
the provisions discussed in section III.E. For models entering the
market after July 13, 2015, representations will have to be based on
tested UEF values, and the appropriate
[[Page 96216]]
energy conservation standards set forth in section III.D.3 will need to
be met. Thus, for such units, the issue of a converted FHR value
resulting in classification into the wrong draw pattern bin is not
applicable.
After determining the converted first-hour rating, the next step in
the conversion process is to determine which draw pattern is to be
applied to convert from EF to UEF. After the first-hour rating under
the uniform efficiency descriptor is determined using the conversion
factor above, that value can be applied to determine the appropriate
draw pattern bin (i.e., very small, low, medium, or high) using Table 1
of the uniform efficiency descriptor test procedure. 10 CFR part 430,
subpart B, appendix E, section 5.4.1. In the August 2016 SNOPR, DOE
proposed to use the ``hybrid approach'' for all non-heat pump water
heaters and the ``empirical regression approach'' for heat pump water
heaters. 81 FR 59736, 59768 (August 30, 2016). DOE received no comments
on the SNOPR regarding these conversion approaches and has, therefore,
for the reasons provided in the August 2016 SNOPR, adopted the
conversion factors found in Table III.6. DOE notes that the UEF
conversion factor for consumer oil-fired storage water heaters has been
updated based upon the addition of the Bock test data.
With the draw bin known, the UEF value based on the WHAM analytical
model (i.e., UEFWHAM) can be calculated using the equation
and the coefficient values presented in Table III.5 for all consumer
non-heat pump storage water heater types, where EF is the energy
factor; [eta]r is the recovery efficiency in decimal form;
and P is the input rate in Btu/h. The UEF value can be calculated for
heat pump storage water heater using the equation in Table III.6, which
does not rely on the UEFWHAM value from the analytical
model.
[GRAPHIC] [TIFF OMITTED] TR29DE16.000
Table III.5--Coefficients for the Analytical UEF Conversion Factor for Consumer Storage Water Heaters, Except
Consumer Heat Pump Storage Water Heaters
----------------------------------------------------------------------------------------------------------------
Draw pattern a b c d
----------------------------------------------------------------------------------------------------------------
Very Small...................................... 0.250266 57.5 0.039864 67.5
Low............................................. 0.065860 57.5 0.039864 67.5
Medium.......................................... 0.045503 57.5 0.039864 67.5
High............................................ 0.029794 57.5 0.039864 67.5
----------------------------------------------------------------------------------------------------------------
In the equations in Table III.6, UEFWHAM is a predicted
value of UEF calculated based on the WHAM analytical model, EF is the
measured energy factor, and DV is the drawn volume in gallons.
Table III.6--Consumer Storage UEF Conversion Factor Equations
------------------------------------------------------------------------
Distinguishing
Product class criteria Conversion factor
------------------------------------------------------------------------
Consumer Gas-fired Water Non-Condensing, New UEF = -0.0002 +
Heater. Standard or Low 0.9858 x UEFWHAM.
NOX.
Non-Condensing, New UEF = 0.0746 +
Ultra-Low NOX. 0.8653 x UEFWHAM.
Condensing....... New UEF = 0.4242 +
0.4641 x UEFWHAM.
Consumer Oil-fired Water N/A.............. New UEF = - 0.0033 +
Heater. 0.9528 x UEFWHAM.
Consumer Electric Water Heater Conventional..... New UEF = 0.4774 +
0.4740 x UEFWHAM.
Tabletop......... New UEF = - 0.3305 +
1.3983 x UEFWHAM.
Heat Pump........ New UEF = 0.1513 +
0.8407 x EF + 0.0043
x DV.
------------------------------------------------------------------------
b. Consumer Instantaneous Water Heaters
DOE tested 22 consumer instantaneous water heaters to both the EF
and UEF test procedures, and AHRI supplied test data for 36 additional
units of this water heater type.10 11 DOE presented the
consumer instantaneous water heater test data and attributes in the
August 2016 SNOPR. 81 FR 59736, 59773-59774 (August 30, 2016).
---------------------------------------------------------------------------
\10\ The AHRI submitted test data point identified as ``CIS-5''
was not used because the measured input rate was greater than the
maximum allowable deviation from the rated input rate of 2 percent,
resulting in an invalid test.
\11\ To avoid weighting individual basic models more heavily
than others in the development of the conversion factors, if
multiple tests were conducted on either the same unit or same basic
model of a water heater, the results were averaged to produce the
values reported in the SNOPR. 81 FR 59736, 59773 (August 30, 2016).
In one instance within the AHRI-submitted data for consumer
instantaneous water heaters, three tests were conducted, where two
tests were conducted on the same unit and another test was conducted
on a unit of the same basic model. The two tests of the same unit
were averaged, and this value was then averaged with the results of
the test of the unit of the same basic model.
---------------------------------------------------------------------------
As proposed in the August 2016 SNOPR, DOE used an analytical method
(see III.C.1) to convert the prior measured values of maximum GPM
rating for consumer instantaneous water heaters to the measured values
under the uniform efficiency descriptor test procedure, because it
predicts the resultant data very closely and will broadly apply to
those units not tested. 81 FR 59736, 59774 (August 30, 2016). As
discussed in section III.C.1, DOE also developed an analytical method
to estimate the change in prior measured values of energy factor under
the energy factor test procedure to measured values of uniform energy
factor under the uniform efficiency descriptor test procedure. DOE
found that using the ``hybrid approach,'' which combined the DOE-
developed analytical method with a regression analysis based on
measured UEF test data (as described in III.C.3), resulted in the
lowest RMSD value and proposed to use that conversion factor in the
August 2016
[[Page 96217]]
SNOPR. Id. DOE received no comments on the consumer instantaneous water
heater conversion factors and, therefore, for the reasons given in the
SNOPR, adopts the conversion factors proposed in the August 2016 SNOPR,
as shown in Table III.8. In the equations in Table III.8, Max
GPMP is the maximum GPM based on the prior DOE test
procedure, and UEFmodel is the predicted UEF determined
using the analytical model.
With the draw bin known, the UEFmodel value can be
calculated using the equation and the coefficient values presented in
Table III.7 below for all consumer instantaneous water heater types,
where [eta]r is the recovery efficiency expressed in decimal
form, and A is dependent upon the applicable draw pattern and fuel
type.
[GRAPHIC] [TIFF OMITTED] TR29DE16.001
Table III.7--Coefficients for the Analytical UEF Conversion Factor for
Consumer Instantaneous Water Heaters
------------------------------------------------------------------------
A
Draw pattern -------------------------------
Electric Gas
------------------------------------------------------------------------
Very Small.............................. 0.003819 0.026915
Low..................................... 0.001549 0.010917
Medium.................................. 0.001186 0.008362
High.................................... 0.000785 0.005534
------------------------------------------------------------------------
Table III.8--Consumer Instantaneous UEF Conversion Factor Equations
------------------------------------------------------------------------
Product class Conversion factor
------------------------------------------------------------------------
All Consumer Instantaneous............. New Max GPM = 1.1461 x Max
GPMP.
Gas-fired Instantaneous................ New UEF = 0.1006 + 0.8622 x
UEFmodel.
Electric Instantaneous................. New UEF = 0.9847 x UEFmodel.
------------------------------------------------------------------------
c. Residential-Duty Commercial Water Heaters
i. Gas-fired Storage and Oil-fired Storage
DOE tested 8 residential-duty commercial storage water heaters to
both the thermal efficiency and standby loss and UEF test procedures,
and AHRI supplied test data for 12 additional units.\12\ The August
2016 SNOPR presented the attributes and test results for residential-
duty commercial storage water heaters used in the development of the
conversion factors. 81 FR 59736, 59776-59777 (August 30, 2016).
---------------------------------------------------------------------------
\12\ If multiple tests were conducted on either the same unit or
same basic model of a water heater, the results were averaged to
produce the values reported in the August 2016 SNOPR. 81 FR 59736,
59776 (August 30, 2016).
---------------------------------------------------------------------------
DOE is not aware of an analytical method to use the measured values
from the thermal efficiency and standby loss tests conducted under the
prior commercial water heater test procedure to estimate the first-hour
rating under the new test procedure. Therefore, DOE used the empirical
regression approach (see section III.C.2) along with the best
combination of water heater attributes to determine the first-hour
rating conversion factor. The empirical regression for converting
first-hour ratings presented in the August 2016 SNOPR was based on
thermal efficiency and rated storage volume. 81 FR 59736, 59777 (August
30, 2016). DOE clarifies here that the storage volumes used in the
empirical regression were measured storage volumes. The equations in
Table III.10 and in the regulatory text have been updated to reflect
this clarification. The next step in the conversion is to determine
which draw pattern must be applied to convert to UEF. After the first-
hour rating under the uniform efficiency descriptor is determined
through the first-hour rating conversion factor, the converted value
can be applied to determine the appropriate draw pattern bin (i.e.,
very small, low, medium, or high) using Table 1 of the uniform
efficiency descriptor test procedure. 10 CFR part 430, subpart B,
appendix E, section 5.4.1. In the August 2016 SNOPR, DOE proposed to
use the hybrid approach (see section III.C.3) to calculate the
residential-duty commercial storage water heater conversion factor for
the uniform energy factor. 81 FR 59736, 59777 (August 30, 2016). DOE
received no comments on the uniform energy factor conversion for
residential-duty commercial storage water heaters and for the reasons
given in the SNOPR, continues use of the hybrid approach in this final
rule. Therefore, the resulting conversion factors adopted in this final
rule are the same as those proposed in the August 2016 SNOPR, and are
shown in Table III.10.
With the draw bin known, the UEFrd value (i.e., the
predicted UEF value from the analytical method alone) can be calculated
using the equation and the coefficient values presented in Table III.9
below for all residential-duty commercial storage water heater types,
where P is the input rate in Btu/h; Et is the thermal efficiency; SL is
the standby loss in Btu/h; and F and G are coefficients as specified in
the table below based on the applicable draw pattern.
[GRAPHIC] [TIFF OMITTED] TR29DE16.002
[[Page 96218]]
Table III.9--Coefficients for the Analytical UEF Conversion Factor for
Residential-Duty Commercial Storage Water Heaters
------------------------------------------------------------------------
Draw Pattern F G
------------------------------------------------------------------------
Very Small.............................. 0.821429 0.0043520
Low..................................... 0.821429 0.0011450
Medium.................................. 0.821429 0.0007914
High.................................... 0.821429 0.0005181
------------------------------------------------------------------------
In Table III.10, Vm is the measured storage volume, in
gallons.
Table III.10--Residential-Duty Commercial Storage UEF Conversion Factor
Equations
------------------------------------------------------------------------
Product class Conversion factor
------------------------------------------------------------------------
All Residential-Duty Commercial Storage New FHR = - 35.8233 + 0.4649 x
Water Heaters. Vm + 160.5089 x Et.
New UEF = - 0.0022 + 1.0002 x
UEFrd.
------------------------------------------------------------------------
ii. Electric Instantaneous
As stated in the August 2016 SNOPR, the maximum GPM conversion for
residential-duty commercial electric instantaneous water heaters was
found using the empirical regression approach (see section III.C.2),
and the uniform energy factor conversion was found using the analytical
methods approach (see section III.C.1). 81 FR 59736, 59778 (August 30,
2016). DOE received no comments about the maximum GPM or UEF
conversions for residential-duty commercial electric instantaneous
water heaters, and, therefore, for the reasons given in the August 2016
SNOPR, adopts the equations below, where Q is the input rate in kBtu/h;
Et is the thermal efficiency; and A is found using the
coefficients presented in Table III.11. The appropriate draw pattern
bin (i.e., very small, low, medium, or high) can be found by using the
converted New Max GPM value and Table 1 of the uniform efficiency
descriptor test procedure. 10 CFR part 430, subpart B, appendix E,
section 5.4.1. There is no further UEF conversion equation needed, as
the analytical method was used directly, rather than the ``hybrid''
regression-analytical approach used for other water heaters, and
UEFrd,model is equal to the New UEF.
New Max GPM = 0.0146 + 0.0295 *Q
[GRAPHIC] [TIFF OMITTED] TR29DE16.003
Table III.11--Coefficients for the Analytical UEF Conversion Factor for
Residential-Duty Commercial Electric Instantaneous Water Heaters
------------------------------------------------------------------------
Draw pattern A
------------------------------------------------------------------------
Very Small.............................................. 0.003819
Low..................................................... 0.001549
Medium.................................................. 0.001186
High.................................................... 0.000785
------------------------------------------------------------------------
d. Grid-Enabled Storage Water Heaters
EPCA defines a ``grid-enabled water heater'' as an electric
resistance water heater that has a rated storage volume above 75
gallons, is equipped with an activation lock that prevents the water
heater from delivering more than 50 percent of the rated first-hour
rating unless unlocked, and bears a permanent label advising end-users
of the intended and appropriate use of the product. (42 U.S.C.
6295(e)(6)(A)(ii))
At the time of the analysis for the SNOPR, DOE was unable to
identify any grid-enabled water heaters available on the market which
met the statutory definition, nor does it have test data specific to
grid-enabled water heaters. However, due to the similarities in design
between grid-enabled water heaters (which by definition are electric
resistance water heaters) and consumer electric storage water heaters
below 55 gallons that use electric resistance elements, DOE based its
proposed conversion factor and energy conservation standard derivation
for grid-enabled water heaters on the consumer electric storage water
heater test data and the associated conversions for below-55-gallon
consumer electric storage water heaters. 81 FR 59736, 59778-59779
(August 30, 2016).
In response, A.O. Smith commented that while the commenter would
have preferred using test data from electric storage water heaters at
or above 75 gallons, DOE's approach to the conversion was reasonable.
(A.O. Smith, No. 28 at p. 5) In contrast, the NRECA Joint Stakeholders
\13\ stated that the conversion for grid-enabled water heaters should
be based on real test data and that there was not enough time to review
the conversion. (NRECA Joint Stakeholders, No. 30 at p. 2) Similarly,
Rheem stated that the differences in design and functionality from
regular electric resistance water heaters to grid-enabled water heaters
resulting from the additional requirements on grid-enabled water
heaters (e.g., the activation lock), as well as the change in storage
volume, may affect test results, and this cannot be represented through
data extrapolation and regression analysis. Rheem further stated that
it expects grid-enabled models to be introduced into the market in the
near term, and suggested that DOE should postpone the development of a
conversion factor for grid-enabled water heaters until such time that
test data can be used to derive the conversion. (Rheem, No. 32 at pp.
4-6) In addition, AHRI and several manufacturers raised concerns
regarding the test method for grid-enabled water heaters. AHRI stated
that the UEF test procedure does not clearly specify how the activation
lock first-hour rating requirement will be validated or how
[[Page 96219]]
the thermostat should be set for a grid-enabled water heater. (AHRI,
No. 27 at p. 3) A.O. Smith and Rheem supported AHRI's test procedure
comments and urged DOE to adopt a specific method of test for grid-
enabled water heaters. (A.O. Smith, No. 28 at p. 4; Rheem, No. 32 at p.
5)
---------------------------------------------------------------------------
\13\ The National Rural Electric Cooperative Associations
(NRECA) submitted a comment on behalf of itself, the Natural
Resources Defense Council, Edison Electric Institute, Steffes
Corporation, Rheem Manufacturing Company, Vaughn Thermal
Corporation, and American Public Power Association under the title
``Joint Stakeholders.'' This comment is referred to as ``NRECA Joint
Stakeholders'' throughout this final rule, as another joint comment
was also submitted.
---------------------------------------------------------------------------
Since the publication of the August 2016 SNOPR, four models of
grid-enabled storage water heaters have been added to the AHRI
database.\14\ DOE was able to find product literature published on the
manufacturer's Web site for only one the four models, which is
manufactured by Vaughn. The Vaughn model is an 80-gallon electric
resistance water heater with an input of 4.5 kW and an EF of 0.93.
Product literature indicates the model has 3 inches of polyurethane
foam insulation, two heating elements, and is equipped with a software
activation lock to prevent the unit being used outside of a utility-
sponsored load management or demand response program.\15\ As one would
expect, this model appears to be essentially the same as an electric
resistance storage water heater, but with an activation lock control
that limits the capacity unless the unit is used in a utility-sponsored
load management or demand response program. DOE has no reason to expect
that future designs for grid-enabled water heaters would differ
significantly from Vaughn's design, and after considering the design of
the grid-enabled water heater currently on the market from Vaughn, DOE
disagrees that there are significant differences in design and
functionality between regular electric resistance water heaters and
grid-enabled water heaters that would affect the results under either
the old or the current test procedure. DOE notes that a typical
consumer electric water heater at or below 55 gallons would have a
rated input of 4.5 kW, two resistance heating elements, and three to
four inches of insulation, which is similar to the characteristics of
the Vaughn model. One significant difference is the change in storage
volume; however, DOE continues to conclude that the difference is a
matter of scale, not technology, and, thus, would be well modeled by
the WHAM analytical model. Further, DOE tested one 80 gallon electric
storage water heater (which, as noted above, is expected to be similar
in design to grid-enabled water heaters), and the measured UEF for the
high draw pattern was 0.94, which is greater than the UEF standard
level proposed in the August 2016 SNOPR of 0.92 for this size unit. 81
FR 59736, 59784 (August 30, 2016).
---------------------------------------------------------------------------
\14\ See: https://www.ahridirectory.org/ahridirectory/pages/home.aspx.
\15\ See: https://www.vaughncorp.com/utilities/.
---------------------------------------------------------------------------
Regarding concerns related to the applicability of the test
procedure, DOE notes that there is no separate test method for grid-
enabled water heaters. Grid-enabled water heaters should be tested
pursuant to the test procedure in Appendix E to Subpart B of part 430.
As discussed above, DOE expects that designs for grid-enabled water
heaters will, for the most part, consist of an electric resistance
storage water heater that is equipped with a control mechanism to limit
the capacity until activated by a utility company (i.e., an activation
lock). Thus, DOE sees no reason why the current Federal test method
would not be applicable and representative of grid-connected water
heaters. DOE believes manufacturers may have questions regarding set-up
of grid-connected water heaters pursuant to the test method for which
DOE is willing to work through. To the extent that the current test
procedure is inapplicable, any interested person may submit a petition
for waiver for a particular basic model from any requirements of the
Federal test procedure, upon the grounds that the basic model contains
one or more design characteristics which either prevent testing of the
basic model according to the prescribed test procedures or cause the
prescribed test procedures to evaluate the basic model in a manner so
unrepresentative of its true energy and/or water consumption
characteristics as to provide materially inaccurate comparative data.
10 CFR 430.27(a)(1).
After considering the comments, DOE has decided to use the
conversion factors for consumer electric storage water heaters below 55
gallons of storage volume for grid-enabled water heaters as initially
proposed in the August 2016 SNOPR and shown below. In the equation for
the converted first-hour rating (``New FHR''), FHRP is the
first-hour rating based on the EF test procedure in gallons. The
converted UEF (``New UEF'') equation is based on the UEFWHAM
(resulting from the analytical method), which is calculated as shown in
the equation below where [eta]r is the recovery efficiency
based on the EF test procedure, P is the input rate in Btu/h, and a, b,
c, and d are coefficients to the WHAM analytical model and can be found
using Table III.5.
New FHR = 9.2827 + 0.8092 x FHRP
[GRAPHIC] [TIFF OMITTED] TR29DE16.004
New UEF = 0.4474 + 0.4740 x UEFWHAM
3. Energy Conservation Standard Derivation
After developing the mathematical conversion factors to convert
from the prior tested values under the EF metric to the tested values
under the UEF metric, DOE used the conversion factors to translate the
energy conservation standards to be in terms of UEF. In the August 2016
SNOPR, DOE developed a methodology for translating the existing energy
conservation standards to UEF, termed the ``representative model''
method. 81 FR 59736, 59779-59780. The ``representative model'' method,
consists of the following steps for determining the minimum UEF
standard:
1. Using the DOE compliance certification database and AHRI
Directory, for minimally-compliant models, determine the unique rated
storage volumes available on the market prior to July 13, 2015 (the
date on which DOE's requirement that rated storage volume equal the
mean of the measured storage volume was effective).\16\
---------------------------------------------------------------------------
\16\ As discussed in section III.D.3.a, in the July 2014 final
rule, DOE amended the certification requirements for consumer water
heaters to specify that the rated storage volume of a water heater
must be the mean of the storage volumes measured over the sample of
tested units. 79 FR 40542, 40565-40566 (July 11, 2014)
---------------------------------------------------------------------------
2. For each rated storage volume identified in step 1, find average
values of conversion factor inputs (i.e., input rating and recovery
efficiency for consumer water heaters (except consumer heat pump water
heaters), and input rating for residential-duty commercial water
heaters) for minimally-compliant basic models in each product class.
(For product classes where no minimally-compliant models exist on the
market, DOE used other
[[Page 96220]]
methods to estimate the characteristics of minimally-compliant models,
which were discussed in detail in the August 2016 SNOPR. 81 FR 59736,
59780-59782 (August 30, 2016))
3. Calculate the energy conservation standard (in terms of energy
factor for consumer water heaters and thermal efficiency/standby loss
for residential-duty commercial water heaters (with input rate for
determining standards found from step 2)) for each product class based
on the rated storage volume, as reported in the DOE compliance
certification database and AHRI Directory at the time of this analysis
(before DOE's requirement that rated storage volume equal the mean of
the measured storage volume was effective).
4. Using applicable average values for conversion factor inputs
determined in step 2 and the applicable minimum energy conservation
standards calculated in step 3, calculate the equivalent UEF for
minimally-compliant models at each discrete rated storage volume
(determined in step 1) using the appropriate conversion factor for the
product class.
5. Adjust the rated storage volumes to estimate the rated storage
volume that would reflect DOE's requirement at 10 CFR
429.17(a)(1)(ii)(C) that rated storage volume equal the mean of the
measured storage volume of all units within the sample. DOE estimated
that for electric storage water heaters, the rated storage volume would
decrease by 10 percent, and for gas-fired and oil-fired water heaters,
the rated storage volume would decrease by 5 percent.
6. For each product class and draw pattern, using a simple
regression, find the slope and intercept where the independent variable
is the range of adjusted rated storage volumes (determined in step 5)
and the dependent variable is the UEF values associated with the rated
storage volumes and specific draw pattern calculated in step 4.
AHRI commented that for models at a discrete rated volume and with
equivalent efficiency characteristics, the highest input rate should be
used instead of the average input rate, as a higher input rate would
result in a lower measured EF or UEF. AHRI commented further that DOE
should release the actual derivations of the values used by DOE, as it
believes the use of average input rates reflects an error in the DOE
analysis. (AHRI, No. 27 at p. 3) DOE notes that the ``representative
model'' method was not intended to analyze the worst-case EF or UEF at
a particular volume, but rather to examine typical units that are
representative of minimally compliant models at that volume. Thus, this
method does not ensure all models on the market convert to at or above
the standards. Rather, as the last step is the application of a linear
regression, some of the representative models will be below the
standards. This corresponds to the potential for some models on the
market to have UEF ratings below the converted standards, which is to
be expected as discussed in section III.A. Models that fall below the
converted UEF standards may qualify for DOE's enforcement policy, as
discussed in section III.E. Thus, DOE continued to use a representative
value for the input rate in its calculations, rather than using the
maximum input rate as suggested by AHRI. Based on the other comments
received from AHRI and other stakeholders, in regards to the
mathematical method DOE implemented and discussed subsequently in the
next paragraph, DOE does not believe releasing the actual derivations
would provide any benefit to the analysis. DOE has released the summary
data in docket for each step in the rulemaking process such that its
data is transparent and the results of the calculations are published
as well. Any stakeholder can run a regression analysis in Excel on the
dataset it wishes to mirror. Minor adjustments to specific standard
levels were requested and addressed independently.
Several commenters submitted an analysis of converted UEF values
based on published data, and compared those values to the proposed UEF
standards. DOE notes that many of the comments received in response to
the SNOPR appear to contain calculation errors. Thus, DOE seeks to
clarify the process for applying the conversion factors, and has
slightly re-organized the regulatory text at the end of this document
in an attempt to clarify the process for applying the conversion
factors. When converting the first-hour rating or maximum GPM values,
apply the appropriate delivery capacity conversion equation, and round
to the nearest gallon for the converted first-hour rating and nearest
0.1 gpm for the converted maximum GPM. Use this rounded delivery
capacity value to determine the appropriate draw pattern bin (very
small, low, medium, or high) as initially specified in either Table 1
or Table 2 of the uniform efficiency descriptor test procedure, and as
also adopted in 10 CFR 429.17 in this final rule. 10 CFR part 430,
subpart B, appendix E, section 5.4.1. With the draw pattern known,
apply the appropriate UEF conversion for that draw pattern and water
heater type, and round the result to the hundredths decimal place. To
calculate the applicable minimum EF standard for a particular model,
use the rated storage volume, as determined before July 13, 2015 (i.e.,
before the requirement that the rated storage volume equal the mean of
the measured storage volumes from testing was applicable) directly in
the applicable equation. To calculate the minimum UEF for a particular
model, either use the measured storage volume from testing or, if that
information is not available, correct the rated storage volume to
approximate the rated storage volume under the requirement that the
rated storage volume be the mean of the measured volumes of the test
sample. For electric storage water heaters and fossil fuel-fired
storage water heaters, DOE applied a 10 percent and 5 percent decrease,
respectively, to the rated storage volume to approximate the measured
storage volume. Round the approximated measured storage volume to the
nearest gallon, and use it to determine the minimum UEF requirement.
Round the minimum EF and UEF values to the hundredths decimal place.
DOE notes that in order to de-identify the models tested, the August
2016 SNOPR did not present rated values, so commenters, therefore,
could not determine the minimum EF standard (as they did not have the
rated storage volume) or compare the measured EF results to the rated
EF. Minimum UEF values could be determined by using the stated measured
storage volume rounded to the hundredths decimal place. In the
discussion below, when comparing either a measured or converted EF or
UEF value to the appropriate energy conservation standard, all values
have been rounded to the hundredths decimal place.
California Investor Owned Utilities \17\ (CA IOUs) stated that they
support the proposed conversion equations. (CA IOUs, No. 25 at p. 2)
ASAP Joint Stakeholders \18\ provided a table with the number of
models, by water heater type, in the AHRI Directory that did not meet
the proposed UEF standards after having the appropriate conversion
factors applied. The ASAP Joint
[[Page 96221]]
Stakeholders stated that the distribution of non-compliant models is
not evenly distributed across the water heater product classes, and in
particular, that DOE should reexamine its converted standard for
tabletop water heaters. For all other product classes, the ASAP Joint
Stakeholders commented in support of the proposed conversions. (ASAP
Joint Stakeholders, No. 31 at pp. 1-3) Rheem also stated that none of
the tabletop water heaters convert to pass the proposed standards and
requested the levels be decreased by 0.04. (Rheem, No. 32 at p. 11) DOE
examined the commenters' results for tabletop water heaters and
believes that the commenters made an error in the calculation of non-
complying models. After applying the proposed conversions for consumer
electric storage and tabletop water heaters, DOE found that no models
would have converted UEF values below the proposed UEF standards.
However, for all other water heater types, DOE found similar results to
those reported by ASAP Joint Stakeholders. Therefore, DOE has
determined that no adjustments to the proposed energy conservation
standards for tabletop storage water heaters are necessary.
---------------------------------------------------------------------------
\17\ Pacific Gas and Electric Company, Southern California Gas
Company, San Diego Gas and Electric, and Southern California Edison
collectively submitted a comment under the title California Investor
Owned Utilities (CA IOUs).
\18\ The Appliance Standards Awareness Project (ASAP) submitted
a joint comment on behalf of itself, the American Council for an
Energy Efficient Economy, the Northeast Energy Efficiency
Partnerships, the Northwest Energy Efficiency Alliance, and the
Alliance to Save Energy collectively. This comment is referred to as
``ASAP Joint Stakeholders'' throughout this final rule.
---------------------------------------------------------------------------
For consumer gas-fired storage water heaters greater than or equal
to 20 gallons but less than or equal to 55 gallons in the high draw
pattern, Bradford White recommended the proposed level be decreased by
0.015. (Bradford White, No. 26 at p. 4) AHRI commented that 16 of the
62 consumer gas-fired storage water heater basic models tested for this
rulemaking tested into the high draw pattern had measured UEF values
below the proposed standard and requested the proposed level be
decreased by 0.02. (AHRI, No. 27 at p. 2) Rheem commented that 37 of
the 86 consumer gas-fired storage water heater basic models in the high
draw pattern in the AHRI Directory convert to below the proposed
standard and requested the proposed level be decreased by 0.01. (Rheem,
No. 32 at p. 9) In reviewing its test data for the August 2016 SNOPR,
DOE has found that 9 of the 61 \19\ models tested had measured UEF
values below the proposed standard, but that 6 of these 9 models also
had measured EF values below the existing EF standard. Thus, most
models with measured EF values at or above the current EF standard had
measured UEF values at or above the proposed UEF standard. Further, as
discussed in section III.A, DOE expects certain models that meet the
current EF standard will not meet the UEF standard when tested. DOE
accounts for this possibility through applying an enforcement policy to
certain models, as discussed in section III.E. Further, when DOE
analyzed converted values for models on the market based on their
published ratings, as was done by Rheem,\20\ DOE found that for
consumer gas-fired storage water heaters that would be classified in
the high draw pattern based on their converted first-hour rating, none
have converted UEF values below the UEF standard level proposed in the
August 2016 SNOPR. Thus, DOE concludes an adjustment to the proposed
UEF standard for consumer gas-fired storage water heaters in the high-
use draw pattern bin is not warranted.
---------------------------------------------------------------------------
\19\ CS-95 has a measured first-hour rating of 74.6 gallons and
was tested to the medium draw pattern. If the first-hour rating is
rounded to the nearest gallon, it would have been tested in the high
draw pattern.
\20\ To convert from represented values under the previous
metrics (i.e., EF, TE, and SL) to represented values under the UEF
metric, manufacturers should utilize measured values obtained during
testing under the previous test methods, where those values are
required in the conversion factor equations. DOE provides an
analysis of converted values based on published ratings for
illustrative purposes only, in order to respond to commenters who
performed analysis based on the rated values.
---------------------------------------------------------------------------
For consumer gas-fired storage water heaters less than or equal to
55 gallons in the low-draw-pattern bin, Rheem stated that it found two
EF-compliant models that would have a converted UEF 0.01 below the
proposed standard, the data for which was supplied to DOE by AHRI
during the development of the SNOPR. Further, Rheem stated that the
SNOPR test data does not include any consumer gas-fired storage water
heaters with a measured first-hour rating that would place the model in
the low draw pattern and that it cannot identify these models within
the tested data. Therefore, Rheem requested the proposed standards be
decreased by 0.01. (Rheem, No. 32 at p. 9) In examining the August 2016
SNOPR test data, DOE notes that AHRI supplied test data for the
consumer gas-fired storage water heaters identified as CS-66, CS-70,
CS-89, CS-99, and CS-137, for which the application of the NOPR
conversion factors for first-hour ratings would result in a converted
first-hour rating that would classify the models in the low-draw-
pattern bin. However, when applying the August 2016 SNOPR conversion
factors, these models have converted first-hour ratings that would
classify them in the medium-draw-pattern bin, and no models within the
entire test data set have a converted first-hour rating that would
result in testing to the low draw pattern. CS-89 and CS-90 (identified
by AHRI as models CGS-17 and CGS-18, respectively) were tested to the
low draw pattern, and AHRI provided those test results in response to
the NOPR. DOE notes that CS-89 has a measured EF 0.05 above the minimum
EF and a measured UEF 0.06 above the minimum UEF, while CS-90 has a
measured EF 0.01 above the minimum EF and a measured UEF 0.01 above the
minimum UEF. Therefore, DOE has determined that a decrease in the
efficiency level for consumer gas-fired storage water heaters in the
low draw pattern is not warranted.
For consumer electric storage water heaters less than or equal to
55 gallons in the low draw pattern, Bradford White recommended the
proposed level be decreased by approximately 0.01 UEF to make the
associated formula to 0.9160--(0.0003 x Vr). (Bradford
White, No. 26 at p. 4) For those same water heaters, AHRI commented
that all 11 basic models that were tested had measured UEF values below
the proposed standard and requested the proposed standard be decreased
by 0.01. (AHRI, No. 27 at p. 2) Rheem stated that 21 of the 31 electric
storage water heaters that would have a converted first-hour rating
that would classify them in the low draw pattern in the AHRI directory
have converted UEF values below the proposed UEF standard, and that
most of those models are around 30 gallons. Rheem requested that either
the proposed standard be decreased by 0.01 or the slope be adjusted to
allow the 30 gallon units to pass. (Rheem, No. 32 at pp. 9-10)
Rheem also commented that under the EF test procedure, electric
storage water heaters only had to be tested once, and provisions were
in place to allow multiple wattage configurations to be rated using the
one test. Under the UEF test procedure, Rheem noted that electric
storage water heaters now have to test each wattage to the first-hour
rating test, and if a lower wattage puts the model in a different draw
bin, the different UEF standard in that lower bin may not be met,
whereas that configuration complied with the corresponding EF standard.
Rheem commented that this essentially means the UEF standards for these
draw patterns are more stringent than the EF standards. (Rheem, No. 32
at p. 10)
In examining the August 2016 SNOPR test data, DOE found that 12 of
the 13 consumer electric storage water heaters with storage volumes
below 55 gallons that were tested in the low draw pattern had measured
UEF values below the proposed standard; however, 9 of those 12 models
also had measured EF values
[[Page 96222]]
below the EF energy conservations standards. This indicates that for
most models, the relationship between the measured EF and EF standard
(i.e., whether the measured EF is higher or lower than the standard)
holds true for UEF as well. In response to Rheem's comment regarding
testing of electric storage water heaters, DOE acknowledges that more
testing is required under the UEF test procedure as compared to the EF
test procedure. DOE notes that the UEF standards in the lower draw
patterns are less stringent and are based on models with
characteristics representative of that draw pattern. Thus, they should
be applicable to electric storage water heaters being tested at lower
element wattages and avoid the situation that Rheem describes where an
electric storage water heater is compliant with one heating element
wattage, but not with another. In addition, DOE reiterates that it
expects certain models that meet the current EF standard will not meet
the UEF standard when tested, and accounts for this possibility through
an enforcement policy for certain models, as discussed in section
III.E. Based on the foregoing, DOE has determined an adjustment to the
proposed standard for electric storage water heaters is not warranted.
For consumer gas-fired instantaneous water heaters less than 2
gallons, Bradford White, AHRI, and Rheem recommended that the proposed
level be decreased to those proposed in the April 2015 NOPR (i.e., 0.80
for all draw patterns). AHRI argued that the actual difference between
the NOPR and SNOPR levels of 0.003 (0.804 as compared to 0.807)
resulted in a 0.01 change in the UEF standard level due to rounding.
AHRI commented further that the converted UEF values for 20 of the 96
basic models in the AHRI Directory are less than the minimum UEF values
proposed in the August 2016 SNOPR. Rheem stated that many models,
specifically those in the low and medium draw pattern, are not meeting
the proposed standard through the use of the conversion factor.
(Bradford White, No. 26 at p. 4; AHRI, No. 27 at p. 2; Rheem, No. 32 at
p. 11) In examining the August 2016 SNOPR test data, DOE found that 5
of the 53 consumer gas-fired instantaneous water heater models that
were tested had measured UEF values below the proposed standards;
however, 4 of the 5 models also had measured EF values below the
existing EF standards. This indicates that for most models the
relationship between the measured EF and EF standard (i.e., whether the
measured EF is higher or lower than the standard) holds true for UEF as
well. Further, as was done by commenters, DOE also examined the number
of models that would pass the proposed UEF standard based on their
converted UEF determined using published values, and found that about
20 percent of the consumer gas-fired instantaneous water heaters on the
market would have converted UEF values less than the SNOPR proposed
standards, and all of the converted values were 0.01 below. All of
these models were in the medium and high draw pattern bins. As stated
above, the ``representative model'' method was not derived to ensure
all models on the market convert to pass the converted standards.
Rather, some models are expected to fall below the converted UEF
standards, and these models are accounted for by the enforcement policy
provisions discussed in section III.E. Therefore, DOE has decided to
adopt the conversion factors proposed in the August 2016 SNOPR.
For consumer oil-fired storage water heaters in the high draw
pattern, AHRI and Bock commented that two Bock 32E oil-fired storage
water heaters were tested to the EF and UEF test procedures, and the
average tested UEF value was below the proposed UEF standard. Further,
the commenters noted that a similar model tested by DOE, identified in
the August 2016 SNOPR as CS-27, tested below the proposed minimum.
Therefore, AHRI and Bock requested that the proposed level be decreased
by 0.02. (AHRI, No. 27 at p. 2; Bock, No. 29 at p. 2) As stated in
section III.D.2.a, CS-27 is the Bock 32E, so DOE included the two Bock
supplied test data points by averaging the results with those of CS-27,
and derived new first-hour rating and UEF conversion factors. These
conversion factors were carried through the analysis to derive updated
energy conservation standards. The Bock 32E has a rated storage volume
of 32 gallons (which DOE assumed would be adjusted to 30 gallons after
the 5 percent decrease is applied to represent the value based on the
mean of the measured volumes, and the value is rounded to the nearest
gallon) and is in the high draw pattern which corresponds to a minimum
UEF of 0.64. This updated minimum UEF value is equal to the mean of the
measured UEF values for the Bock 32E that were submitted by Bock.
Therefore, for the final rule, DOE is adopting the standards derived
using the test data supplied by Bock.
For residential-duty commercial gas-fired storage water heaters in
the high draw pattern, Rheem commented that the proposed standard is
more stringent than the existing minimum thermal efficiency and maximum
standby loss standards. Rheem stated that a unit with a storage volume
of 100 gallons that meets the existing energy conservation standards
would have a converted UEF that is 0.01 below the proposed UEF
standard. Therefore, Rheem recommended lowering the proposed standard
by 0.01. (Rheem, No. 32 at p. 10) In examining the August 2016 SNOPR
test data, DOE found that 4 of the 5 minimally compliant residential-
duty commercial gas-fired storage water heater models that were tested
had measured UEF values below the proposed standards; however, 2 of the
4 models also had measured TE and SL values below and the above the
existing standards, respectively. This indicates that for most models,
the relationship between the measured EF and EF standard (i.e., whether
the measured EF is higher or lower than the standard) holds true for
UEF as well. Further, as was done by Rheem, DOE examined the minimally
compliant residential-duty commercial gas-fired water heaters on the
market by applying the conversions based on rated values, and found
that fewer than half of the models would have a converted UEF value
below the proposed UEF standard based on their rated values. As stated
above, the ``representative model'' method was not intended to ensure
all models on the market convert to pass the converted standards, and
existing models that have UEF values below the converted standard could
be addressed through DOE's enforcement policy, as discussed in section
III.E. Further, as discussed in III.A, because DOE's goal is to
maintain the same stringency of the existing standards under EF, SL and
TE, and because individual models are impacted differentially by the
change in test method and metric, some models that were previously
minimally compliant will perform better than the translated UEF
minimum, and others will perform worse. The possibility of such
outcomes does not mean that the conversion methodology is improper and,
based on the results of testing, DOE believes the UEF standard that was
proposed is equivalent in stringency to the minimum thermal efficiency
and maximum standby loss standards. Therefore, DOE is adopting the
conversion factors for residential-duty commercial gas-fired water
heaters. DOE notes that the residential-duty commercial gas-fired
conversion factors adopted in this final rule vary slightly \21\
[[Page 96223]]
from those presented in the August 2016 SNOPR. 81 FR 59736, 59798
(August 30, 2016). To improve the accuracy and maintain consistency
with other product classes, DOE removed certain individual models,
which were found to be duplicates (i.e., models with identical designs
that were listed under different model numbers by manufacturers), from
the final rule dataset (so as not to give additional weight to models
sold under various brand names). However, DOE notes that the resultant
equations are essentially the same as those presented in the August
2016 SNOPR, and when rounded to the nearest 0.01, do not impact the UEF
standard level for any models currently available on the market.
---------------------------------------------------------------------------
\21\ For example, for the high draw pattern for residential-duty
commercial gas-fired water heaters, the constant in the equation has
changed from 0.6592 in the August 2016 SNOPR to 0.6597 in this final
rule, a difference of 0.0005. The coefficient multiplied by the
volume remains 0.0009, which is the same as proposed in the August
2016 SNOPR.
---------------------------------------------------------------------------
For consumer gas-fired storage water heaters below 55 gallons, DOE
requested comment on whether its tentative decision to use the standard
and low NOX conversion to derive the proposed standard was
appropriate, as well as its tentative decision that a separate standard
for ultra-low NOX water heaters was not necessary. CA IOUs,
Bradford White, AHRI, A.O. Smith, and Rheem all stated that that there
should not be separate standards for ultra-low NOX. (CA
IOUs, No. 25 at p. 3; BWC, No. 26 at p. 6; AHRI, No. 27 at p. 10; A.O.
Smith, No. 28 at p. 5; Rheem, No. 32 at p. 12) CA IOUs also commented
that in future rulemakings, ultra-low NOX water heaters
should continue to be examined separately from standard and low
NOX water heaters. (CA IOUs, No. 25 at p. 3) Therefore, DOE
has decided not to create separate standards for ultra-low
NOX water heaters and will continue use the standard and low
NOX conversion to derive the converted energy conservation
standards.
For consumer gas-fired storage water heaters above 55 gallons, DOE
requested comment on whether the assumptions it used to create
representative models were reasonable. Bradford White, AHRI, A.O.
Smith, and Rheem all stated that the assumptions made in the August
2016 SNOPR were reasonable. (BWC, No. 26 at p. 6; AHRI, No. 27 at p.
10; A.O. Smith, No. 28 at p. 5; Rheem, No. 32 at p. 12) Therefore, DOE
continued to use the assumptions presented in the August 2016 SNOPR for
this final rule.
For consumer electric instantaneous water heaters, no minimally-
compliant models are available on the market. DOE sought comment
regarding whether the assumption of 0.93 recovery efficiency reasonably
approximated a minimally-compliant model. Rheem stated that the 0.93
recovery efficiency was reasonable and correct. (Rheem, No. 32 at p.
12) Therefore, DOE continued to use 0.93 as the assumed recovery
efficiency for a representative consumer electric instantaneous water
heater in this final rule. In the August 2016 SNOPR, DOE proposed one
set of standards for consumer electric instantaneous water heaters with
storage volumes below 2 gallons and another at or above 2 gallons. 81
FR 59736, 59781 (August 30, 2016). As discussed in section III.B.1, DOE
is not adopting UEF conversion factors or converting the energy
conservation standards to UEF for the water heater listed in Table
III.1, which include consumer electric instantaneous water heaters with
storage volumes greater than or equal to 2 gallons. Therefore, DOE has
updated the consumer electric instantaneous water heater energy
conservation standards to be based solely on representative units with
storage volumes less than 2 gallons, and will consider electric
instantaneous water heaters with storage volumes greater than or equal
to 2 gallons in a future proceeding.
For grid-enabled water heaters, AHRI and A.O. Smith commented that
the proposed minimum energy conservation standard levels are
acceptable. (AHRI, No. 27 at p. 9; A.O. Smith, No. 28 at p. 5) NRECA
Joint Stakeholders stated that any establishment of a UEF for grid-
enabled water heaters should await product development, and DOE should
explicitly state that products meeting the EF energy conservation
standard in the Energy Efficiency Improvement Act of 2015 (EEIA 2015)
are compliant. (NRECA Joint Stakeholders, No. 30 at pp. 1-3) Rheem
asserted that as grid-enabled water heaters have only recently been
introduced into the market and no test data are available for them,
they will not be able to use the conversion factor to rate the UEF.
Further, Rheem argued that it is not reasonable for industry to be
required to determine UEF values for grid-enabled water heaters by
testing in accordance with the UEF test procedure, when no testing of
this class was performed by DOE to establish adequate UEF standards.
Rheem also argued that DOE should postpone establishing a conversion
factor and converted UEF standard for grid-enabled water heaters until
a future rulemaking once more models are available to be tested.
(Rheem, No. 32 at pp. 4-6) In response, DOE notes that when EEIA 2015
was enacted, there were no grid-enabled storage water heaters on the
market. As explained in section III.D.2.d, DOE has concluded that, with
respect to characteristics that might affect the outcome of the old and
current test procedures, grid-enabled water heaters are not designed
and do not function differently than consumer electric storage water
heaters below 55 gallons. For the one grid-enabled storage water heater
that has subsequently become available on the market and for which
published product literature is available, the rated EF value is equal
to the minimum EF standard (when rounded to the nearest 0.01), and the
converted UEF value (estimated based on its rated values in the AHRI
Directory) is equal to the proposed standard. This suggests that the
conversion factor and proposed standards appropriately reflect the
operation of grid-enabled water heaters. For these reasons, DOE has
determined that its conversion of existing EF standards for grid-
enabled water heaters to UEF standards are adequate for use at this
time.
As originally stated in the August 2016 SNOPR and noted several
times previously in this final rule, DOE acknowledges that the test
data that serves as the basis for the August 2016 SNOPR show that some
units which previously passed the EF, thermal efficiency, and/or
standby loss energy conservation standards might fail the proposed UEF
standards, while other units which previously failed might now pass. As
discussed in section III.A, DOE recognizes that the conversion factors
presented cannot perfectly model the behavior of all water heaters, as
each water heater model will react differently to the changes in the
test procedure based on the characteristics of that particular model.
The standards presented in Table III.12 and Table III.13 were derived
using a method that was intended to reduce the number of units that
would either be non-compliant under the EF test method and compliant
under the UEF test method or vice versa, so as to maintain the
stringency of the updated standard. Nevertheless, to ensure that water
heaters which previously passed the energy conservation standards under
the ``old'' metrics (i.e., EF, thermal efficiency, and/or standby loss)
will continue to comply, pre-existing models that were first
distributed in commerce prior to July 13, 2015 and that are compliant
with the energy conservation standards denominated in the old metric
are eligible to have compliance determined based on the old metric, as
described below in section III.E, if the design of the model is
unchanged.
[[Page 96224]]
DOE restates the standards denominated in terms of uniform energy
factor, as shown in Table III.12 and Table III.13 by product class and
draw pattern.
Table III.12--Consumer Water Heater Energy Conservation Standards
----------------------------------------------------------------------------------------------------------------
Rated storage volume
Product class and input rating (if Draw pattern Uniform energy factor
applicable)
----------------------------------------------------------------------------------------------------------------
Gas-fired Storage Water Heater....... >= 20 gal and <= 55 gal Very Small............. 0.3456 - (0.0020 x Vr)
Low.................... 0.5982 - (0.0019 x Vr)
Medium................. 0.6483 - (0.0017 x Vr)
High................... 0.6920 - (0.0013 x Vr)
> 55 gal and <= 100 gal Very Small............. 0.6470 - (0.0006 x Vr)
Low.................... 0.7689 - (0.0005 x Vr)
Medium................. 0.7897 - (0.0004 x Vr)
High................... 0.8072 - (0.0003 x Vr)
Oil-fired Storage Water Heater....... <= 50 gal.............. Very Small............. 0.2509 - (0.0012 x Vr)
Low.................... 0.5330 - (0.0016 x Vr)
Medium................. 0.6078 - (0.0016 x Vr)
High................... 0.6815 - (0.0014 x Vr)
Electric Storage Water Heaters....... >= 20 gal and <= 55 gal Very Small............. 0.8808 - (0.0008 x Vr)
Low.................... 0.9254 - (0.0003 x Vr)
Medium................. 0.9307 - (0.0002 x Vr)
High................... 0.9349 - (0.0001 x Vr)
> 55 gal and <= 120 gal Very Small............. 1.9236 - (0.0011 x Vr)
Low.................... 2.0440 - (0.0011 x Vr)
Medium................. 2.1171 - (0.0011 x Vr)
High................... 2.2418 - (0.0011 x Vr)
Tabletop Water Heater................ >= 20 gal and <= 120... Very Small............. 0.6323 - (0.0058 x Vr)
Low.................... 0.9188 - (0.0031 x Vr)
Medium................. 0.9577 - (0.0023 x Vr)
High................... 0.9884 - (0.0016 x Vr)
Instantaneous Gas-fired Water Heater. < 2 gal and > 50,000 Very Small............. 0.80
Btu/h. Low.................... 0.81
Medium................. 0.81
High................... 0.81
Instantaneous Electric Water Heater.. < 2 gal................ Very Small............. 0.91
Low.................... 0.91
Medium................. 0.91
High................... 0.92
Grid-Enabled Water Heater............ >75 gal................ Very Small............. 1.0136 - (0.0028 x Vr)
Low.................... 0.9984 - (0.0014 x Vr)
Medium................. 0.9853 - (0.0010 x Vr)
High................... 0.9720 - (0.0007 x Vr)
----------------------------------------------------------------------------------------------------------------
* Vr is the Rated Storage Volume (in gallons), as determine pursuant to 10 CFR 429.17.
Table III.13--Residential-Duty Commercial Water Heater Energy
Conservation Standards
------------------------------------------------------------------------
Uniform energy
Product class Draw pattern factor
------------------------------------------------------------------------
Gas-fired Storage............... Very Small........ 0.2674 - (0.0009 x
Vr)
Low............... 0.5362 - (0.0012 x
Vr)
Medium............ 0.6002 - (0.0011 x
Vr)
High.............. 0.6597 - (0.0009 x
Vr)
Oil-fired Storage............... Very Small........ 0.2932 - (0.0015 x
Vr)
Low............... 0.5596 - (0.0018 x
Vr)
Medium............ 0.6194 - (0.0016 x
Vr)
High.............. 0.6740 - (0.0013 x
Vr)
Electric Instantaneous.......... Very Small........ 0.80
Low............... 0.80
Medium............ 0.80
High.............. 0.80
------------------------------------------------------------------------
* Vr is the Rated Storage Volume (in gallons), as determined pursuant to
10 CFR 429.44.
Storage Volume Requirements
In the July 2014 final rule, DOE amended the certification
requirements for consumer water heaters to specify that the rated
storage volume of a water heater must be the mean of the storage
volumes measured over the sample of tested units. DOE also added
enforcement provisions that state that if the rated storage volume is
within 5 percent of the mean of the measured values of storage volume,
then that rated value will be used as the basis for calculation of the
required uniform energy factor for the basic model; otherwise, the mean
of the measured storage volume values will be used as the basis for
calculation of the required
[[Page 96225]]
uniform energy factor for the basic model. 79 FR 40542, 40565-40566
(July 11, 2014).
In the August 2016 SNOPR, DOE proposed to decrease the 5 percent
tolerance to 2 percent of the mean of the measured value of storage
volume. 81 FR 59736, 59786 (August 30, 2016). As discussed in the
August 2016 SNOPR, based on testing performed on a sample of 24 units,
DOE observed that a tolerance of 2 percent more accurately reflects the
actual level of variability that manufacturers are currently able to
achieve and allows for slightly more variability than what was observed
in the sample set. Id.
Bradford White, AHRI, Rheem, and Giant Factories, Inc. (Giant)
commented that they are opposed to the decrease in storage volume
tolerance from 5 percent to 2 percent. Bradford
White and AHRI also argued that the sample size used as the basis for
the new requirements was too small and not statistically sound.
(Bradford White, No. 26 at p. 3; AHRI, No. 27 at p. 4; Rheem, No. 32 at
p. 8; Giant, No. 33 at p. 2) Bradford White and Rheem alleged that DOE
did not consider the manufacturing costs associated with controlling
tank volume variability. (Bradford White, No. 26 at p. 3; Rheem, No. 32
at p. 8) Rheem also stated that the costs of this change could amount
to hundreds of thousands of dollars. (Rheem, No. 32 at p. 6) Giant and
Rheem commented that because the rated volume is part of the water
heater safety certification, any change in the rated storage volume
would require a manufacturer to update its safety certification reports
and perform validation testing at a cost that is not negligible.
(Rheem, No. 32 at pp. 7-8; Giant, No. 33 at p. 2) Rheem requested
clarification as to whether manufacturers will be permitted to
advertise a different ANSI/UL 174 rated volume than the DOE UEF test
procedure rated volume. (Rheem, No. 32 at pp. 7-8) Bradford White,
AHRI, and Rheem argued that the requirement to round to the nearest
gallon uses up some of the 2 percent tolerance and causes the tolerance
to become more stringent than 2 percent. For smaller gallon sizes, the
commenters asserted this results in almost no tolerance.\22\ (Bradford
White, No. 26 at p. 3; AHRI, No. 27 at p. 4; Rheem, No. 32 at pp. 7-10)
AHRI requested clarification of the exact consequences of measuring a
volume that is beyond 2 percent of the rated volume during a test with
a passing measured UEF, particularly if the measured volume places the
water heater into a different product category such as not a grid-
enabled or above 55 gallons. (AHRI, No. 27 at p. 5) A.O. Smith also
urged DOE to provide further clarification regarding any potential
liability that a manufacturer may incur if the measured volume during
an enforcement test is more than 2 percent outside the newly defined
DOE rated volume, and if there is any further consequence beyond that
the measured volume will be used for the enforcement test and to
determine the minimum efficiency. (A.O. Smith, No. 28 at p. 2) Giant
stated that for products such as grid-enabled water heaters, a model
with a measured volume of 70 gallons and a rated volume of 76 gallon
model would now have a maximum rated volume of 71.4 gallons and no
longer meet the definition of a grid-enabled water heater. (Giant, No.
33 at p. 2) Bradford White and Giant commented that reducing the
tolerance to 2 percent could result in an increase in energy use as
manufacturers redesign their products to increase the tank size to a
nominal value, adding that this change would lead to significant
confusion in the market. (Bradford White, No. 26 at p. 3; Giant, No. 33
at pp. 2; Rheem, No. 32 at pp. 7-10)
---------------------------------------------------------------------------
\22\ AHRI cited an example of a water heater with 27.5 gallons
of measured storage volume. The rated storage volume would be
rounded to 28 gallons, and the 0.5 gallon difference would represent
a 1.8 percent deviation from the rated volume.
---------------------------------------------------------------------------
After considering the comments, DOE performed a statistical
analysis based on a t-distribution rather than a normal distribution as
was done for the August 2016 SNOPR, which DOE concluded to be more
appropriate for the number of samples available. For each model, DOE
calculated the t-based 95-percent confidence interval, which
corresponds to the maximum amount of deviation from the mean one would
expect if a new sample were tested. DOE found a maximum percent
deviation from the mean of three percent using this method; therefore,
DOE is adopting a three-percent tolerance on measured storage volume
instead of the proposed two percent. The three-percent tolerance more
accurately reflects the level of variability that manufacturers are
currently able to achieve. In addition, if manufacturers do not certify
the rated storage volume in accordance with the requirements of 10 CFR
429.17 (i.e., as the mean of the measured storage volume of the
sample), the certified value may be considered invalid which could lead
to DOE investigating the data underlying the certification in
accordance with 10 CFR 429. With regard to the manufacturing costs
associated with controlling tank volume variability, DOE notes that its
test data show that manufacturers already control tank volume
variability within the bounds being adopted, and thus, additional costs
are not expected as manufacturers already appear to have this
capability. Regarding potential increased energy usage, DOE
acknowledges that a redesign of the tank size to a nominal value is
possible. If the redesigned tank is larger than the previous tank, then
it would likely use slightly more energy. DOE also acknowledges that
there may be costs associated with safety certification of a re-
designed model. However, DOE notes that the requirement that the rated
volume be the mean the measured volumes in the test sample already
exists at 10 CFR 429.17(a)(1)(ii)(C), and this change only modifies the
existing tolerance in response to comments. Thus, the rated efficiency
should already be equal to the mean the measured volumes in the test
sample, and as discussed above, DOE's data show that manufacturers
already control their volume within this tolerance. Finally, in
response to Giant's comments that certain products that have a volume
threshold, such as grid-enabled water heaters, may need to be
reclassified based on the new storage volume requirements, that is
correct. However, DOE contends that if the manufacturer was properly
certifying to the July 2014 test procedure, there would be no
reclassification needed.
E. Enforcement Policy
In the August 2016 SNOPR, DOE acknowledged that the nature of the
conversion process could conceivably result in models very close to the
standard falling below the converted standard. Recognizing that there
is value in reducing the uncertainty for manufacturers and that there
is no significant public harm in letting manufacturers continue sales
of certain models, DOE explained its planned approach for basic models
where units of individual models within the basic model were
manufactured prior to July 13, 2015. 81 FR 59736, 59876-59787 (August
30, 2016). Specifically, DOE explained that in assessment and
enforcement testing, DOE will evaluate the compliance of a basic model
using the test procedure in effect prior to July 13, 2015, under the
following circumstance: The basic model must have been in distribution
in commerce prior to July 13, 2015; the basic model must have been
tested and properly certified to DOE as compliant with the applicable
standard prior to July 13, 2015; and the units manufactured prior to
July 13, 2015, must be essentially
[[Page 96226]]
identical to the units manufactured on or after July 13, 2015.\23\
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\23\ The last requirement for this policy--that units must be
essentially identical--bears explanation. DOE generally permits
manufacturers great latitude in assigning basic model numbers, and
manufacturers normally are not required to certify a model as a new
basic model if modifications make the model more efficient. In the
August 2016 SNOPR, DOE stated that, if a manufacturer makes changes
to a model (that make it either more efficient or less), then it
should conduct the requisite testing using the UEF test procedure
and ensure the compliance of the model with the converted standard.
The proposed policy was intended to give certainty to manufacturers
with respect to historical models; it was not intended to provide a
mechanism to perpetuate an obsolete test method and obsolete
metrics.
---------------------------------------------------------------------------
In the August 2016 SNOPR, DOE also recognized that manufacturers
seek certainty that models introduced (i.e., first distributed in
commerce) on or after July 13, 2015, will not be subject to civil
penalties. In enforcing the standard(s) for models introduced on or
after July 13, 2015, and before the effective date of this final rule,
DOE stated that it would consider whether these models meet the
standard(s) as denoted using the ``old'' metric(s), the deviation from
the UEF standard when tested using the UEF test procedure, and efforts
taken by the manufacturer to ensure compliance with the converted UEF
standards. 81 FR 59736, 59787 (August 30, 2016).
In response to the number of comments and questions DOE received in
response to its enforcement policy as presented in the August 2016
SNOPR, DOE is explaining its enforcement policy in greater detail in
this final rule, as well as offering minor clarifications in response
to comments.
In the event that DOE selects a model for assessment testing that
was first distributed in commerce prior to July 13, 2015, DOE will
first assess compliance with the UEF standard. If testing indicates
that an individual model is noncompliant with the UEF standard, DOE
will then evaluate compliance using the ``old'' metrics (i.e., EF or
thermal efficiency/standby loss, as applicable). DOE may request that
the manufacturer provide information to show that the selected model
met the minimum efficiency standard using the test procedure in effect
prior to July 13, 2015, and that it has not been redesigned since that
time. (DOE discusses the issue of whether a model has been redesigned
later within this section.) The model will continue to be subject to
the enforcement policy as long as all units of that model manufactured
remain identical \24\ to the units of that model that were being
manufactured prior to July 13, 2015. These models will continue to
remain subject to the enforcement policy until compliance with amended
energy conservation standards is required.
---------------------------------------------------------------------------
\24\ DOE acknowledges that in the August 2016 SNOPR it used the
term ``essentially identical'' to refer to the similarities between
units manufactured prior to July 13, 2015, and units manufactured on
or after that date, one factor relevant to application of the
enforcement policy set forth here. DOE realizes that, due to that
term's presence in the definition of ``basic model'' at 10 CFR
430.2, including this term in its statement of enforcement policy
may cause confusion, particularly given DOE's application of the
enforcement policy on an individual model basis. Thus, DOE is
adopting the use of the term identical in this final enforcement
policy and has included additional explanation to help manufacturers
understand how it applies.
---------------------------------------------------------------------------
To address any confusion regarding this enforcement policy, the
policy will apply to individual models, rather than basic models. DOE
generally permits manufacturers great latitude in assigning basic model
numbers, and manufacturers normally are not required to certify a model
as a new basic model if modifications make the model more efficient.
However, in implementing this policy, DOE believes that if a
manufacturer makes changes to the design of an individual model, then
DOE would no longer consider the individual model ``identical'' to the
units manufactured prior to July 13, 2015, and the model would not be
subject to the enforcement policy. In such a case, the manufacturer
should conduct the requisite testing using the UEF test procedure and
ensure the compliance of the model with the converted standard.
Further, if a manufacturer groups, within the same basic model, an
individual model subject to DOE's enforcement policy with one or more
individual models not subject to the policy, DOE would not treat the
individual model as subject to the policy. Thus, if certain individual
models within a basic model are redesigned, those individual models
would have to be recertified as a separate basic model (or basic
models) from the original basic model.
A.O. Smith requested clarification as to what is meant by the
requirement that units for ``grandfathered'' models must be essentially
identical to those manufactured prior to July 13, 2015, as DOE proposed
in the August 2016 SNOPR. (A.O. Smith, No. 28 at p. 4) Rheem also
sought clarification regarding what will be considered sufficient
evidence to demonstrate a ``grandfathered'' model met the provisions
laid out by DOE. (Rheem, No. 32 at p. 16)
Regarding the term ``essentially identical'' used in the August
2016 SNOPR, as well as the term ``identical'' used in this final rule
and intended to have the same meaning, units of models that were
manufactured after July 13, 2015, must have the same design as those
manufactured before July 13, 2015, to be subject to the enforcement
policy described above. If an individual model is redesigned in any
way, it would no longer be subject to the policy. However, DOE
recognizes that manufacturers may need to make small changes, such as a
change in component supplier, that do not change the design and, thus,
would not constitute a different ``design'' from the units of that
model that were manufactured prior to July 13, 2015. One example of
such a change would be a change in foam suppliers, where the properties
of the foam were the same. Such changes would not be considered as a
re-design of the model as long as the new component is identical to the
component it replaces in the original model. In such instances, DOE
would consider the design identical to that of the original model, and
units of that model would be subject to the enforcement policy provided
they, at a minimum, meet the energy conservation standards in place
under the ``old'' metrics (i.e., energy factor, thermal efficiency, and
standby loss). DOE understands that manufacturers typically change
suppliers of components or source raw materials (e.g., foam or metals)
as part of their day-to-day operations, and DOE does not consider
sourcing decisions for the same components to constitute a non-
identical model. In contrast, if a manufacturer were to redesign the
product by introducing a new burner design for a gas water heater or by
changing the formulation of the foam for a storage-type water heater,
DOE would consider these changes as redesigns because such changes
affect the performance and operation of the model. In these instances,
a manufacturer should: (1) Arrive at represented values expressed in
UEF in accordance with the test procedure and the amendments in this
final rule; (2) ensure that the redesigned individual model complies
with the applicable UEF standard; and (3) properly certify the
individual model before distribution in commerce (either as its own
basic model or as part of a basic model that does not have any other
individual models which are subject to the enforcement policy). As part
of considering whether units of an individual model were identical, DOE
would consider a manufacturer's records of the bills of materials for
models initially distributed in commerce before July 13, 2015, and for
[[Page 96227]]
which they wish to demonstrate compliance based on the ``old'' metrics
that show all components in the model prior to July 13, 2015. Such
evidence would aid DOE in assessing whether units manufactured after
July 13, 2015, remain identical to those manufactured prior to that
date.
Bradford White requested clarification as to whether updating a
product's rated volume would void ``grandfathering'' of a model that
was introduced prior to July 13, 2015, assuming the other conditions
DOE has laid out are met. (Bradford White, No. 26 at p. 2) As stated
above, a model will not be eligible for DOE's enforcement policy if
there was any design change. A change in the rated volume would not be
a change in the design of the products themselves in that sense; it
would be a change only in representations about the products. However,
if rather than simply changing the rated value, the manufacturer
chooses to redesign the model with a different volume such that the
design would not be identical, such a model would not be subject to the
policy.
The ASAP Joint Stakeholders noted that the water heater industry
has called for explicit grandfathering of water heaters that comply
with minimum efficiency standards when expressed in terms of EF, but
not in terms of UEF, and argued that AEMTCA does not provide for such
grandfathering. ASAP Joint Stakeholders' also expressed their
understanding of the proposed grandfathering provisions as allowing EF-
compliant water heaters to be sold for a year following the publication
of the final rule, after which DOE would not enforce the UEF standards
for an unlimited period of time for essentially identical, but UEF non-
compliant, models. The ASAP Joint Stakeholders commented that adopting
non-enforcement as a tool for energy efficiency standards
implementation would set a terrible precedent, would create the need
for DOE to continually monitor UEF non-compliant models, and would
create uncertainty for industry and uncertainty about the ultimate
impacts of the water heater efficiency standards. (ASAP Joint
Stakeholders, No. 31 at p. 4)
To be clear, this enforcement policy is not ``grandfathering''--DOE
is not allowing manufacture of products that do not meet a standard. As
discussed above, the conversion factor can, for some models, change the
compliance status as a result of changes in the test method; this
enforcement policy ensures that a model that complied with the former
metrics is not harmed by the transition to UEF. However, as soon as a
manufacturer makes any change to a model, the manufacturer must test
and ensure compliance with the new metric. This enforcement policy
allows a smooth transition through a metric change but does not allow
manufacture of non-compliant products. Moreover, this is not a policy
of non-enforcement--DOE is adopting a policy of conducting additional
testing, where needed, for a limited subset of models in order to
assess compliance using a second metric. DOE emphasizes that only
models manufactured and certified prior to July 13, 2015, are eligible
for the full enforcement policy; therefore, DOE has a known, finite
list of models eligible for this relief.
With respect to the ``transition'' models first distributed in
commerce between July 13, 2015, and the publication date of this rule,
DOE has committed to consider compliance using the former test method
as a factor only and expects manufacturers to take appropriate, timely
steps to ensure those models meet the standard as measured using the
UEF test method--which was the applicable test method at the time of
manufacture. Further, because DOE is not permitting manufacturers to
``overrate'' to the minimum UEF standard, manufacturers are required to
disclose the actual performance in the same metric as all other
products.
F. Certification
In this final rule, DOE adopts its position as stated in the August
2016 SNOPR, that upon the effective date of this final rule,
certification of compliance with energy conservation standards will be
exclusively in terms of UEF. 81 FR 59736, 59788 (August 30, 2016). In
implementing the provisions of 42 U.S.C. 6295(e)(5), DOE has concluded
that there will be three possible paths available to manufacturers for
certifying compliance of basic models of consumer water heaters that
were certified before July 13, 2015: (1) In the year following the
publication of this final rule, convert the energy factor values
obtained using the test procedure contained in appendix E to subpart B
of 10 CFR part 430 of the January 1, 2015 edition of the CFR from
energy factor to uniform energy factor using the applicable
mathematical conversion factor, and then use the converted uniform
energy factors along with the applicable sampling provisions in 10 CFR
part 429 to determine the represented uniform energy factor; or (2)
conduct testing using the test procedure contained at appendix E to
subpart B of 10 CFR part 430, effective July 13, 2015, along with the
applicable sampling provisions in 10 CFR part 429; or (3) where
permitted, apply an alternative efficiency determination method (AEDM)
pursuant to 10 CFR 429.70 to determine the represented efficiency of
basic models for those categories of consumer water heaters where the
``tested basic model'' was tested using the test procedure contained at
appendix E to subpart B of 10 CFR part 430, effective July 13, 2015.
Similarly, DOE has concluded that there will be three possible
paths available to manufacturers for certifying compliance of basic
models of commercial residential-duty water heaters that were certified
before July 13, 2015: (1) In the year following the publication of this
final rule, convert the thermal efficiency and standby loss values
obtained using the test procedure contained in 10 CFR 431.106 of the
January 1, 2015 edition of the CFR from thermal efficiency and standby
loss to uniform energy factor using the applicable mathematical
conversion factor, and then use the converted uniform energy factors
along with the applicable sampling provision in 10 CFR part 429 to
determine the represented uniform energy factor; or (2) conduct testing
using the test procedure at 10 CFR 431.106, effective July 13, 2015,
along with the applicable sampling provisions in part 429; or (3) where
permitted, apply an alternative efficiency determination method (AEDM)
pursuant to 10 CFR 429.70 to determine the represented efficiency of
basic models for those categories of commercial water heaters where the
``tested basic model'' was tested using the test procedure at 10 CFR
431.106, effective July 13, 2015.
Bradford White, AHRI, Rheem, and Giant commented that it would take
at least 6 months after the publication of this final rule to convert
efficiency and performance ratings to those under the UEF test method.
(Bradford White, No. 26 at p. 5; AHRI, No. 27 at p. 5; Rheem, No. 32 at
pp. 14-15; Giant, No. 33 at p. 2) AHRI, Rheem, and Giant further stated
that the FTC EnergyGuide compliance date is June 12, 2017, and if this
final rule is delayed past December 12, 2016, DOE and FTC should
coordinate actions to delay the effective date of the revised FTC label
so as to maintain the 6-month period. AHRI, Rheem, and Giant added that
because the next annual certification date is May 1, 2017, DOE should
delay the annual certification requirement until the effective date of
the FTC EnergyGuide label, due to the potential for confusion resulting
from different values in certification data in the DOE compliance
certification database and EnergyGuide labels on products. (AHRI,
[[Page 96228]]
No. 27 at p. 5; Rheem, No. 32 at pp. 14-15; Giant, No. 33 at p. 2) A.O.
Smith stated the next annual certification date should be delayed to
the expiration date of the conversion factor rulemaking. (A.O. Smith,
No. 28 at p. 4)
DOE recognizes stakeholder concerns related to the timing of the
FTC requirements and certification reports, and the Department agrees
that harmonizing the dates for submitting certification reports and
complying with the EnergyGuide labels is desirable to prevent consumer
confusion and reduce burden on manufacturers. DOE has already issued an
enforcement policy with respect to certification of water heaters
subject to this rule. In that policy, DOE stated that the policy would
be amended when this rule was finalized. DOE hereby revises that policy
such that DOE will not seek civil penalties for failure to submit a UEF
certification report, prior to June 12, 2017, for any basic model of
water heater subject to this final rule. DOE may seek civil penalties
for failure to submit a UEF certification report for each basic model
of water heater subject to this final rule starting June 12, 2017.
Thus, while manufactures are required to submit certifications by
the May 1, 2017 annual deadline for existing basic models of consumer
water heaters, as set forth at 10 CFR 429.12(d), DOE will not seek
civil penalties for failure to submit required certifications by this
deadline. However, if a manufacturer does not submit its annual
certification report for each basic model by June 12, 2017, it will be
subject to civil penalties that will begin accruing on a per day per
basic model basis as of that date.
This enforcement policy will not apply to basic models first
distributed in commerce on or after the publication date of this rule.
Manufacturers of any such basic model must certify the compliance of
the basic model before distribution in commerce of the basic model, as
required by 10 CFR 429.12(a), or be subject to civil penalties for
failure to do so.
Rheem also made several comments specifically related to content of
the FTC EnergyGuide label. (Rheem, No. 32 at pp. 12-14) As noted in
section I, FTC published a final rule on September 15, 2016 updating
the EnergyGuide label to reflect changes to the DOE test procedure. 81
FR 63634. DOE notes that it has no authority to make changes the FTC
EnergyGuide label; however, DOE has passed Rheem's comments to FTC for
consideration in future updates to the EnergyGuide label for water
heaters.
Rheem stated it is unclear when DOE will transition the ability of
its compliance certification database to collect the UEF metric rather
than EF, thermal efficiency, and/or standby loss. AHRI and Rheem
requested that data be identified as either converted or tested in the
reporting template to ensure that enforcement testing is not conducted
based on converted ratings. (AHRI, No. 27 at p. 6; Rheem, No. 32 at p.
15) AHRI also requested DOE to make a pronouncement that enforcement
testing will be conducted using the test procedure which was used to
establish the model's ratings. (AHRI, No. 27 at p. 5) Finally, AHRI
commented that there should be no risk of a false-positive enforcement
action based on converted ratings once the conversion factor expires.
That is, if a model converted into one draw pattern and tested into
another, enforcement action should be based on the tested ratings and
energy conservation standards associated with the tested draw pattern.
(AHRI, No. 27 at p. 6)
DOE will transition the ability of its compliance certification
database to collect UEF metrics prior to the date by which
manufacturers must submit certification reports (i.e., June 12, 2017,
as discussed previously in this section). The information required for
certification for the various types of water heaters and methods for
determining UEF (i.e., based on testing or based on converted values)
is detailed in the regulatory text at the end of this final rule and
will appear in 10 CFR part 429 once this final rule is effective. Thus,
manufacturers will be aware of the certification information that DOE
will collect. DOE proposed specific data elements based on whether a
certification was based on converted or tested values, and AHRI and
Rheem requested that data be identified as either converted or tested
in the reporting template. Although whether a value was converted or
tested would be implicit based on the information provided, DOE will,
as suggested by AHRI and Rheem, explicitly require manufacturers to
report how the certified values were determined. DOE will also permit
manufacturers to provide at their option a declaration of whether they
are requesting that the enforcement policy apply to a basic model, in
which case the manufacturer must also provide the certified value for
that model using the old metric(s) and corresponding test data.
Bradford White requested that DOE provide guidance on how to
translate back to the ``old'' metrics, so that utility rebate programs
and codes may have time to transition to the ``new'' metrics. (Bradford
White, No. 26 at p. 5) In response, DOE shares Bradford White's concern
about utility rebate programs. However, DOE believes that facilitating
calculation back to the old metrics for use in utility rebate programs
would simply prolong the transition to the new metrics and could
possibly result in consumer confusion regarding water heater efficiency
ratings. Accordingly, DOE is not adopting the commenter's suggestion.
In the August 2016 SNOPR, DOE requested comment about its decision
not to include standby heat loss coefficient (UA), Annual Energy
Consumption (Eannual), Annual Electrical Energy Consumption
(Eannual,e), and Annual Fossil Fuel Energy Consumption
(Eannual,f) in the parameters manufacturers are required to
certify to DOE. 81 FR 59736, 59787 (August 30, 2016). In response,
Bradford White, AHRI, and A.O. Smith commented that they supported
DOE's decision not to include these parameters in the annual
certification report. (Bradford White, No. 26 at p. 3; AHRI, No. 27 at
p. 10; A.O. Smith, No. 28 at p. 5) Bradford White stated that
certifying the additional parameters could increase burden due to
additional paperwork, while A.O. Smith argued that the additional
parameters could result in consumer confusion. AHRI stated that the
values are not necessary for establishing compliance with DOE
efficiency regulations and the information is not necessary for
consumers to be able to compare the efficiency of models. CA IOUs
requested that recovery efficiency continue to be included in the CCMS
directory. (CA IOUs, No. 25 at p. 2) Having considered these comments,
DOE will not require the certification of standby heat loss coefficient
(UA), Annual Energy Consumption (Eannual), Annual Electrical
Energy Consumption (Eannual,e), and Annual Fossil Fuel
Energy Consumption (Eannual,f), as these values are not
necessary for establishing compliance with DOE efficiency regulations
and requiring reporting of them could unnecessarily create additional
burden for manufacturers. However, as requested by the CA IOUs, DOE
will continue to require manufacturers to report recovery efficiency in
their annual certification reports. Manufacturers are currently
required to certify the recovery efficiency (see 10 CFR 429.17(b)(2)),
so maintaining this requirement would not create additional burden, nor
does is DOE aware of any consumer confusion resulting from the
inclusion of this specific parameter.
AHRI, A.O. Smith, and Rheem provided their understanding of how
``grandfathered'' models will be handled
[[Page 96229]]
and requested that DOE confirm that it is correct. (AHRI, No. 27 at pp.
6-7; A.O. Smith, No. 28 at pp. 3-4; Rheem, No. 32 at p. 16)
In response, DOE reiterates that the statute did not grandfather
any models. With respect to models that do not meet the UEF standard
when converted or tested using the UEF test procedure, manufacturers of
models certified prior to July 13, 2015, may continue to certify
compliance on the basis of the then-applicable test procedure but must
disclose the UEF rating as discussed above. Manufacturers should not
represent the efficiency at the minimum UEF standard for models that,
when rated in accordance with 10 CFR 429.17, would have a UEF rating
below the minimum standard.
G. Effective Date
This rule will be effective upon its publication in the Federal
Register. Ordinarily, pursuant to 5 U.S.C. 553, a rule can only be
effective 30 days after publication. (This rule is not a major rule to
which the effective-date delay in 5 U.S.C. 801 would apply.) However,
DOE finds good cause to make the rule effective immediately. EPCA
specifies that manufacturers may use the conversion factors established
by this rule ``beginning on the date of publication of the conversion
factor in the Federal Register.'' 42 U.S.C. 6295(e)(5)(E)(v)(I).
Complying with that statutory mandate would require that DOE make the
rule effective immediately; DOE accordingly finds good cause, under 5
U.S.C. 553(d)(3), to do so.
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 the Office of
Management and Budget.
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 Enforcement 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 and
a final regulatory flexibility analysis (FRFA) for any such rule that
an agency adopts as a final rule, unless the agency certifies that the
rule, if promulgated, will not have a significant economic impact on a
substantial number of small entities.
A regulatory flexibility analysis examines the impact of the rule
on small entities and considers alternative ways of reducing negative
effects. Also, as required by Executive Order 13272, ``Proper
Consideration of Small Entities in Agency Rulemaking,'' 67 FR 53461
(August 16, 2002), DOE published procedures and policies on February
19, 2003, to ensure that the potential impacts of its rules on small
entities are properly considered during the DOE rulemaking process. 68
FR 7990. DOE has made its procedures and policies available on the
Office of the General Counsel's Web site at: https://energy.gov/gc/office-general-counsel.
This final rule prescribes a mathematical conversion that can be
used on a limited basis to determine the represented values for
consumer water heaters and certain commercial water heaters. For
consumer water heaters and certain commercial water heaters, the
mathematical conversion establishes a bridge between the rated values
based on the results under the energy factor, thermal efficiency, and
standby loss test procedures (as applicable) and the uniform energy
factor test procedure. DOE reviewed this final rule under the
provisions of the Regulatory Flexibility Act and the policies and
procedures published on February 19, 2003. 68 FR 7990.
For the manufacturers of the covered water heater products, the
Small Business Administration (SBA) has set a size threshold, which
defines those entities classified as ``small businesses'' for the
purposes of the statute. DOE used the SBA's small business size
standards to determine whether any small entities would be subject to
the requirements of the rule. 65 FR 30836, 30849 (May 15, 2000), as
amended at 65 FR 53533, 53545 (Sept. 5, 2000), at 77 FR 49991, 50008-
50011 (August 20, 2012), and at 81 FR 4469, 4490 (Jan. 26, 2016), and
codified at 13 CFR part 121. The size standards are listed by North
American Industry Classification System (NAICS) code and industry
description and are available at https://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf. Consumer water heater
manufacturing is classified under NAICS code 335228--``Other Major
Household Appliance Manufacturing.'' The SBA sets a threshold of 1,000
employees or less for an entity to be considered as a small business
under that code number. Commercial water heater manufacturing is
classified under NAICS code 333318--``Other Commercial and Service
Industry Machinery Manufacturing,'' for which SBA sets a size threshold
of 1,000 employees or fewer as being considered a small business.
DOE has identified 11 manufacturers of consumer water heaters that
can be considered small businesses. DOE identified five manufacturers
of ``residential-duty'' commercial water heaters that can be considered
small businesses. Four of the ``residential-duty'' commercial water
heater manufacturers also manufacture consumer water heaters, so the
total number of small water heater manufacturers impacted by this rule
would be 12. DOE's research involved reviewing several industry trade
association membership directories (e.g., AHRI), product databases
(e.g., DOE Compliance Certification Database, AHRI, CEC, and ENERGY
STAR databases), individual company Web sites, and marketing research
tools (e.g., Hoovers reports) to create a list of all domestic small
business manufacturers of products covered by this rulemaking.
For the reasons explained below, DOE has concluded that the test
procedure amendments contained in this final rule will not have a
significant economic impact on any manufacturer, including small
manufacturers.
For consumer water heaters that were covered under the energy
factor test procedure and energy conservation standards, the conversion
factor in this final rule converts the rated values based on the energy
factor test procedure to values based on the uniform energy factor test
procedure. Likewise, for certain commercial water heaters, defined
under the term ``residential-duty commercial water heater,'' the
conversion factor in this final rule converts the rated values based on
the previous test procedure to the uniform descriptor which is based on
the UEF test procedure. The energy conservation standards for
commercial water heating equipment is denominated using the uniform
descriptor.
The conversion factors established in this final rule accomplish
two tasks: (1) Translating the EF-, TE-, and SL-denominated (as
applicable) energy conservation standards for consumer water heaters
and certain commercial water heaters to being expressed in terms of the
metric and test procedure for uniform energy factor; and (2) providing
a limited conversion factor that manufacturers can use to translate
[[Page 96230]]
represented values established for basic models certified prior to July
13, 2015. This limited conversion is a burden-reducing measure which
helps to ease the transition of the market to the new test procedure
and uniform metric over the one-year period instead of the typical 180-
day timeframe allotted by statute. In addition, as discussed in section
III.E, DOE will implement an enforcement policy that DOE will not seek
civil penalties for the continued manufacture and distribution in
commerce of units of certain basic models that meet certain conditions
(as described in III.E), thereby further reducing any burden on small
business manufacturers. Accordingly, DOE concludes and certifies that
this rule will not have a significant economic impact on a substantial
number of small entities, so DOE has not prepared a regulatory
flexibility analysis for this rulemaking. DOE has provided its
certification and supporting statement of factual basis to the Chief
Counsel for Advocacy of the SBA for review under 5 U.S.C. 605(b).
C. Review Under the Paperwork Reduction Act of 1995
Manufacturers of water heaters must certify to DOE that their
products comply with any applicable energy conservation standards. In
certifying compliance, manufacturers must test their products according
to the DOE test procedures for water heaters, including any amendments
adopted for those test procedures. DOE has established regulations for
the certification and recordkeeping requirements for all covered
consumer products and commercial equipment, including consumer and
commercial water heaters. 76 FR 12422 (March 7, 2011); 79 FR 25486 (May
5, 2014). The collection-of-information requirement for the
certification and recordkeeping is subject to review and approval by
OMB under the Paperwork Reduction Act (PRA). This requirement was
approved by OMB under OMB control number 1910-1400, and this
conversion-factor rule does not constitute a significant change to the
requirement. 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 establishes conversion factors to convert
results from prior efficiency and delivery capacity metrics (and
related energy conservation standard requirements) for consumer and
certain commercial water heaters to the uniform efficiency descriptor.
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 final rule amends
the existing rule without affecting the amount, quality, or
distribution of energy usage, and, therefore, is not expected to 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 has examined this
final rule and has determined that it would not have a substantial
direct effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. EPCA governs
and prescribes Federal preemption of State regulations as to energy
conservation for the products that are the subject of 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. Regarding the review required by section 3(a),
section 3(b) of Executive Order 12988 specifically requires that
Executive agencies make every reasonable effort to ensure that the
regulation: (1) Clearly specifies the preemptive effect, if any; (2)
clearly specifies any effect on existing Federal law or regulation; (3)
provides a clear legal standard for affected conduct while promoting
simplification and burden reduction; (4) specifies the retroactive
effect, if any; (5) adequately defines key terms; and (6) addresses
other important issues affecting clarity and general draftsmanship
under any guidelines issued by the Attorney General. Section 3(c) of
Executive Order 12988 requires Executive agencies to review regulations
in light of applicable standards in sections 3(a) and 3(b) to determine
whether they are met or it is unreasonable to meet one or more of them.
DOE has completed the required review and determined that, to the
extent permitted by law, the 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 likely to result in a rule that may cause the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector of $100 million or more in any one year
(adjusted annually for inflation), section 202 of UMRA requires a
Federal agency
[[Page 96231]]
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 them. On March 18, 1997, DOE published a statement of
policy on its process for intergovernmental consultation under UMRA. 62
FR 12820. (This policy is also available at https://energy.gov/gc/office-general-counsel.) DOE examined this final rule according to UMRA
and its statement of policy and determined that the rule contains
neither an intergovernmental mandate, nor a mandate that may result in
the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector, of $100 million or more in any
year. Accordingly, no further assessment or analysis is required under
UMRA.
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This rule would not have any impact on the autonomy or integrity of the
family as an institution. Accordingly, DOE has concluded that it is not
necessary to prepare a Family Policymaking Assessment.
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 would
not result in any takings that might require compensation under the
Fifth Amendment to the U.S. Constitution.
J. Review Under Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under information quality
guidelines established by each agency pursuant to general guidelines
issued by OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22,
2002), and DOE's guidelines were published at 67 FR 62446 (Oct. 7,
2002). DOE has reviewed 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 OIRA
at OMB, a Statement of Energy Effects for any significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgates or is expected to lead to promulgation of a
final rule, and that: (1) Is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any 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, which develops conversion factors to amend
the energy conservation standards for consumer and certain commercial
water heaters in light of new test procedures is not a significant
regulatory action under Executive Order 12866 or any successor order.
Moreover, it will not have a significant adverse effect on the supply,
distribution, or use of energy, nor has it been designated as a
significant energy action by the Administrator of OIRA. Therefore, it
is not a significant energy action, and, accordingly, DOE has not
prepared a Statement of Energy Effects for this rulemaking.
L. Review Under Section 32 of the Federal Energy Administration Act of
1974
Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91; 42 U.S.C. 7101 et seq.), DOE must comply with all laws
applicable to the former Federal Energy Administration, including
section 32 of the Federal Energy Administration Act of 1974 (Pub. L.
93-275), as amended by the Federal Energy Administration Authorization
Act of 1977 (Pub. L. 95-70). (15 U.S.C. 788; FEAA) Section 32
essentially provides in relevant part that, where a proposed rule
authorizes or requires use of commercial standards, the notice of
proposed rulemaking must inform the public of the use and background of
such standards. In addition, section 32(c) requires DOE to consult with
the Attorney General and the Chairman of the Federal Trade Commission
(FTC) concerning the impact of the commercial or industry standards on
competition.
This final rule to implement conversion factors between the
existing water heaters test procedure and the amended test procedure
does not incorporate testing methods contained in commercial standards.
M. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule before 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, Incorporation by reference, 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.
10 CFR Part 431
Administrative practice and procedure, Confidential business
information, Test procedures, Incorporation by reference, Reporting and
recordkeeping requirements.
Issued in Washington, DC, on December 6, 2016.
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, 430,
and 431 of chapter II subchapter D of title 10, Code of Federal
Regulations as set forth below:
[[Page 96232]]
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; 28 U.S.C. 2461 note.
0
2. Section 429.17 is revised to read as follows:
Sec. 429.17 Water heaters.
(a) Determination of represented value. (1) As of July 13, 2015,
manufacturers must determine the represented value for each new basic
model of water heater by applying an alternative efficiency
determination method (AEDM) in accordance with 10 CFR 429.70 or by
testing for the uniform energy factor, in conjunction with the
applicable sampling provisions as follows:
(i) If the represented value is determined through testing, the
general requirements of 10 CFR 429.11 are applicable; and
(ii) For each basic model selected for testing, a sample of
sufficient size shall be randomly selected and tested to ensure that--
(A) Any represented value of the energy consumption or other
measure of energy use of a basic model for which consumers would favor
lower values shall be greater than or equal to the higher of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR29DE16.005
and, x is the sample mean; n is the number of samples; and
xi is the ith sample;
Or,
(2) The upper 95-percent confidence limit (UCL) of the true mean
divided by 1.10, where
[GRAPHIC] [TIFF OMITTED] TR29DE16.006
And x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t0.95 is the t statistic for a
95-percent one-tailed confidence interval with n-1 degrees of freedom
(from Appendix A).
(B) Any represented value of energy efficiency or other measure of
energy consumption of a basic model for which consumers would favor
higher values shall be less than or equal to the lower of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR29DE16.007
and, x is the sample mean; n is the number of samples; and
xi is the ith sample;
Or,
(2) The lower 95-percent confidence limit (LCL) of the true mean
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR29DE16.008
And x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t0.95 is the t statistic for a
95-percent one-tailed confidence interval with n-1 degrees of freedom
(from Appendix A).
(C) Any represented value of the rated storage volume must be equal
to the mean of the measured storage volumes of all the units within the
sample.
(D) Any represented value of first-hour rating or maximum gallons
per minute (GPM) must be equal to the mean of the measured first-hour
ratings or measured maximum GPM ratings, respectively, of all the units
within the sample.
(2) For basic models initially certified before July 13, 2015
(using either the energy factor test procedure contained in appendix E
to subpart B of 10 CFR part 430 of the January 1, 2015 edition of the
Code of Federal Regulations or the thermal efficiency and standby loss
test procedures contained in 10 CFR 431.106 of the January 1, 2015
edition of the Code of Federal Regulations, in conjunction with
applicable sampling provisions), manufacturers must:
(i) Determine the represented value for each basic model by
applying an AEDM in accordance with 10 CFR 429.70 or by testing for the
uniform energy factor, in conjunction with the applicable sampling
provisions of paragraph (a)(1) of this section; or
(ii) Calculate the uniform energy factor for each test sample by
applying the following mathematical conversion factors to test data
previously obtained through testing according to appendix E to subpart
B of 10 CFR part 430 of the January 1, 2015 edition of the Code of
Federal Regulations or the thermal efficiency and standby loss test
procedures contained in 10 CFR 431.106 of the January 1, 2015, edition
of the Code of Federal Regulations. Represented values of uniform
energy factor, first-hour rating, and maximum GPM rating based on a
calculation using this mathematical conversion factor must be
determined using the applicable sampling provisions in paragraphs
(a)(1)(i) and (ii) of this section.
(A) Calculate the New First Hour Rating (New FHR) or New Max
Gallons per Minute (New Max GPM), as applicable, using the equations
presented in the table in this paragraph.
------------------------------------------------------------------------
Distinguishing
Product class criteria Conversion factor *
------------------------------------------------------------------------
Consumer Gas-fired Water Non-Condensing, New FHR = 7.9592 +
Heater. Standard and Low 0.8752 x FHRP.
NOX.
Non-Condensing, New FHR = 25.0680 +
Ultra-Low NOX. 0.6535 x FHRP.
Condensing....... New FHR = 1.0570 x
FHRP.
Consumer Oil-fired Water N/A.............. New FHR = 0.9102 x
Heater. FHRP.
Consumer Electric Water Heater Electric New FHR = 9.2827 +
Resistance. 0.8092 x FHRP.
Heat Pump........ New FHR = -4.2705 +
0.9947 x FHRP.
Tabletop Water Heater......... N/A.............. New FHR = 41.5127 +
0.1989 x FHRP.
Instantaneous Gas-fired Water N/A.............. New Max GPM = 1.1461
Heater. x Max GPMP.
Instantaneous Electric Water N/A.............. New Max GPM = 1.1461
Heater. x Max GPMP.
Grid-Enabled Water Heater..... N/A.............. New FHR = 9.2827 +
0.8092 x FHRP.
Residential-Duty Commercial N/A.............. New FHR = -35.8233 +
Gas-fired Water Heater. 0.4649 x Vm +
160.5089 x Et.
Residential-Duty Commercial N/A.............. New FHR = -35.8233 +
Oil-fired Water Heater. 0.4649 x Vm +
160.5089 x Et.
[[Page 96233]]
Residential-Duty Commercial N/A.............. New Max GPM = 0.0146
Electric Instantaneous Water + 0.0295 x Q.
Heater.
------------------------------------------------------------------------
FHRP = prior first-hour rating.
Max GPMP = prior maximum GPM rating.
Q = nameplate input rate, in kBtu/h.
Et = thermal efficiency rating.
Vm = measured storage volume in gallons.
(B) Determine the applicable draw pattern as follows:
(1) For consumer gas-fired water heaters, consumer oil-fired water
heaters, consumer electric water heaters, tabletop water heaters, grid-
enabled water heaters, residential-duty commercial gas water heaters,
residential-duty commercial oil-fired water heaters: Use the New FHR
(as defined in paragraph (a)(2)(ii)(A) of this section) to select the
applicable draw pattern from the table in this paragraph:
------------------------------------------------------------------------
New FHR greater than or equal and new FHR less
to: than: Draw pattern
------------------------------------------------------------------------
0 gallons....................... 18 gallons........ Very Small.
18 gallons...................... 51 gallons........ Low.
51 gallons...................... 75 gallons........ Medium.
75 gallons...................... No upper limit.... High.
------------------------------------------------------------------------
(2) For instantaneous gas-fired water heaters, instantaneous
electric water heaters, and residential-duty commercial electric
instantaneous water heaters: Use New Max GPM (as defined in paragraph
(a)(2)(ii)(A) of this section) to select the applicable draw pattern
from the table in this paragraph:
------------------------------------------------------------------------
New max GPM greater than or And new max GPM
equal to: rating less than: Draw pattern
------------------------------------------------------------------------
0 gallons/minute................ 1.7 gallons/minute Very Small.
1.7 gallons/minute.............. 2.8 gallons/minute Low.
2.8 gallons/minute.............. 4 gallons/minute.. Medium.
4 gallons/minute................ No upper limit.... High.
------------------------------------------------------------------------
(C) For consumer electric heat pump water heaters, use the draw
pattern to determine the applicable drawn volume (DV) from the table in
this paragraph:
------------------------------------------------------------------------
Draw pattern DV
------------------------------------------------------------------------
Very Small................................ 10 gallons.
Low....................................... 38 gallons.
Medium.................................... 55 gallons.
High...................................... 84 gallons.
------------------------------------------------------------------------
(D) For each class besides consumer electric heat pump water
heaters, use the applicable equation to calculate: UEFWHAM
(for consumer storage water heaters-except heat pumps),
UEFmodel (for consumer instantaneous water heaters),
UEFrd (for residential-duty commercial storage water
heaters), and UEFrd, model (for residential-duty commercial
electric instantaneous water heaters) as follows:
(1) For consumer storage water heaters (except consumer electric
heat pump water heaters):
[GRAPHIC] [TIFF OMITTED] TR29DE16.009
Where a, b, c, and d are coefficients based on the applicable draw
pattern as specified in the table below; EF is the energy factor;
[eta]r is the recovery efficiency in decimal form; and P is
the input rate in Btu/h.
----------------------------------------------------------------------------------------------------------------
Draw pattern a b c d
----------------------------------------------------------------------------------------------------------------
Very Small...................................... 0.250266 57.5 0.039864 67.5
Low............................................. 0.065860 57.5 0.039864 67.5
Medium.......................................... 0.045503 57.5 0.039864 67.5
High............................................ 0.029794 57.5 0.039864 67.5
----------------------------------------------------------------------------------------------------------------
(2) For consumer instantaneous water heaters:
[[Page 96234]]
[GRAPHIC] [TIFF OMITTED] TR29DE16.010
Where [eta]r is the recovery efficiency expressed in
decimal form and A is dependent upon the applicable draw pattern and
fuel type as specified in the table in this paragraph.
------------------------------------------------------------------------
A
Draw pattern -------------------------------
Electric Gas
------------------------------------------------------------------------
Very Small.............................. 0.003819 0.026915
Low..................................... 0.001549 0.010917
Medium.................................. 0.001186 0.008362
High.................................... 0.000785 0.005534
------------------------------------------------------------------------
(3) For residential-duty commercial storage water heaters:
[GRAPHIC] [TIFF OMITTED] TR29DE16.011
Where P is the input rate in Btu/h; Et is the thermal
efficiency; SL is the standby loss in Btu/h; and F and G are
coefficients as specified in the table in this paragraph based on the
applicable draw pattern.
------------------------------------------------------------------------
Draw pattern F G
------------------------------------------------------------------------
Very Small.............................. 0.821429 0.0043520
Low..................................... 0.821429 0.0011450
Medium.................................. 0.821429 0.0007914
High.................................... 0.821429 0.0005181
------------------------------------------------------------------------
(4) For residential-duty commercial electric instantaneous water
heaters:
[GRAPHIC] [TIFF OMITTED] TR29DE16.012
Where Et is the thermal efficiency expressed in decimal
form and A is dependent upon the applicable draw pattern, as specified
in the table in this paragraph.
------------------------------------------------------------------------
Draw pattern A
------------------------------------------------------------------------
Very Small.............................................. 0.003819
Low..................................................... 0.001549
Medium.................................................. 0.001186
High.................................................... 0.000785
------------------------------------------------------------------------
(E) Calculate the ``New UEF'' (i.e., the converted UEF) using the
applicable equation in the table in this paragraph.
------------------------------------------------------------------------
Distinguishing
Product class criteria Conversion factor
------------------------------------------------------------------------
Consumer Gas-fired Water Non-Condensing, New UEF = -0.0002 +
Heater. Standard and Low 0.9858 x UEFWHAM.
NOX.
Non-Condensing, New UEF = 0.0746 +
Ultra-Low NOX. 0.8653 x UEFWHAM.
Condensing.......... New UEF = 0.4242 +
0.4641 x UEFWHAM.
Consumer Oil-fired Water N/A................. New UEF = -0.0033 +
Heater. 0.9528 x UEFWHAM.
Consumer Electric Water Electric Resistance. New UEF = 0.4774 +
Heater. 0.4740 x UEFWHAM.
Heat Pump........... New UEF = 0.1513 +
0.8407 x EF +
0.0043 x DV.
Tabletop Water Heater....... N/A................. New UEF = -0.3305 +
1.3983 x UEFWHAM.
Instantaneous Gas-fired N/A................. New UEF = 0.1006 +
Water Heater. 0.8622 x UEFmodel.
Instantaneous Electric Water N/A................. New UEF = 0.9847 x
Heater. UEFmodel.
Grid-Enabled Water Heater... N/A................. New UEF = 0.4774 +
0.4740 x UEFWHAM.
Residential-Duty Commercial N/A................. New UEF = -0.0022 +
Gas-fired Water Heater. 1.0002 x UEFrd.
Residential-Duty Commercial N/A................. New UEF = -0.0022 +
Oil-fired Water Heater. 1.0002 x UEFrd.
[[Page 96235]]
Residential-Duty Commercial N/A................. New UEF = UEFrd,
Electric Instantaneous model.
Water Heater.
------------------------------------------------------------------------
New UEF = converted UEF.
EF = Energy Factor.
(b) Certification reports. (1) The requirements of 10 CFR 429.12
apply; and
(2) Pursuant to 10 CFR 429.12(b)(13), a certification report must
include the following public, product-specific information:
(i) For storage-type water heater basic models previously certified
for energy factor pursuant to Sec. 429.17(a) of the January 1, 2015
edition of the Code of Federal Regulations, and for which uniform
energy factor is calculated pursuant to 10 CFR 429.17(a)(2)(ii): The
energy factor (EF, rounded to the nearest 0.01), the uniform energy
factor (UEF, rounded to the nearest 0.01), the rated storage volume in
gallons (gal, rounded to the nearest 1 gal), the uniform energy factor
test procedure first-hour rating in gallons (gal, rounded to the
nearest 1 gal) as determined under paragraph (a)(2)(ii)(A) of this
section, the previously certified first-hour rating under the energy
factor test procedure in gallons (gal, rounded to the nearest 1 gal),
and the recovery efficiency in percent (%, rounded to the nearest 1%);
(ii) For storage-type water heater basic models rated pursuant to
10 CFR 429.17(a)(1) or 10 CFR 429.17(a)(2)(i): The uniform energy
factor (UEF, rounded to the nearest 0.01), the rated storage volume in
gallons (gal, rounded to the nearest 1 gal), the first-hour rating in
gallons (gal, rounded to the nearest 1 gal), and the recovery
efficiency in percent (%, rounded to the nearest 1%);
(iii) For instantaneous-type water heater basic models previously
certified for energy factor pursuant to Sec. 429.17(a) of the January
1, 2015 edition of the Code of Federal Regulations, and for which
uniform energy factor is calculated pursuant to 10 CFR
429.17(a)(2)(ii): The energy factor (EF, rounded to the nearest 0.01),
the uniform energy factor (UEF. rounded to the nearest 0.01), the rated
storage volume in gallons (gal, rounded to the nearest 1 gal), the
uniform energy factor test procedure maximum gallons per minute (gpm,
rounded to the nearest 0.1 gpm) as determined under paragraph
(a)(2)(ii)(A) of this section, the previously certified maximum gallons
per minute (gpm, rounded to the nearest 0.1 gpm) under the energy
factor test procedure, and the recovery efficiency in percent (%,
rounded to the nearest 1%);
(iv) For instantaneous-type water heater basic models rated
pursuant to 10 CFR 429.17(a)(1) or 10 CFR 429.17(a)(2)(i): The uniform
energy factor (UEF, rounded to the nearest 0.01), the rated storage
volume in gallons (gal, rounded to the nearest 1 gal), the maximum
gallons per minute (gpm, rounded to the nearest 0.1 gpm), and the
recovery efficiency in percent (%, rounded to the nearest 1%);
(v) For grid-enabled water heater basic models previously certified
for energy factor pursuant to 10 CFR 429.17(a) of the January 1, 2015
edition of the Code of Federal Regulations, and for which uniform
energy factor is calculated pursuant to 10 CFR 429.17(a)(2)(ii): The
energy factor (EF, rounded to the nearest 0.01), the uniform energy
factor (UEF, rounded to the nearest 0.01), the rated storage volume in
gallons (gal, rounded to the nearest 1 gal), the uniform energy factor
test procedure first-hour rating in gallons (gal, rounded to the
nearest 1 gal) as determined under paragraph (a)(2)(ii)(A) of this
section, the previously certified first-hour rating under the energy
factor test procedure in gallons (gal, rounded to the nearest 1 gal),
the recovery efficiency in percent (%, rounded to the nearest 1%), a
declaration that the model is a grid-enabled water heater, whether it
is equipped at the point of manufacture with an activation lock, and
whether it bears a permanent label applied by the manufacturer that
advises purchasers and end-users of the intended and appropriate use of
the product; and
(vi) For grid-enabled water heater basic models rated pursuant to
10 CFR 429.17(a)(1) or 10 CFR 429.17(a)(2)(i): The uniform energy
factor (UEF, rounded to the nearest 0.01), the rated storage volume in
gallons (gal, rounded to the nearest 1 gal), the first-hour rating in
gallons (gal, rounded to the nearest 1 gal), and the recovery
efficiency in percent (%, rounded to the nearest 1%), a declaration
that the model is a grid-enabled water heater, whether it is equipped
at the point of manufacture with an activation lock, and whether it
bears a permanent label applied by the manufacturer that advises
purchasers and end-users of the intended and appropriate use of the
product.
0
3. Section 429.17 is further revised, effective December 29, 2017, to
read as follows:
Sec. 429.17 Water heaters.
(a) Determination of represented value. (1) Manufacturers must
determine the represented value for each water heater by applying an
AEDM in accordance with 10 CFR 429.70 or by testing for the uniform
energy factor, in conjunction with the applicable sampling provisions
as follows:
(i) If the represented value is determined through testing, the
general requirements of 10 CFR 429.11 are applicable; and
(ii) For each basic model selected for testing, a sample of
sufficient size shall be randomly selected and tested to ensure that--
(A) Any represented value of the estimated annual operating cost or
other measure of energy consumption of a basic model for which
consumers would favor lower values shall be greater than or equal to
the higher of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR29DE16.013
and, x is the sample mean; n is the number of samples; and
xi is the ith sample;
Or,
(2) The upper 95-percent confidence limit (UCL) of the true mean
divided by 1.10, where:
[GRAPHIC] [TIFF OMITTED] TR29DE16.014
And x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t0.95 is the t statistic for a
95-percent one-tailed confidence interval with n-1 degrees of freedom
(from Appendix A).
(B) Any represented value of the uniform energy factor, or other
measure of energy consumption of a basic model for which consumers
would favor higher values shall be less than or equal to the lower of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR29DE16.015
[[Page 96236]]
and, x is the sample mean; n is the number of samples; and
xi is the ith sample;
Or,
(2) The lower 95-percent confidence limit (LCL) of the true mean
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR29DE16.016
And x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t0.95 is the t statistic for a
95-percent one-tailed confidence interval with n-1 degrees of freedom
(from Appendix A).
(C) Any represented value of the rated storage volume must be equal
to the mean of the measured storage volumes of all the units within the
sample.
(D) Any represented value of first-hour rating or maximum gallons
per minute (GPM) must be equal to the mean of the measured first-hour
ratings or measured maximum GPM ratings, respectively, of all the units
within the sample.
(b) Certification reports. (1) The requirements of 10 CFR 429.12
are applicable to water heaters; and
(2) Pursuant to 10 CFR 429.12(b)(13), a certification report shall
include the following public, product-specific information:
(i) For storage-type water heater basic models: The uniform energy
factor (UEF, rounded to the nearest 0.01), the rated storage volume in
gallons (rounded to the nearest 1 gal), the first-hour rating in
gallons (gal, rounded to the nearest 1 gal), and the recovery
efficiency in percent (%, rounded to the nearest 1%);
(ii) For instantaneous-type water heater basic models: The uniform
energy factor (UEF, rounded to the nearest 0.01), the rated storage
volume in gallons (gal, rounded to the nearest 1 gal), the maximum
gallons per minute (gpm, rounded to the nearest 0.1 gpm), and the
recovery efficiency in percent (%, rounded to the nearest 1%); and
(iii) For grid-enabled water heater basic models: The uniform
energy factor (UEF, rounded to the nearest 0.01), the rated storage
volume in gallons (gal, rounded to the nearest 1 gal), the first-hour
rating in gallons (gal, rounded to the nearest 1 gal), the recovery
efficiency in percent (%, rounded to the nearest 1%), a declaration
that the model is a grid-enabled water heater, whether it is equipped
at the point of manufacture with an activation lock, and whether it
bears a permanent label applied by the manufacturer that advises
purchasers and end-users of the intended and appropriate use of the
product.
0
4. Section 429.44 is amended by adding paragraph (d) to read as
follows:
Sec. 429.44 Commercial water heating equipment.
* * * * *
(d) Certification reports for residential-duty commercial water
heaters. (1) The requirements of Sec. 429.12 apply; and
(2) Pursuant to Sec. 429.12(b)(13), a certification report must
include the following public, equipment-specific information:
(i) Residential-duty commercial gas-fired and oil-fired storage
water heaters previously certified for thermal efficiency and standby
loss pursuant to 10 CFR 429.44(b) of the January 1, 2015 edition of the
Code of Federal Regulations, and for which uniform energy factor is
calculated pursuant to 10 CFR 429.17(a)(2)(ii): The thermal efficiency
in percent (%), the standby loss in British thermal units per hour
(Btu/h), the uniform energy factor (UEF, rounded to the nearest 0.01),
the rated storage volume in gallons (gal), and the nameplate input rate
in Btu/h.
(ii) Residential-duty commercial gas-fired and oil-fired storage
water heaters rated for uniform energy factor pursuant to 10 CFR
429.17(a)(2)(i): The uniform energy factor (UEF, rounded to the nearest
0.01), the rated storage volume in gallons (rounded to the nearest 1
gal), the first-hour rating in gallons (gal, rounded to the nearest 1
gal), and the recovery efficiency in percent (%, rounded to the nearest
1%).
(iii) Residential-duty commercial electric instantaneous water
heaters previously certified for thermal efficiency and standby loss
pursuant to 10 CFR 429.44(b) of the January 1, 2015 edition of the Code
of Federal Regulations, and for which uniform energy factor is
calculated pursuant to 10 CFR 429.17(a)(2)(ii): The thermal efficiency
in percent (%), the standby loss in British thermal units per hour
(Btu/h), the uniform energy factor (UEF, rounded to the nearest 0.01),
the rated storage volume in gallons (gal), and the nameplate input rate
in kilowatts (kW).
(iv) Residential-duty commercial electric instantaneous water
heaters rated for uniform energy factor pursuant to 10 CFR
429.17(a)(2)(i): The uniform energy factor (UEF, rounded to the nearest
0.01), the rated storage volume in gallons (gal, rounded to the nearest
1 gal), the maximum gallons per minute (gpm, rounded to the nearest 0.1
gpm), and the recovery efficiency in percent (%, rounded to the nearest
1%)).
* * * * *
0
5. Section 429.44 is further revised, effective December 29, 2017, by
revising paragraph (d)(2) to read as follows:
Sec. 429.44 Commercial water heating equipment.
* * * * *
(d) * * *
(2) Pursuant to Sec. 429.12(b)(13), a certification report for
equipment must include the following public, equipment-specific
information:
(i) Residential-duty commercial gas-fired and oil-fired storage
water heaters: The uniform energy factor (UEF, rounded to the nearest
0.01), the rated storage volume in gallons (gal, rounded to the nearest
1 gal), the first-hour rating in gallons (gal, rounded to the nearest 1
gal), and the recovery efficiency in percent (%, rounded to the nearest
1%).
(ii) Residential-duty commercial electric instantaneous water
heaters: The uniform energy factor (UEF, rounded to the nearest 0.01),
the rated storage volume in gallons (gal, rounded to the nearest 1
gal), the maximum gallons per minute (gpm, rounded to the nearest 0.1
gpm), and the recovery efficiency in percent (%, rounded to the nearest
1%).
* * * * *
0
6. Section 429.134 is amended by revising paragraph (d)(2) to read as
follows:
Sec. 429.134 Product-specific enforcement provisions.
* * * * *
(d) * * *
(2) Verification of rated storage volume. The storage volume of the
basic model will be measured pursuant to the test requirements of
appendix E to subpart B of 10 CFR part 430 for each unit tested. The
mean of the measured values will be compared to the rated storage
volume as certified by the manufacturer. The rated value will be
considered valid only if the measurement is within 3 percent of the
certified rating.
(i) If the rated storage volume is found to be within 3 percent of
the mean of the measured value of storage volume, then the rated value
will be used as the basis for calculation of the required uniform
energy factor for the basic model.
(ii) If the rated storage volume is found to vary more than 3
percent from the mean of the measured values, then the mean of the
measured values will be used as the basis for calculation of the
required uniform energy factor for the basic model.
* * * * *
[[Page 96237]]
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
7. 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
8. Section 430.23 is amended by revising paragraph (e) to read as
follows:
Sec. 430.23 Test procedures for the measurement of energy and water
consumption.
* * * * *
(e) Water heaters. (1) For water heaters tested using energy factor
and for which uniform energy factor is determined using the conversion
factors in accordance with 10 CFR 429.17(a)(2):
(i) The estimated annual operating cost is calculated as--
(A) For a gas-fired or oil-fired water heater, the product of the
annual energy consumption, determined according to section 6.3.7 or
6.4.4 of appendix E of this subpart, times the representative average
unit cost of gas or oil, as appropriate, in dollars per Btu as provided
by the Secretary. Round the resulting product to the nearest dollar per
year.
(B) For an electric water heater, the product of the annual energy
consumption, determined according to section 6.3.7 or 6.4.4 of appendix
E of this subpart, times the representative average unit cost of
electricity in dollars per kilowatt-hour as provided by the Secretary,
divided by 3412 Btu per kilowatt-hour. Round the resulting product to
the nearest dollar per year.
(ii) For an individual unit, determine the tested energy factor in
accordance with section 6.1.7 or 6.2.4 of appendix E to subpart B of 10
CFR part 430 of the January 1, 2015 edition of the Code of Federal
Regulations, and round the value to the nearest 0.01. Determine the
converted uniform energy factor in accordance with 10 CFR 429.17(a)(2),
and round the value to the nearest 0.01.
(2) For water heaters tested using uniform energy factor:
(i) The estimated annual operating cost is calculated as:
(A) For a gas-fired or oil-fired water heater, the sum of: The
product of the annual gas or oil energy consumption, determined
according to section 6.3.9 or 6.4.6 of appendix E of this subpart,
times the representative average unit cost of gas or oil, as
appropriate, in dollars per Btu as provided by the Secretary; plus the
product of the annual electric energy consumption, determined according
to section 6.3.8 or 6.4.5 of appendix E of this subpart, times the
representative average unit cost of electricity in dollars per
kilowatt-hour as provided by the Secretary. Round the resulting sum to
the nearest dollar per year.
(B) For an electric water heater, the product of the annual energy
consumption, determined according to section 6.3.7 or 6.4.4 of appendix
E of this subpart, times the representative average unit cost of
electricity in dollars per kilowatt-hour as provided by the Secretary.
Round the resulting product to the nearest dollar per year.
(ii) For an individual unit, determine the tested uniform energy
factor in accordance with section 6.3.6 or 6.4.3 of appendix E of this
subpart, and round the value to the nearest 0.01.
* * * * *
0
9. Section 430.23 paragraph (e) is further revised, effective December
29, 2017, to read as follows:
Sec. 430.23 Test procedures for the measurement of energy and water
consumption.
* * * * *
(e) Water heaters. (1) The estimated annual operating cost is
calculated as:
(i) For a gas-fired or oil-fired water heater, the sum of: The
product of the annual gas or oil energy consumption, determined
according to section 6.3.9 or 6.4.6 of appendix E of this subpart,
times the representative average unit cost of gas or oil, as
appropriate, in dollars per Btu as provided by the Secretary; plus the
product of the annual electric energy consumption, determined according
to section 6.3.8 or 6.4.5 of appendix E of this subpart, times the
representative average unit cost of electricity in dollars per
kilowatt-hour as provided by the Secretary. Round the resulting sum to
the nearest dollar per year.
(ii) For an electric water heater, the product of the annual energy
consumption, determined according to section 6.3.7 or 6.4.4 of appendix
E of this subpart, times the representative average unit cost of
electricity in dollars per kilowatt-hour as provided by the Secretary.
Round the resulting product to the nearest dollar per year.
(2) For an individual unit, determine the tested uniform energy
factor in accordance with section 6.3.6 or 6.4.3 of appendix E of this
subpart, and round the value to the nearest 0.01.
* * * * *
0
10. Section 430.32 is amended by revising paragraph (d) to read as
follows:
Sec. 430.32 Energy and water conservation standards and their
compliance dates.
* * * * *
(d) Water heaters. The uniform energy factor of water heaters shall
not be less than the following:
----------------------------------------------------------------------------------------------------------------
Rated storage
volume and input
Product class rating (if Draw pattern Uniform energy factor
applicable)
----------------------------------------------------------------------------------------------------------------
Gas-fired Storage Water Heater.. >=20 gal and <=55 Very Small......... 0.3456 - (0.0020 x Vr)
gal.
Low................ 0.5982 - (0.0019 x Vr)
Medium............. 0.6483 - (0.0017 x Vr)
High............... 0.6920 - (0.0013 x Vr)
>55 gal and <=100 Very Small......... 0.6470 - (0.0006 x Vr)
gal.
Low................ 0.7689 - (0.0005 x Vr)
Medium............. 0.7897 - (0.0004 x Vr)
High............... 0.8072 - (0.0003 x Vr)
Oil-fired Storage Water Heater.. <=50 gal........... Very Small......... 0.2509 - (0.0012 x Vr)
Low................ 0.5330 - (0.0016 x Vr)
Medium............. 0.6078 - (0.0016 x Vr)
High............... 0.6815 - (0.0014 x Vr)
Electric Storage Water Heaters.. >=20 gal and <=55 Very Small......... 0.8808 - (0.0008 x Vr)
gal.
Low................ 0.9254 - (0.0003 x Vr)
Medium............. 0.9307 - (0.0002 x Vr)
High............... 0.9349 - (0.0001 x Vr)
>55 gal and <=120 Very Small......... 1.9236 - (0.0011 x Vr)
gal.
Low................ 2.0440 - (0.0011 x Vr)
[[Page 96238]]
Medium............. 2.1171 - (0.0011 x Vr)
High............... 2.2418 - (0.0011 x Vr)
Tabletop Water Heater........... >=20 gal and <=120 Very Small......... 0.6323 - (0.0058 x Vr)
gal.
Low................ 0.9188 - (0.0031 x Vr)
Medium............. 0.9577 - (0.0023 x Vr)
High............... 0.9884 - (0.0016 x Vr)
Instantaneous Gas-fired Water <2 gal and >50,000 Very Small......... 0.80
Heater. Btu/h. Low................ 0.81
Medium............. 0.81
High............... 0.81
Instantaneous Electric Water <2 gal............. Very Small......... 0.91
Heater.
Low................ 0.91
Medium............. 0.91
High............... 0.92
Grid-Enabled Water Heater....... >75 gal............ Very Small......... 1.0136 - (0.0028 x Vr)
Low................ 0.9984 - (0.0014 x Vr)
Medium............. 0.9853 - (0.0010 x Vr)
High............... 0.9720 - (0.0007 x Vr)
----------------------------------------------------------------------------------------------------------------
* Vr is the Rated Storage Volume (in gallons), as determined pursuant to 10 CFR 429.17.
* * * * *
PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND
INDUSTRIAL EQUIPMENT
0
11. The authority citation for part 431 continues to read as follows:
Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.
0
12. Section 431.110 is revised to read as follows:
Sec. 431.110 Energy conservation standards and their effective dates.
(a) Each commercial storage water heater, instantaneous water
heater, unfired hot water storage tank and hot water supply boiler
(excluding residential-duty commercial water heaters) must meet the
applicable energy conservation standard level(s) as specified in the
table in this paragraph. Any packaged boiler that provides service
water that meets the definition of ``commercial packaged boiler'' in
subpart E of this part, but does not meet the definition of ``hot water
supply boiler'' in subpart G, must meet the requirements that apply to
it under subpart E.
----------------------------------------------------------------------------------------------------------------
Energy conservation standard \a\
--------------------------------------------------
Minimum
thermal
efficiency Minimum
Maximum standby (equipment thermal
Equipment category Size loss \c\ manufactured efficiency
(equipment on and after (equipment
manufactured on October 29, manufactured
and after October 2003 and on and after
29, 2003) \b\ before October October 9,
9, 2015) \b\ 2015) \b\ (%)
(%)
----------------------------------------------------------------------------------------------------------------
Electric storage water heaters. All......................... 0.30 + 27/Vm (%/ N/A N/A
hr).
Gas-fired storage water heaters <=155,000 Btu/hr............ Q/800 + 110(Vr)\1/ 80 80
2\ (Btu/hr).
>155,000 Btu/hr............. Q/800 + 110(Vr)\1/ 80 80
2\ (Btu/hr).
Oil-fired storage water heaters <=155,000 Btu/hr............ Q/800 + 110(Vr)\1/ 78 80
2\ (Btu/hr).
>155,000 Btu/hr............. Q/800 + 110(Vr)\1/ 78 80
2\ (Btu/hr).
Gas-fired instantaneous water <10 gal..................... N/A.............. 80 80
heaters and hot water supply >=10 gal.................... Q/800 + 110(Vr)\1/ 80 80
boilers. 2\ (Btu/hr).
Oil-fired instantaneous water <10 gal..................... N/A.............. 80 80
heaters and hot water supply >=10 gal.................... Q/800 + 110(Vr)\1/ 78 78
boilers. 2\ (Btu/hr).
----------------------------------------------------------------------------------------------------------------
Equipment category
Size Minimum thermal insulation
----------------------------------------------------------------------------------------------------------------
Unfired hot water storage tank All.............. R-12.5
----------------------------------------------------------------------------------------------------------------
\a\ Vm is the measured storage volume (in gallons), and Vr is the rated volume (in gallons). Q is the nameplate
input rate in Btu/hr.
\b\ For hot water supply boilers with a capacity of less than 10 gallons: (1) The standards are mandatory for
products manufactured on and after October 21, 2005, and (2) products manufactured prior to that date, and on
or after October 23, 2003, must meet either the standards listed in this table or the applicable standards in
subpart E of this part for a ``commercial packaged boiler.''
\c\ Water heaters and hot water supply boilers having more than 140 gallons of storage capacity need not meet
the standby loss requirement if: (1) The tank surface area is thermally insulated to R-12.5 or more; (2) a
standing pilot light is not used; and (3) for gas or oil-fired storage water heaters, they have a fire damper
or fan-assisted combustion.
(b) Each residential-duty commercial water heater must meet the
applicable energy conservation standard level(s) as follows:
[[Page 96239]]
----------------------------------------------------------------------------------------------------------------
Product class Specifications \a\ Draw pattern Uniform energy factor \b\
----------------------------------------------------------------------------------------------------------------
Gas-fired Storage............... >75 kBtu/hr and Very Small......... 0.2674 - (0.0009 x Vr)
<=105 kBtu/hr and Low................ 0.5362 - (0.0012 x Vr)
<=120 gal.
Medium............. 0.6002 - (0.0011 x Vr)
High............... 0.6597 - (0.0009 x Vr)
Oil-fired Storage............... >105 kBtu/hr and Very Small......... 0.2932 - (0.0015 x Vr)
<=140 kBtu/hr and Low................ 0.5596 - (0.0018 x Vr)
<=120 gal.
Medium............. 0.6194 - (0.0016 x Vr)
High............... 0.6740 - (0.0013 x Vr)
Electric Instantaneous.......... >12 kW and <=58.6 Very Small......... 0.80
kW and <=2 gal.
Low................ 0.80
Medium............. 0.80
High............... 0.80
----------------------------------------------------------------------------------------------------------------
\a\ Additionally, to be classified as a residential-duty commercial water heater, a commercial water heater must
meet the following conditions: (1) if the water heater requires electricity, it must use a single-phase
external power supply; and (2) the water heater must not be designed to heat water to temperatures greater
than 180 [deg]F.
\b\ Vr is the rated storage volume (in gallons), as determined pursuant to 10 CFR 429.44.
[FR Doc. 2016-29994 Filed 12-28-16; 8:45 am]
BILLING CODE 6450-01-P
