[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 1997 Edition]
[From the U.S. Government Printing Office]


          10



          Energy



[[Page i]]

          PARTS 200 TO 499

          Revised as of January 1, 1997
          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT

          AS OF JANUARY 1, 1997
          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration

          as a Special Edition of
          the Federal Register



[[Page ii]]

                                      

               ----------------------------------------------------------
               As of January 1, 1997
               Title 10, Parts 200 to 399 and
               Title 10, Parts 400 to 499
               Revised as of January 1, 1996
               Are Replaced by
               Title 10, Parts 200 to 499
               ----------------------------------------------------------


                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1997



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 10:
    Chapter II--Department of Energy..........................       3
  Finding Aids:
    Material Approved for Incorporation by Reference..........     607
    Table of CFR Titles and Chapters..........................     617
    Alphabetical List of Agencies Appearing in the CFR........     633
    List of CFR Sections Affected.............................     643

[[Page iv]]



      



                                                                                                                
                                  ----------------------------------------------------------                    

   Cite this Code:  CFR                                                         
                                                                                                                
   To cite the regulations in this volume use title, part                       
   and section number. Thus, 10 CFR 202.21 refers to title                     
   10, part 202, section 21.                                                   
                                  ----------------------------------------------------------                    
                                                                                                                


[[Page v]]

                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 1997), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I), and Acts Requiring Publication 
in the Federal Register (Table II). A list of CFR titles, chapters, and 
parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.

[[Page vii]]

    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.
SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO 
Customer Service call 202-512-1803.

                              Richard L. Claypoole,
                                    Director,
                          Office of the Federal Register.

January 1, 1997.



[[Page ix]]



                               THIS TITLE

    Title 10--Energy is composed of four volumes. The parts in these 
volumes are arranged in the following order: parts 0-50, 51-199, 200-499 
and part 500-end. The first and second volumes containing parts 0-199 
are comprised of chapter I-- Nuclear Regulatory Commission. The third 
and fourth volumes containing part 200-end are comprised of chapters II, 
III and X--Department of Energy, chapter XI--United States Enrichment 
Corporation, chapter XV--Office of the Federal Inspector for the Alaska 
Natural Gas Transportation System, and chapter XVII--Defense Nuclear 
Facilities Safety Board. The contents of these volumes represent all 
current regulations codified under this title of the CFR as of January 
1, 1997.

    For this volume, Christopher R. Choate was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

[[Page x]]



 

[[Page 1]]



                            TITLE 10--ENERGY




                  (This book contains parts 200 to 499)

  --------------------------------------------------------------------
                                                                    Part
Chapter ii--Department of Energy............................         202

[[Page 3]]



                    CHAPTER II--DEPARTMENT OF ENERGY




  --------------------------------------------------------------------

                            SUBCHAPTER A--OIL
Part                                                                Page
200-201   [Reserved]
202             Production or disclosure of material or 
                    information.............................           5
205             Administrative procedures and sanctions.....           6
207             Collection of information...................          47
209             International voluntary agreements..........          52
210             General allocation and price rules..........          57
212             Mandatory petroleum price regulations.......          64
215             Collection of foreign oil supply agreement 
                    information.............................          64
216             Materials allocation and priority 
                    performance under contracts or orders to 
                    maximize domestic energy supplies.......          66
218             Standby mandatory international oil 
                    allocation..............................          70
220       [Reserved]
221             Priority supply of crude oil and petroleum 
                    products to the Department of Defense 
                    under the Defense Production Act........          76
                       SUBCHAPTERS B--C [RESERVED]

                    SUBCHAPTER D--ENERGY CONSERVATION

400-417   [Reserved]
420             State energy program........................          80
430             Energy Conservation Program for consumer 
                    products................................          93
435             Energy conservation voluntary performance 
                    standards for new buildings; mandatory 
                    for Federal buildings...................         263
436             Federal energy management and planning 
                    programs................................         497
440             Weatherization assistance for low-income 
                    persons.................................         522
445       [Reserved]
451             Renewable energy production incentives......         543

[[Page 4]]

455             Grant programs for schools and hospitals and 
                    buildings owned by units of local 
                    government and public care institutions.         547
456       [Reserved]
470             Appropriate Technology Small Grants Program.         578
473             Automotive propulsion research and 
                    development.............................         583
474             Electric and Hybrid Vehicle Research, 
                    Development and Demonstration Program; 
                    equivalent petroleum-based fuel economy 
                    calculation.............................         587
490             Alternative fuel transportation program.....         589
491-499   [Reserved]

  Editorial Note: Chapter II--Department of Energy is continued in the 
volume containing 10 CFR part 500 to End.

[[Page 5]]



                            SUBCHAPTER A--OIL





PARTS 200-201--[RESERVED]






PART 202--PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION--Table of Contents




                          Subpart A--[Reserved]

Subpart B--Production or Disclosure in Response to Subpoenas or Demands 
                     of Courts or Other Authorities

202.21  Purpose and scope.
202.22  Production or disclosure prohibited unless approved by 
          appropriate DOE official.
202.23  Procedure in the event of a demand for production or disclosure.
202.24  Final action by the appropriate DOE official.
202.25  Procedure where a decision concerning a demand is not made prior 
          to the time a response to the demand is required.
202.26  Procedure in the event of an adverse ruling.

    Authority: Freedom of Information Act, 5 U.S.C. 552; Emergency 
Petroleum Allocation Act of 1973, Pub. L. 93-159; Federal Energy 
Administration Act of 1974, Pub. L. 93-275, E.O. 11790, 39 FR 23185.



                          Subpart A--[Reserved]



Subpart B--Production or Disclosure in Response to Subpoenas or Demands 
                     of Courts or Other Authorities

    Source: 39 FR 35472, Mar. 13, 1974, unless otherwise noted.



Sec. 202.21   Purpose and scope.

    (a) This subpart sets forth the procedures to be followed when a 
subpoena, order, or other demand (hereinafter referred to as a 
``demand'') of a court or other authority is issued for the production 
or disclosure of (1) any material contained in the files of the 
Department of Energy (DOE), (2) any information relating to material 
contained in the files of the DOE, or (3) any information or material 
acquired by any person while such person was an employee of the DOE as a 
part of the performance of his official duties or because of his 
official status.
    (b) For purposes of this subpart, the term ``Employee of the DOE'' 
includes all officers and employees of the United States appointed by, 
or subject to the supervision, jurisdiction, or control of, the 
Administrator of DOE.



Sec. 202.22   Production or disclosure prohibited unless approved by appropriate DOE official.

    No employee or former employee of the DOE shall, in response to a 
demand of a court or other authority, produce any material contained in 
the file of the DOE or disclose any information relating to material 
contained in the files of the DOE, or disclose any information or 
produce any material acquired as part of the performance of his official 
duties or because of his official status without prior approval of the 
General Counsel of DOE.



Sec. 202.23   Procedure in the event of a demand for production or disclosure.

    (a) Whenever a demand is made upon an employee or former employee of 
the DOE for the production of material or the disclosure of information 
described in Sec. 202.21(a), he shall immediately notify the Regional 
Counsel for the region where the issuing authority is located. The 
Regional Counsel shall immediately request instructions from the General 
Counsel of DOE.
    (b) If oral testimony is sought by the demand, an affidavit, or, if 
that is not feasible, a statement by the party seeking the testimony or 
his attorney, setting forth a summary of the testimony desired, must be 
furnished for submission by the Regional Counsel to the General Counsel.



Sec. 202.24   Final action by the appropriate DOE official.

    If the General Counsel approves a demand for the production of 
material or disclosure of information, he shall so notify the Regional 
Counsel and such other persons as circumstances may warrant.

[[Page 6]]



Sec. 202.25   Procedure where a decision concerning a demand is not made prior to the time a response to the demand is required.

    If response to the demand is required before the instructions from 
the General Counsel are received, a U.S. attorney or DOE attorney 
designated for the purpose shall appear with the employee or former 
employee of the DOE upon whom the demand has been made, and shall 
furnish the court or other authority with a copy of the regulations 
contained in this subpart and inform the court or other authority that 
the demand has been, or is being, as the case may be, referred for the 
prompt consideration of the appropriate DOE official and shall 
respectfully request the court or authority to stay the demand pending 
receipt of the requested instructions.



Sec. 202.26   Procedure in the event of an adverse ruling.

    If the court or other authority declines to stay the effect of the 
demand in response to a request made in accordance with Sec. 202.25 
pending receipt of instructions, of if the court or other authority 
rules that the demand must be complied with irrespective of instructions 
not to produce the material or disclose the information sought, the 
employee or former employee upon whom the demand has been made shall 
respectfully decline to comply with the demand. ``United States ex rel 
Touhy v. Ragen,'' 340 U.S. 462.



PART 205--ADMINISTRATIVE PROCEDURES AND SANCTIONS--Table of Contents




                      Subpart A--General Provisions

Sec.
205.1  Purpose and scope.
205.2  Definitions.
205.3  Appearance before the DOE or a State Office.
205.4  Filing of documents.
205.5  Computation of time.
205.6  Extension of time.
205.7  Service.
205.8  Subpoenas, special report orders, oaths, witnesses.
205.9  General filing requirements.
205.10  Effective date of orders.
205.11  Order of precedence.
205.12  Addresses for filing documents with the DOE.
205.13  Where to file.
205.14  Ratification of prior directives, orders, and actions.
205.15  Public docket room.

                        Subparts B-E--[Reserved]

                        Subpart F--Interpretation

205.80  Purpose and scope.
205.81  What to file.
205.82  Where to file.
205.83  Contents.
205.84  DOE evaluation.
205.85  Decision and effect.
205.86  Appeal.

                        Subparts G-J--[Reserved]

                           Subpart K--Rulings

205.150  Purpose and scope.
205.151  Criteria for issuance.
205.152  Modification or rescission.
205.153  Comments.
205.154  Appeal.

                          Subpart L--[Reserved]

          Subpart M--Conferences, Hearings, and Public Hearings

205.170  Purpose and scope.
205.171  Conferences.
205.172  Hearings.
205.173  Public hearings.

                          Subpart N--[Reserved]

   Subpart O--Notice of Probable Violation, Remedial Order, Notice of 
            Proposed Disallowance, and Order of Disallowance

205.190  Purpose and scope.
205.191  [Reserved]
205.192  Proposed remedial order.
205.192A  Burden of proof.
205.193  Notice of Objection.
205.193A  Submission of ERA supplemental information.
205.194  Participants; official service list.
205.195  Filing and service of all submissions.
205.196  Statement of objections.
205.197  Response to statement of objections; reply.
205.198  Discovery.
205.198A  Protective order.
205.199  Evidentiary hearing.
205.199A  Hearing for the purpose of oral argument only.
205.199B  Remedial order.
205.199C  Appeals of remedial order to FERC.
205.199D--205.199E  [Reserved]
205.199F  Ex parte communications.
205.199G  Extension of time; Interim and Ancillary Orders.

[[Page 7]]

205.199H  Actions not subject to administrative appeal.
205.199I  Remedies.
205.199J  Consent order.

                        Subparts P-T--[Reserved]

           Subpart U--Procedures for Electricity Export Cases

205.260  Purpose and scope.
205.261--205.269  [Reserved]
205.270  Off-the-record communications.

        Subpart V--Special Procedures for Distribution of Refunds

205.280  Purpose and scope.
205.281  Petition for implementation of special refund procedures.
205.282  Evaluation of petition by the Office of Hearings and Appeals.
205.283  Applications for refund.
205.284  Processing of applications.
205.285  Effect of failure to file a timely application.
205.286  Limitations on amount of refunds.
205.287  Escrow accounts, segregated funds and other guarantees.
205.288  Interim and ancillary orders.

  Subpart W--Electric Power System Permits and Reports; Applications; 
                 Administrative Procedures and Sanctions

 Application for Authorization to Transmit Electric Energy to a Foreign 
                                 Country

205.300  Who shall apply.
205.301  Time of filing.
205.302  Contents of application.
205.303  Required exhibits.
205.304  Other information.
205.305  Transferability.
205.306  Authorization not exclusive.
205.307  Form and style; number of copies.
205.308  Filing schedule and annual reports.
205.309  Filing procedures and fees.

   Application for Presidential Permit Authorizing the Construction, 
Connection, Operation, and Maintenance of Facilities for Transmission of 
               Electric Energy at International Boundaries

205.320  Who shall apply.
205.321  Time of filing.
205.322  Contents of application.
205.323  Transferability.
205.324  Form and style; number of copies.
205.325  Annual report.
205.326  Filing procedures and fees.
205.327  Other information.
205.328  Environmental requirements for Presidential Permits--
          Alternative 1.
205.329  Environmental requirements for Presidential Permits--
          Alternative 2.

           Report of Major Electric Utility System Emergencies

205.350  General purpose.
205.351  Reporting requirements.
205.352  Information to be reported.
205.353  Special investigation and reports.

  Emergency Interconnection of Electric Facilities and the Transfer of 
    Electricity to Alleviate an Emergency Shortage of Electric Power

205.370  Applicability.
205.371  Definition of emergency.
205.372  Filing procedures; number of copies.
205.373  Application procedures.
205.374  Responses from ``entities'' designated in the application.
205.375  Guidelines defining inadequate fuel or energy supply.
205.376  Rates and charges.
205.377  Reports.
205.378  Disconnection of temporary facilities.
205.379  Application for approval of the installation of permanent 
          facilities for emergency use only.

    Authority: Emergency Petroleum Allocation Act of 1973, Pub. L. 93-
159; Federal Energy Administration Act of 1974, Pub. L. 93-275 (88 Stat. 
96; E.O. 11790, 39 FR 23185); 42 U.S.C. 7101 et seq., unless otherwise 
noted.

    Source: 39 FR 35489, Oct. 1, 1974, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 205.1  Purpose and scope.

    This part establishes the procedures to be utilized and identifies 
the sanctions that are available in proceedings before the Department of 
Energy and State Offices, in accordance with parts 209 through 214 of 
this chapter. Any exception, exemption, appeal, stay, modification, 
recession, redress or resolution of private grievance sought under the 
authority of 42 U.S.C. 7194 shall be governed by the procedural rules 
set forth in 10 CFR part 1003.

[61 FR 35114, July 5, 1996]



Sec. 205.2   Definitions.

    The definitions set forth in other parts of this chapter shall apply 
to this part, unless otherwise provided. In addition, as used in this 
part, the term:
    Action means an order, interpretation, notice of probable violation 
or ruling issued, or a rulemaking undertaken by the DOE or, as 
appropriate, by a State Office.

[[Page 8]]

    Adjustment means a modification of the base period volume or other 
measure of allocation entitlement in accordance with part 211 of this 
chapter.
    Aggrieved, for purposes of administrative proceedings, describes and 
means a person with an interest sought to be protected under the FEAA, 
EPAA, or Proclamation No. 3279, as amended, who is adversely affected by 
an order or interpretation issued by the DOE or a State Office.
    Appropriate Regional Office or appropriate State Office means the 
office located in the State or DOE region in which the product will be 
physically delivered.
    Assignment means an action designating that an authorized purchaser 
be supplied at a specified entitlement level by a specified supplier.
    Conference means an informal meeting, incident to any proceeding, 
between DOE or State officials and any person aggrieved by that 
proceeding.
    Consent order means a document of agreement between DOE and a person 
prohibiting certain acts, requiring the performance of specific acts or 
including any acts which DOE could prohibit or require pursuant to 
Sec. 205.195.
    Duly authorized representative means a person who has been 
designated to appear before the DOE or a State Office in connection with 
a proceeding on behalf of a person interested in or aggrieved by that 
proceeding. Such appearance may consist of the submission of 
applications, petitions, requests, statements, memoranda of law, other 
documents, or of a personal appearance, verbal communication, or any 
other participation in the proceeding.
    EPAA means the Emergency Petroleum Allocation Act of 1973 (Pub. L. 
93-159).
    EPCA means the Energy Policy and Conservation Act (Pub. L. 94-163).
    Exception means the waiver or modification of the requirements of a 
regulation, ruling or generally applicable requirement under a specific 
set of facts.
    Exemption means the release from the obligation to comply with any 
part or parts, or any subpart thereof, of this chapter.
    DOE means the Department of Energy, created by the FEAA and includes 
the DOE National Office and Regional Offices.
    FEAA means the Federal Energy Administration Act of 1974 (Pub. L. 
93-275).
    Federal legal holiday means New Year's Day, Washington's Birthday, 
Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans' Day, 
Thanksgiving Day, Christmas Day, and any other day appointed as a 
national holiday by the President or the Congress of the United States.
    Interpretation means a written statement issued by the General 
Counsel or his delegate or Regional Counsel, in response to a written 
request, that applies the regulations, rulings, and other precedents 
previously issued, to the particular facts of a prospective or completed 
act or transaction.
    Notice of probable violation means a written statement issued to a 
person by the DOE that states one or more alleged violations of the 
provisions of this chapter or any order issued pursuant thereto.
    Order means a written directive or verbal communication of a written 
directive, if promptly confirmed in writing, issued by the DOE or a 
State Office. It may be issued in response to an application, petition 
or request for DOE action or in response to an appeal from an order, or 
it may be a remedial order or other directive issued by the DOE or a 
State Office on its own initiative. A notice of probable violation is 
not an order. For purposes of this definition a ``written directive'' 
shall include telegrams, telecopies and similar transcriptions.
    Person means any individual, firm, estate, trust, sole 
proprietorship, partnership, association, company, joint-venture, 
corporation, governmental unit or instrumentality thereof, or a 
charitable, educational or other institution, and includes any officer, 
director, owner or duly authorized representative thereof.
    Proceeding means the process and activity, and any part thereof, 
instituted by the DOE or a State Office, either on its own initiative or 
in response to an application, complaint, petition or request submitted 
by a person, that may lead to an action by the DOE or a State Office.

[[Page 9]]

    Remedial order means a directive issued by the DOE requiring a 
person to cease a violation or to eliminate or to compensate for the 
effects of a violation, or both.
    Ruling means an official interpretative statement of general 
applicability issued by the DOE General Counsel and published in the 
Federal Register that applies the DOE regulations to a specific set of 
circumstances.
    State Office means a State Office of Petroleum Allocation certified 
by the DOE upon application pursuant to part 211 of this chapter.
    Throughout this part the use of a word or term in the singular shall 
include the plural and the use of the male gender shall include the 
female gender.

(Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, 
Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. 
L. 94-385; Federal Energy Administration Act of 1974, Pub. L. 93-275, as 
amended, Pub. L. 94-385; Energy Policy and Conservation Act, Pub. L. 94-
163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of 
Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)

[39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36555, Aug. 21, 1975; 40 
FR 36761, Aug. 22, 1975; 41 FR 36647, Aug. 31, 1976; 43 FR 14437, Apr. 
6, 1978]



Sec. 205.3   Appearance before the DOE or a State Office.

    (a) A person may make an appearance, including personal appearances 
in the discretion of the DOE, and participate in any proceeding 
described in this part on his own behalf or by a duly authorized 
representative. Any application, appeal, petition, request or complaint 
filed by a duly authorized representative shall contain a statement by 
such person certifying that he is a duly authorized representative, 
unless a DOE form requires otherwise. Falsification of such 
certification will subject such person to the sanctions stated in 18 
U.S.C. 1001 (1970).
    (b) Suspension and disqualification: The DOE or a State Office may 
deny, temporarily or permanently, the privilege of participating in 
proceedings, including oral presentation, to any individual who is found 
by the DOE--
    (1) To have made false or misleading statements, either verbally or 
in writing;
    (2) To have filed false or materially altered documents, affidavits 
or other writings;
    (3) To lack the specific authority to represent the person seeking a 
DOE or State Office action; or
    (4) To have engaged in or to be engaged in contumacious conduct that 
substantially disrupts a proceeding.



Sec. 205.4   Filing of documents.

    (a) Any document, including, but not limited to, an application, 
request, complaint, petition and other documents submitted in connection 
therewith, filed with the DOE or a State Office under this chapter is 
considered to be filed when it has been received by the DOE National 
Office, a Regional Office or a State Office. Documents transmitted to 
the DOE must be addressed as required by Sec. 205.12. All documents and 
exhibits submitted become part of an DOE or a State Office file and will 
not be returned.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
an appeal, a response to a denial of an appeal or application for 
modification or recision in accordance with Secs. 205.106(a)(3) and 
205.135(a)(3), respectively, a reply to a notice of probable violation, 
the appeal of a remedial order or remedial order for immediate 
compliance, a response to denial of a claim of confidentiality, or a 
comment submitted in connection with any proceeding transmitted by 
registered or certified mail and addressed to the appropriate office is 
considered to be filed upon mailing.
    (c) Hand-delivered documents to be filed with the Office of 
Exceptions and Appeals shall be submitted to Room 8002 at 2000 M Street, 
NW., Washington, D.C. All other hand-delivered documents to be filed 
with the DOE National Office shall be submitted to the Executive 
Secretariat at 12th and Pennsylvania Avenue, NW., Washington, D.C. Hand-
delivered documents to be filed with a Regional Office shall be 
submitted to the Office of the Regional Administrator. Hand-delivered 
documents to be filed with a State Office shall be submitted to the 
office of the chief executive officer of such office.

[[Page 10]]

    (d) Documents received after regular business hours are deemed filed 
on the next regular business day. Regular business hours for the DOE 
National Office are 8 a.m. to 4:30 p.m. Regular business hours for a 
Regional Office or a State Office shall be established independently by 
each.



Sec. 205.5   Computation of time.

    (a) Days. (1) Except as provided in paragraph (b) of this section, 
in computing any period of time prescribed or allowed by these 
regulations or by an order of the DOE or a State Office, the day of the 
act, event, or default from which the designated period of time begins 
to run is not to be included. The last day of the period so computed is 
to be included unless it is a Saturday, Sunday, or Federal legal holiday 
in which event the period runs until the end of the next day that is 
neither a Saturday, Sunday, nor a Federal legal holiday.
    (2) Saturdays, Sundays or intervening Federal legal holidays shall 
be excluded from the computation of time when the period of time allowed 
or prescribed is 7 days or less.
    (b) Hours. If the period of time prescribed in an order issued by 
the DOE or a State Office is stated in hours rather than days, the 
period of time shall begin to run upon actual notice of such order, 
whether by verbal or written communication, to the person directly 
affected, and shall run without interruption, unless otherwise provided 
in the order, or unless the order is stayed, modified, suspended or 
rescinded. When a written order is transmitted by verbal communication, 
the written order shall be served as soon thereafter as is feasible.
    (c) Additional time after service by mail. Whenever a person is 
required to perform an act, to cease and desist therefrom, or to 
initiate a proceeding under this part within a prescribed period of time 
after issuance to such person of an order, notice, interpretation or 
other document and the order, notice, interpretation or other document 
is served by mail, 3 days shall be added to the prescribed period.



Sec. 205.6   Extension of time.

    When a document is required to be filed within a prescribed time, an 
extension of time to file may be granted by the office with which the 
document is required to be filed upon good cause shown.



Sec. 205.7   Service.

    (a) All orders, notices, interpretations or other documents required 
to be served under this part shall be served personally or by registered 
or certified mail or by regular United States mail (only when service is 
effected by the DOE or a State Office), except as otherwise provided.
    (b) Service upon a person's duly authorized representative shall 
constitute service upon that person.
    (c) Service by registered or certified mail is complete upon 
mailing. Official United States Postal Service receipts from such 
registered or certified mailing shall constitute prima facie evidence of 
service.



Sec. 205.8  Subpoenas, special report orders, oaths, witnesses.

    (a) In this section the following terms have the definitions 
indicated unless otherwise provided.
    (1) ``DOE Official'' means the Secretary of the Department of 
Energy, the Administrator of the Economic Regulatory Administration, the 
Administrator of Energy Information Administration, the General Counsel 
of the Department of Energy, the Special Counsel for Compliance, the 
Assistant Administrator for Enforcement, the Director of the Office of 
Hearings and Appeals, or the duly authorized delegate of any of the 
foregoing officials.
    (2) ``SRO'' means a Special Report Order issued pursuant to 
paragraph (b) of this section.
    (b) (1) In accordance with the provisions of this section and as 
otherwise authorized by law, a DOE Official may sign, issue and serve 
subpoenas; administer oaths and affirmations; take sworn testimony; 
compel attendance of and sequester witnesses; control dissemination of 
any record of testimony taken pursuant to this section; subpoena and 
reproduce books, papers, correspondence, memoranda, contracts 
agreements, or other relevant records

[[Page 11]]

or tangible evidence including, but not limited to, information retained 
in computerized or other automated systems in possession of the 
subpoenaed person. Unless otherwise provided by Subpart O, the 
provisions of this section apply to subpoenas issued by the office of 
Hearings and Appeals with respect to matters in proceedings before it.
    (2) A DOE Official may issue a Special Report Order requiring any 
person subject to the jurisdiction of the ERA to file a special report 
providing information relating to DOE regulations, including but not 
limited to written answers to specific questions. The SRO may be in 
addition to any other reports required by this chapter.
    (3) The DOE Official who issues a subpoena or SRO pursuant to this 
section, for good cause shown, may extend the time prescribed for 
compliance with the subpoena or SRO and negotiate and approve the terms 
of satisfactory compliance.
    (4) Prior to the time specified for compliance, but in no event more 
than 10 days after the date of service of the subpoena or SRO, the 
person upon whom the document was served may file a request for review 
of the subpoena or SRO with the DOE Official who issued the document. 
The DOE Official then shall forward the request to his supervisor who 
shall provide notice of receipt to the person requesting review. The 
supervisor or his designee may extend the time prescribed for compliance 
with the subpoena or SRO and negotiate and approve the terms of 
satisfactory compliance.
    (5) If the subpoena or SRO is not modified or rescinded within 10 
days of the date of the supervisor's notice of receipt, (i) the subpoena 
or SRO shall be effective as issued; and (ii) the person upon whom the 
document was served shall comply with the subpoena or SRO within 20 days 
of the date of the supervisor's notice of receipt, unless otherwise 
notified in writing by the supervisor or his designee.
    (6) There is no administrative appeal of a subpoena or SRO.
    (c) (1) A subpoena or SRO shall be served upon a person named in the 
document by delivering a copy of the document to the person named.
    (2) Delivery of a copy of the document to a natural person may be 
made by:
    (i) Handing it to the person;
    (ii) Leaving it at the person's office with the person in charge of 
the office;
    (iii) Leaving it at the person's dwelling or usual place of abode 
with a person of suitable age and discretion who resides there;
    (iv) Mailing it to the person by registered or certified mail, at 
his last known address; or
    (v) Any method that provides the person with actual notice prior to 
the return date of the document.
    (3) Delivery of a copy of the document to a person who is not a 
natural person may be made by:
    (i) Handing it to a registered agent of the person;
    (ii) Handing it to any officer, director, or agent in charge of any 
office of such person;
    (iii) Mailing it to the last known address of any registered agent, 
officer, director, or agent in charge of any office of the person by 
registered or certified mail, or
    (iv) Any method that provides any registered agent, officer, 
director, or agent in charge of any office of the person with actual 
notice of the document prior to the return date of the document.
    (d)(1) A witness subpoenaed by the DOE shall be paid the same fees 
and mileage as paid to a witness in the district courts of the United 
States.
    (2) If in the course of a proceeding conducted pursuant to subpart M 
or O, a subpoena is issued at the request of a person other than an 
officer or agency of the United States, the witness fees and mileage 
shall be paid by the person who requested the subpoena. However, at the 
request of the person, the witness fees and mileage shall be paid by the 
DOE if the person shows:
    (i) The presence of the subpoenaed witness will materially advance 
the proceeding; and
    (ii) The person who requested that the subpoena be issued would 
suffer a serious hardship if required to pay the witness fees and 
mileage. The DOE Official issuing the subpoena shall make the 
determination required by this subsection.

[[Page 12]]

    (e) If any person upon whom a subpoena or SRO is served pursuant to 
this section, refuses or fails to comply with any provision of the 
subpoena or SRO, an action may be commenced in the United States 
District Court to enforce the subpoena or SRO.
    (f) (1) Documents produced in response to a subpoena shall be 
accompanied by the sworn certification, under penalty of perjury, of the 
person to whom the subpoena was directed or his authorized agent that 
(i) a diligent search has been made for each document responsive to the 
subpoena, and (ii) to the best of his knowledge, information, and belief 
each document responsive to the subpoena is being produced unless 
withheld on the grounds of privilege pursuant to paragraph (g) of this 
section.
    (2) Any information furnished in response to an SRO shall be 
accompanied by the sworn certification under penalty of perjury of the 
person to whom it was directed or his authorized agent who actually 
provides the information that (i) a diligent effort has been made to 
provide all information required by the SRO, and (ii) all information 
furnished is true, complete, and correct unless withheld on grounds of 
privilege pursuant to paragraph (g) of this section.
    (3) If any document responsive to a subpoena is not produced or any 
information required by an SRO is not furnished, the certification shall 
include a statement setting forth every reason for failing to comply 
with the subpoena or SRO.
    (g) If a person to whom a subpoena or SRO is directed withholds any 
document or information because of a claim of attorney-client or other 
privilege, the person submitting the certification required by paragraph 
(f) of this section also shall submit a written list of the documents or 
the information withheld indicating a description of each document or 
information, the date of the document, each person shown on the document 
as having received a copy of the document, each person shown on the 
document as having prepared or been sent the document, the privilege 
relied upon as the basis for withholding the document or information, 
and an identification of the person whose privilege is being asserted.
    (h)(1) If testimony is taken pursuant to a subpoena, the DOE 
Official shall determine whether the testimony shall be recorded and the 
means by which the testimony is recorded.
    (2) A witness whose testimony is recorded may procure a copy of his 
testimony by making a written request for a copy and paying the 
appropriate fees. However, the DOE official may deny the request for 
good cause. Upon proper identification, any witness or his attorney has 
the right to inspect the official transcript of the witness' own 
testimony.
    (i) The DOE Official may sequester any person subpoenaed to furnish 
documents or give testimony. Unless permitted by the DOE Official, 
neither a witness nor his attorney shall be present during the 
examination of any other witnesses.
    (j)(1) Any witness whose testimony is taken may be accompanied, 
represented and advised by his attorney as follows:
    (i) Upon the initiative of the attorney or witness, the attorney may 
advise his client, in confidence, with respect to the question asked his 
client, and if the witness refuses to answer any question, the witness 
or his attorney is required to briefly state the legal grounds for such 
refusal; and
    (ii) If the witness claims a privilege to refuse to answer a 
question on the grounds of self-incrimination, the witness must assert 
the privilege personally.
    (k) The DOE Official shall take all necessary action to regulate the 
course of testimony and to avoid delay and prevent or restrain 
contemptuous or obstructionist conduct or contemptuous language. DOE may 
take actions as the circumstances may warrant in

[[Page 13]]

regard to any instances where any attorney refuses to comply with 
directions or provisions of this section.

(Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, 
Pub. L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 
1974, Pub. L. 93-275, as amended, Pub. L. 94-332, Pub. L. 94-385, Pub. 
L. 95-70, and Pub. L. 95-91; Energy Supply and Environmental 
Coordination Act of 1974, Pub. L. 93-319, as amended; Energy Policy and 
Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385, and Pub. 
L. 95-70; Department of Energy Organization Act, Pub. L. 95-91; E.O. 
11790, 39 FR 23185; E.O. 12009, 42 FR 46267)

[44 FR 23201, Apr. 19, 1979]



Sec. 205.9   General filing requirements.

    (a) Purpose and scope. The provisions of this section shall apply to 
all documents required or permitted to be filed with the DOE or with a 
State Office.
    (b) Signing. All applications, petitions, requests, appeals, 
comments or any other documents that are required to be signed, shall be 
signed by the person filing the document or a duly authorized 
representative. Any application, appeal, petition, request, complaint or 
other document filed by a duly authorized representative shall contain a 
statement by such person certifying that he is a duly authorized 
representative, unless an DOE form other wise requires. (A false 
certification is unlawful under the provisions of 18 U.S.C. 1001 
(1970)).
    (c) Labeling. An application, petition, or other request for action 
by the DOE or a State Office should be clearly labeled according to the 
nature of the action involved (e.g., ``Application for Assignment'') 
both on the document and on the outside of the envelope in which the 
document is transmitted.
    (d) Obligation to supply information. A person who files an 
application, petition, complaint, appeal or other request for action is 
under a continuing obligation during the proceeding to provide the DOE 
or a State Office with any new or newly discovered information that is 
relevant to that proceeding. Such information includes, but is not 
limited to, information regarding any other application, petition, 
complaint, appeal or request for action that is subsequently filed by 
that person with any DOE office or State Office.
    (e) The same or related matters. A person who files an application, 
petition, complaint, appeal or other request for action by the DOE or a 
State Office shall state whether, to the best knowledge of that person, 
the same or related issue, act or transaction has been or presently is 
being considered or investigated by any DOE office, other Federal 
agency, department or instrumentality; or by a State Office, a state or 
municipal agency or court; or by any law enforcement agency; including, 
but not limited to, a consideration or investigation in connection with 
any proceeding described in this part. In addition, the person shall 
state whether contact has been made by the person or one acting on his 
behalf with any person who is employed by the DOE or any State Office 
with regard to the same issue, act or transaction or a related issue, 
act or transaction arising out of the same factual situation; the name 
of the person contacted; whether the contact was verbal or in writing; 
the nature and substance of the contact; and the date or dates of the 
contact.
    (f) Request for confidential treatment. (1) If any person filing a 
document with the DOE or a State Office claims that some or all the 
information contained in the document is exempt from the mandatory 
public disclosure requirements of the Freedom of Information Act (5 
U.S.C. 552 (1970)), is information referred to in 18 U.S.C. 1905 (1970), 
or is otherwise exempt by law from public disclosure, and if such person 
requests the DOE or a State Office not to disclose such information, 
such person shall file together wiht the document a second copy of the 
document from which has been deleted the information for which such 
person wishes to claim confidential treatment. The person shall indicate 
in the original document that it is confidential or contains 
confidential information and may file a statement specifying the 
justification for non-disclosure of the information for which 
confidential treatment is claimed. If the person states that the 
information comes within the exception in 5 U.S.C. 552(b)(4) for trade 
secrets and commercial or financial information, such person shall 
include a

[[Page 14]]

statement specifying why such information is privileged or confidential. 
If the person filing a document does not submit a second copy of the 
document with the confidential information deleted, the DOE or a State 
Office may assume that there is no objection to public disclosure of the 
document in its entirety.
    (2) The DOE or a State Office retains the right to make its own 
determination with regard to any claim of confidentiality. Notice of the 
decision by the DOE or a State Office to deny such claim, in whole or in 
part, and an opportunity to respond shall be given to a person claiming 
confidentiality of information no less than five days prior to its 
public disclosure.
    (g) Separate applications, petitions or requests. Each application, 
petition or request for DOE action shall be submitted as a separate 
document, even if the applications, petitions, or requests deal with the 
same or a related issue, act or transaction, or are submitted in 
connection with the same proceeding.



Sec. 205.10   Effective date of orders.

    Any order issued by the DOE or a State Office under this chapter is 
effective as against all persons having actual notice thereof upon 
issuance, in accordance with its terms, unless and until it is stayed, 
modified, suspended, or rescinded. An order is deemed to be issued on 
the date, as specified in the order, on which it is signed by an 
authorized representative of the DOE or a State Office, unless the order 
provides otherwise.



Sec. 205.11   Order of precedence.

    (a) If there is any conflict or inconsistency between the provisions 
of this part and any other provision of this chapter, the provisions of 
this part shall control with respect to procedure.
    (b) Notwithstanding paragraph (a) of this section, subpart I of part 
212 of this chapter shall control with respect to prenotification and 
reporting and subpart J of part 212 of this chapter shall control with 
respect to accounting and financial reporting requirements.



Sec. 205.12   Addresses for filing documents with the DOE.

    (a) All applications, requests, petitions, appeals, reports, DOE or 
FEO forms, written communications and other documents to be submitted to 
or filed with the DOE National Office in accordance with this chapter 
shall be addressed as provided in this section. The DOE National Office 
has facilities for the receipt of transmissions via TWX and FAX. The FAX 
is a 3M full duplex 4 or 6 minute (automatic) machine.

------------------------------------------------------------------------
                FAX Numbers                          TWX Numbers        
------------------------------------------------------------------------
(202) 254-6175............................  (701) 822-9454              
(202) 254-6461............................  (701) 822-9459              
------------------------------------------------------------------------

    (1) Documents for which a specific address and/or code number is not 
provided in accordance with paragraphs (a)(2) through (7) of this 
section, shall be addressed as follows: Department of Energy, Attn: 
(name of person to receive document, if known, or subject), Washington, 
DC 20461.
    (2) Documents to be filed with the Office of Exceptions and Appeals, 
as provided in this part or otherwise, shall be addressed as follows. 
Office of Exceptions and Appeals, Department of Energy, Attn: (name of 
person to receive document, if known, and/or labeling as specified in 
Sec. 205.9(c)), Washington, DC 20461.
    (3) Documents to be filed with the Office of General Counsel, as 
provided in this part or otherwise, shall be addressed as follows: 
Office of the General Counsel, U.S. Department of Energy, Attn: (name of 
person to receive document, if known, and labeling as specified in 
Sec. 205.9(c)), 1000 Independence Avenue, Washington, DC 20585.
    (4) Documents to be filed with the Office of Private Grievances and 
Redress, as provided in this part or otherwise, shall be addressed as 
follows: Office of Private Grievances and Redress, Department of Energy, 
Attn: (name of person to receive document, if known and/or labeling as 
specified in Sec. 205.9(c)), Washington, DC 20461.
    (5) All other documents filed, except those concerning price (see 
paragraph (a)(6) of this section), those designated as DOE or FEO forms 
(see paragraph (a)(7) of this section), and ``Surplus

[[Page 15]]

Product Reports'' (see paragraph (a)(8) of this section), but including 
those pertaining to compliance and allocation (adjustment and 
assignment) of allocated products, are to be identified by one of the 
code numbers stated below and addressed as follows: Department of 
Energy, Code----, labeling as specified in Sec. 205.9(c), Washington, DC 
20461.

                              Code Numbers                              
------------------------------------------------------------------------
                                                                 Code   
------------------------------------------------------------------------
Product:                                                                
  Crude oil.................................................          10
  Naphtha and gas oil.......................................          15
  Propane, butane and natural gasoline......................          25
  Other products............................................          30
  Bunker fuel...............................................          40
  Residual fuel (nonutility)................................          50
  Motor gasoline............................................          60
  Middle distillates........................................          70
  Aviation fuels............................................          80
Submissions by specific entities:                                       
  Electric utilities........................................          45
  Department of Defense.....................................          55
------------------------------------------------------------------------

    (6) Documents pertaining to the price of covered products, except 
those to be submitted to other offices as provided in this part, shall 
be addressed to the Department of Energy, Code 1000, Attn: (name of 
person to receive document, if known, and/or labeling as specified in 
Sec. 205.9(c)), Washington, DC 20461.
    (7) Documents designated as DOE or FEO forms shall be submitted in 
accordance with the instructions stated in the form.
    (8) ``Surplus Product Reports'' shall be submitted to the Department 
of Energy, Post Office Box 19407, Washington, DC 20036.
    (9) Documents to be filed with the Director of Oil Imports, as 
provided in this part or otherwise, shall be addressed as follows: 
Director of Oil Imports, Department of Energy, P.O. Box 7414, 
Washington, DC 20044.
    (10) Petitions for rulemaking to be filed with the Economic 
Regulatory Administration National Office shall be addressed as follows: 
Economic Regulatory Administration, Attn: Assistant Administrator for 
Regulations and Emergency Planning (labeled as ``Petition for 
Rulemaking,'') 2000 M Street, N.W., Washington, DC 20461.
    (b) All reports, applications, requests, notices, complaints, 
written communications and other documents to be submitted to or filed 
with an DOE Regional Office in accordance with this chapter shall be 
directed to one of the following addresses, as appropriate:

                                Region 1

Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont; 
Regional Office, Department of Energy, 150 Causeway Street, Boston, 
Massachusetts 02114.

                                Region 2

New Jersey, New York, Puerto Rico, Virgin Islands; Regional Office, 
Department of Energy, 26 Federal Plaza, New York, New York 10007.

                                Region 3

Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West 
Virginia; Regional Office, Department of Energy, Federal Office 
Building, 1421 Cherry Street, Philadelphia, Pennsylvania 19102.

                                Region 4

Alabama, Canal Zone, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina; Regional Office, Department of Energy, 1655 
Peachtree Street NW., Atlanta, Georgia 30309.

                                Region 5

Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin; Regional 
Office, Department of Energy, 175 West Jackson Street, Chicago, Illinois 
60604.

                                Region 6

Arkansas, Louisiana, New Mexico, Oklahoma, Texas; Regional Office, 
Department of Energy, 212 North Saint Paul Street, Dallas, Texas 75201.

                                Region 7

Iowa, Kansas, Missouri, Nebraska; Regional Office, Department of Energy, 
Federal Office Building, P.O. Box 15000, 112 East 12th Street, Kansas 
City, Missouri 64106.

                                Region 8

Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming; Regional 
Office, Department of Energy, Post Office Box 26247, Belmar Branch, 
Denver, Colorado 80226.

                                Region 9

American Samoa, Arizona, California, Guam, Hawaii, Nevada, Trust 
Territory of the Pacific Islands; Regional Office, Department of Energy, 
111 Pine Street, San Francisco, California 94111.

[[Page 16]]

                                Region 10

Alaska, Idaho, Oregon, Washington; Regional Office, Department of 
Energy, Federal Office Building, 909 First Avenue, Room 3098, Seattle, 
Washington 98104.

(Emergency Petroleum Allocation Act of 1973, 15 U.S.C. 751 et seq., Pub. 
L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, 
Pub. L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 
1974, 15 U.S.C. 787 et seq., Pub. L. 93-275, as amended, Pub. L. 94-332, 
Pub. L. 94-385, Pub. L. 95-70, and Pub. L. 95-91; Energy Policy and 
Conservation Act, 42 U.S.C. 6201 et seq.,  Pub. L. 94-163, as amended, 
Pub. L. 94-385, and Pub. L. 95-70; Department of Energy Organization 
Act, 42 U.S.C. 7101 et seq., Pub. L. 95-91; E.O. 11790, 39 FR 23185; 
E.O. 12009, 42 FR 46267)

[39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36555, Aug. 21, 1975; 45 
FR 37684, June 4, 1980]



Sec. 205.13  Where to file.

    (a) Except as otherwise specifically provided in other subparts of 
this part, all documents to be filed with the ERA pursuant to this part 
shall be filed with the appropriate ERA Regional Office (unless 
otherwise specified in part 211 of this chapter), except that all 
documents shall be filed with the ERA National Office that relate to:
    (1) The allocation and pricing of crude oil pursuant to subpart C of 
part 211 and part 212 of this chapter;
    (2) Refinery yield controls pursuant to subpart C of part 211 of 
this chapter;
    (3) The pricing of propane, butane and natural gasoline pursuant to 
part 212 of this chapter and the allocation of butane and natural 
gasoline pursuant to part 211 of this chapter;
    (4) The allocation and pricing of middle distillate fuels pursuant 
to subpart G of part 211 and part 212 of this chapter, filed by electric 
utilities;
    (5) The allocation and pricing of aviation fuel pursuant to subpart 
H of part 211 and part 212 of this chapter, filed by civil air carriers 
(except air taxi/commercial operators);
    (6) The allocation and pricing of residual fuel oil pursuant to 
subpart I of part 211 and part 212 of this chapter, filed by electric 
utilities;
    (7) The allocation and pricing of naphtha and gas oil pursuant to 
subpart J of part 211 and part 212 of this chapter;
    (8) The allocation and pricing of other products pursuant to subpart 
K of part 211 and part 212 of this chapter;
    (9) An application for an exemption under subpart E of this part; 
requests for a rulemaking proceeding under subpart L of this part or for 
the issuance of a ruling under subpart K of this part; and petitions to 
the Office of Private Grievances and Redress under subpart R of this 
part;
    (10) The pricing of products pursuant to part 212 of this chapter, 
filed by a refiner; and
    (11) The allocation of crude oil and other allocated products to 
meet Department of Defense needs pursuant to part 211 of this chapter.
    (12) The allocation of crude oil and other allocated products to be 
utilized as feedstock in a synthetic natural gas plant, pursuant to 
Sec. 211.29.
    (13) Allocations, fee-paid and fee-exempt licenses issued pursuant 
to part 213 of this chapter.
    (b) Applications by end-users and wholesale purchasers for an 
allocation under the state set-aside system in accordance with 
Sec. 211.17 shall be filed with the appropriate State Office.
    (c) Applications to a State Office or a DOE Regional Office shall be 
directed to the office located in the state or region in which the 
allocated product will be physically delivered. An applicant doing 
business in more than one state or region must apply separately to each 
State or region in which a product will be physically delivered, unless 
the State Offices or Regional Offices involved agree otherwise.

[39 FR 35489, Oct. 1, 1974, as amended at 39 FR 36571, Oct. 11, 1974; 39 
FR 39022, Nov. 5, 1974; 40 FR 28446, July 7, 1975; 40 FR 36555, Aug. 21, 
1975; 44 FR 60648, Oct. 19, 1979]



Sec. 205.14   Ratification of prior directives, orders, and actions.

    All interpretations, orders, notices of probable violation or other 
directives issued, all proceedings initiated, and all other actions 
taken in accordance with part 205 as it existed prior to the effective 
date of this amendment, are hereby confirmed and ratified, and shall 
remain in full force and effect as if issued under this amended part 
205, unless or until they are altered,

[[Page 17]]

amended, modified or rescinded in accordance with the provisions of this 
part.



Sec. 205.15   Public docket room.

    There shall be established at the DOE National Office, 12th and 
Pennsylvania Avenue, NW., Washington, DC, a public docket room in which 
shall be made available for public inspection and copying:
    (a) A list of all persons who have applied for an exception, an 
exemption, or an appeal, and a digest of each application;
    (b) Each decision and statement setting forth the relevant facts and 
legal basis of an order, with confidential information deleted, issued 
in response to an application for an exception or exemption or at the 
conclusion of an appeal;
    (c) The comments received during each rulemaking proceeding, with a 
verbatim transcript of the public hearing if such a public hearing was 
held; and
    (d) Any other information required by statute to be made available 
for public inspection and copying, and any information that the DOE 
determines should be made available to the public.



                        Subparts B-E--[Reserved]



                        Subpart F--Interpretation



Sec. 205.80   Purpose and scope.

    (a) This subpart establishes the procedures for the filing of a 
formal request for an interpretation and for the consideration of such 
request. Responses, which may include verbal or written responses to 
general inquiries or to other than formal written requests for 
interpretation filed with the General Counsel or his delegate or a 
Regional Counsel, are not interpretations and merely provide general 
information.
    (b) A request for interpretation that includes, or could be 
construed to include an application for an exception or an exemption may 
be treated solely as a request for interpretation and processed as such.

(Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, 
Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. 
L. 94-385, Federal Energy Administration Act of 1974, Pub. L. 93-275, as 
amended, Pub. L. 94-385, Energy Policy and Conservation Act, Pub. L. 94-
163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of 
Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)

[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978]



Sec. 205.81   What to file.

    (a) A person filing under this subpart shall file a ``Request for 
Interpretation,'' which should be clearly labeled as such both on the 
request and on the outside of the envelope in which the request is 
transmitted, and shall be in writing and signed by the person filing the 
request. The person filing the request shall comply with the general 
filing requirements stated in Sec. 205.9 in addition to the requirements 
stated in this subpart.
    (b) If the person filing the request wishes to claim confidential 
treatment for any information contained in the request or other 
documents submitted under this subpart, the procedures set out in 
Sec. 205.9(f) shall apply.



Sec. 205.82   Where to file.

    A request for interpretation shall be filed with the General Counsel 
or his delegate or with the appropriate Regional Counsel at the address 
provided in Sec. 205.12.

(Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, 
Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. 
L. 94-385; Federal Energy Administration Act of 1974, Pub. L. 93-275, as 
amended, Pub. L. 94-385; Energy Policy and Conservation Act, Pub. L. 94-
163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of 
Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)

[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978; 43 
FR 17803, Apr. 26, 1978]



Sec. 205.83   Contents.

    (a) The request shall contain a full and complete statement of all 
relevant facts pertaining to the circumstances,

[[Page 18]]

act or transaction that is the subject of the request and to the DOE 
action sought. Such facts shall include the names and addresses of all 
affected persons (if reasonably ascertainable) and a full discussion of 
the pertinent provisions and relevant facts contained in the documents 
submitted with the request. Copies of all relevant contracts, 
agreements, leases, instruments, and other documents shall be submitted 
with the request. When the request pertains to only one step of a larger 
integrated transaction, the facts, circumstances, and other relevant 
information pertaining to the entire transaction must be submitted.
    (b) The request for interpretation shall include a discussion of all 
relevant authorities, including, but not limited to, DOE rulings, 
regulations, interpretations and decisions on appeals and exceptions 
relied upon to support the particular interpretation sought therein.



Sec. 205.84   DOE evaluation.

    (a) Processing. (1) The DOE may initiate an investigation of any 
statement in a request and utilize in its evaluation any relevant facts 
obtained by such investigation. The DOE may accept submissions from 
third persons relevant to any request for interpretation provided that 
the person making the request is afforded an opportunity to respond to 
all third person submissions. In evaluating a request for 
interpretation, the DOE may consider any other source of information. 
The DOE on its own initiative may convene a conference, if, in its 
discretion, it considers that such conference will advance its 
evaluation of the request.
    (2) The DOE shall issue its interpretation on the basis of the 
information provided in the request, unless that information is 
supplemented by other information brought to the attention of the 
General Counsel or a Regional Counsel during the proceeding. The 
interpretation shall, therefore, depend for its authority on the 
accuracy of the factual statement and may be relied upon only to the 
extent that the facts of the actual situation correspond to those upon 
which the interpretation was based.
    (3) If the DOE determines that there is insufficient information 
upon which to base a decision and if upon request additional information 
is not submitted by the person requesting the interpretation, the DOE 
may refuse to issue an interpretation.
    (b) Criteria. (1) The DOE shall base an interpretation on the FEA 
and EPAA and the regulations and published rulings of the DOE as applied 
to the specific factual situation.
    (2) The DOE shall take into consideration previously issued 
interpretations dealing with the same or a related issue.



Sec. 205.85  Decision and effect.

    (a) An interpretation may be issued after consideration of the 
request for interpretation and other relevant information received or 
obtained during the proceeding.
    (b) The interpretation shall contain a statement of the information 
upon which it is based and a legal analysis of and conclusions regarding 
the application of rulings, regulations and other precedent to the 
situation presented in the request.
    (c) Only those persons to whom an interpretation is specifically 
addressed and other persons upon whom the DOE serves the interpretation 
and who are directly involved in the same transaction or act may rely 
upon it. No person entitled to rely upon an interpretation shall be 
subject to civil or criminal penalties stated in subpart P of this part 
for any act taken in reliance upon the interpretation, notwithstanding 
that the interpretation shall thereafter be declared by judicial or 
other competent authority to be invalid.
    (d) An interpretation may be rescinded or modified at any time. 
Rescission or modification may be effected by notifying persons entitled 
to rely on the interpretation that it is rescinded or modified. This 
notification shall include a statement of the reasons for the recision 
or modification and, in the case of a modification, a restatement of the 
interpretation as modified.
    (e) An interpretation is modified by a subsequent amendment to the 
regulations or ruling to the extent that it is

[[Page 19]]

inconsistent with the amended regulation or ruling.
    (f)(1) Any person aggrieved by an interpretation may submit a 
petition for reconsideration to the General Counsel within 30 days of 
service of the interpretation from which the reconsideration is sought. 
There has not been an exhaustion of administrative remedies until a 
period of 30 days from the date of service of the interpretation has 
elapsed without receipt by the General Counsel of a petition for 
reconsideration or, if a petition for reconsideration of the 
interpretation has been filed in a timely manner, until that petition 
has been acted on by the General Counsel. However, a petition to which 
the General Counsel does not respond within 60 days of the date of 
receipt thereof, or within such extended time as the General Counsel may 
prescribe by written notice to the petitioner concerned within that 60 
day period, shall be considered denied.
    (2) A petition for reconsideration may be summarily denied if--
    (i) It is not filed in a timely manner, unless good cause is shown; 
or
    (ii) It is defective on its face for failure to state, and to 
present facts and legal argument in support thereof, that the 
interpretation was erroneous in fact or in law, or that it was arbitrary 
or capricious.
    (3) The General Counsel may deny any petition for reconsideration if 
the petitioner does not establish that--
    (i) The petition was filed by a person aggrieved by an 
interpretation;
    (ii) The interpretation was erroneous in fact or in law; or
    (iii) The interpretation was arbitrary or capricious. The denial of 
a petition shall be a final order of which the petitioner may seek 
judicial review.

(Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, 
Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. 
L. 94-385, Federal Energy Administration Act of 1974, Pub. L. 93-275, as 
amended, Pub. L. 94-385, Energy Policy and Conservation Act, Pub. L. 94-
163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of 
Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)

[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978]



Sec. 205.86  Appeal.

    There is no administrative appeal of an interpretation.

(Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, 
Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. 
L. 94-385, Federal Energy Administration Act of 1974, Pub. L. 93-275, as 
amended, Pub. L. 94-385, Energy Policy and Conservation Act, Pub. L. 94-
163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of 
Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)

[43 FR 14437, Apr. 6, 1978]



                        Subparts G-J--[Reserved]



                           Subpart K--Rulings



Sec. 205.150   Purpose and scope.

    This subpart establishes the criteria for the issuance of 
interpretative rulings by the General Counsel. All rulings shall be 
published in the Federal Register. Any person is entitled to rely upon 
such ruling, to the extent provided in this subpart.



Sec. 205.151   Criteria for issuance.

    (a) A ruling may be issued, in the discretion of the General 
Counsel, whenever there have been a substantial number of inquiries with 
regard to similar factual situations or a particular section of the 
regulations.
    (b) The General Counsel may issue a ruling whenever it is determined 
that it will be of assistance to the public in applying the regulations 
to a specific situation.



Sec. 205.152   Modification or rescission.

    (a) A ruling may be modified or rescinded by:
    (1) Publication of the modification or rescission in the Federal 
Register; or
    (2) A rulemaking proceeding in accordance with subpart L of this 
part.
    (b) Unless and until a ruling is modified or rescinded as provided 
in paragraph (a) of this section, no person shall be subject to the 
sanctions or penalties stated in subpart P of this part for actions 
taken in reliance upon the ruling, notwithstanding that the ruling shall 
thereafter be declared by judicial or other competent authority to be 
invalid. Upon such declaration,

[[Page 20]]

no person shall be entitled to rely upon the ruling.



Sec. 205.153   Comments.

    A written comment on or objection to a published ruling may be filed 
at any time with the General Counsel at the address specified in 
Sec. 205.12.



Sec. 205.154   Appeal.

    There is no administrative appeal of a ruling.



                          Subpart L--[Reserved]



          Subpart M--Conferences, Hearings, and Public Hearings



Sec. 205.170   Purpose and scope.

    This subpart establishes the procedures for requesting and 
conducting a DOE conference, hearing, or public hearing. Such 
proceedings shall be convened in the discretion of the DOE, consistent 
with the requirements of the FEAA.



Sec. 205.171   Conferences.

    (a) The DOE in its discretion may direct that a conference be 
convened, on its own initiative or upon request by a person, when it 
appears that such conference will materially advance the proceeding. The 
determination as to who may attend a conference convened under this 
subpart shall be in the discretion of the DOE, but a conference will 
usually not be open to the public.
    (b) A conference may be requested in connection with any proceeding 
of the DOE by any person who might be aggrieved by that proceeding. The 
request may be made in writing or verbally, but must include a specific 
showing as to why such conference will materially advance the 
proceeding. The request shall be addressed to the DOE office that is 
conducting the proceeding.
    (c) A conference may only be convened after actual notice of the 
time, place, and nature of the conference is provided to the person who 
requested the conference.
    (d) When a conference is convened in accordance with this section, 
each person may present views as to the issue or issues involved. 
Documentary evidence may be presented at the conference, but will be 
treated as if submitted in the regular course of the proceedings. A 
transcript of the conference will not usually be prepared. However, the 
DOE in its discretion may have a verbatim transcript prepared.
    (e) Because a conference is solely for the exchange of views 
incident to a proceeding, there will be no formal reports or findings 
unless the DOE in its discretion determines that such would be 
advisable.



Sec. 205.172   Hearings.

    (a) The DOE in its discretion may direct that a hearing be convened 
on its own initiative or upon request by a person, when it appears that 
such hearing will materially advance the proceedings. The determination 
as to who may attend a hearing convened under this subpart shall be in 
the discretion of DOE, but a hearing will usually not be open to the 
public. Where the hearing involves a matter arising under part 213, the 
Director of Oil Imports shall be notified as to its time and place, in 
order that he or his representative may present views as to the issue or 
issues involved.
    (b) A hearing may only be requested in connection with an 
application for an exception or an appeal. Such request may be by the 
applicant, appellant, or any other person who might be aggrieved by the 
DOE action sought. The request shall be in writing and shall include a 
specific showing as to why such hearing will materially advance the 
proceeding. The request shall be addressed to the DOE office that is 
considering the application for an exception or the appeal.
    (c) The DOE will designate an agency official to conduct the 
hearing, and will specify the time and place for the hearing.
    (d) A hearing may only be convened after actual notice of the time, 
place, and nature of the hearing is provided both to the applicant or 
appellant and to any other person readily identifiable by the DOE as one 
who will be aggrieved by the DOE action involved. The notice shall 
include, as appropriate:

[[Page 21]]

    (1) A statement that such person may participate in the hearing; or
    (2) A statement that such person may request a separate conference 
or hearing regarding the application or appeal.
    (e) When a hearing is convened in accordance with this section, each 
person may present views as to the issue or issues involved. Documentary 
evidence may be presented at the hearing, but will be treated as if 
submitted in the regular course of the proceedings. A transcript of the 
hearing will not usually be prepared. However, the DOE in its discretion 
may have a verbatim transcript prepared.
    (f) The official conducting the hearing may administer oaths and 
affirmations, rule on the presentation of information, receive relevant 
information, dispose of procedural requests, determine the format of the 
hearing, and otherwise regulate the course of the hearing.
    (g) Because a hearing is solely for the exchange of views incident 
to a proceeding, there will be no formal reports or findings unless the 
DOE in its discretion determines that such would be advisable.

[39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36557, Aug. 21, 1975]



Sec. 205.173   Public hearings.

    (a) A public hearing shall be convened incident to a rulemaking:
    (1) When the proposed rule or regulation is likely to have a 
substantial impact on the Nation's economy or large numbers of 
individuals or businesses; or
    (2) When the DOE determines that a public hearing would materially 
advance the consideration of the issue. A public hearing may be 
requested by any interested person in connection with a rulemaking 
proceeding, but shall only be convened on the initiative of the DOE 
unless otherwise required by statute.
    (b) A public hearing may be convened incident to any proceeding when 
the DOE in its discretion determines that such public hearing would 
materially advance the consideration of the issue.
    (c) A public hearing may only be convened after publication of a 
notice in the Federal Register, which shall include a statement of the 
time, place, and nature of the public hearing.
    (d) Interested persons may file a request to participate in the 
public hearing in accordance with the instructions in the notice 
published in the Federal Register. The request shall be in writing and 
signed by the person making the request. It shall include a description 
of the person's interest in the issue or issues involved and of the 
anticipated content of the presentation. It shall also contain a 
statement explaining why the person would be an appropriate spokesperson 
for the particular view expressed.
    (e) The DOE shall appoint a presiding officer to conduct the public 
hearing. An agenda shall be prepared that shall provide, to the extent 
practicable, for the presentation of all relevant views by competent 
spokespersons.
    (f) A verbatim transcript shall be made of the hearing. The 
transcript, together with any written comments submitted in the course 
of the proceeding, shall be made available for public inspection and 
copying in the public docket room, as provided in Sec. 205.15.
    (g) The information presented at the public hearing, together with 
the written comments submitted and other relevant information developed 
during the course of the proceeding, shall provide the basis for the DOE 
decision.



                          Subpart N--[Reserved]



   Subpart O--Notice of Probable Violation, Remedial Order, Notice of 
            Proposed Disallowance, and Order of Disallowance

    Authority: Emergency Petroleum Allocation Act of 1973, Pub. L. 93-
159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 
94-163, and Pub. L. 94-385, Federal Energy Administration Act of 1974, 
Pub. L. 93-275, as amended, Pub. L. 94-332, Pub. L. 94-385, Pub. L. 95-
70, Pub. L. 95-91; Energy Policy and Conservation Act, Pub. L. 94-163, 
as amended, Pub. L. 94-385, Pub. L. 95-70, Department of Energy 
Organization Act, Pub. L. 95-91, as amended, Pub. L. 95-620; E.O. 11790, 
39 FR 23185; E.O. 12009, 42 FR 46267.

    Source: 44 FR 7924, Feb. 7, 1979, unless otherwise noted.

[[Page 22]]



Sec. 205.190  Purpose and scope.

    (a) This subpart establishes the procedures for determining the 
nature and extent of violations of the DOE regulations in parts 210, 
211, and 212 and the procedures for issuance of a Notice of Probable 
Violation, a Proposed Remedial Order, a Remedial Order, an Interim 
Remedial Order for Immediate Compliance, a Remedial Order for Immediate 
Compliance, a Notice of Probable Disallowance, a Proposed Order of 
Disallowance, an Order of Disallowance, or a Consent Order. Nothing in 
these regulations shall affect the authority of DOE enforcement 
officials in coordination with the Department of Justice to initiate 
appropriate civil or criminal enforcement actions in court at any time.
    (b) When any report required by the ERA or any audit or 
investigation discloses, or the ERA otherwise discovers, that there is 
reason to believe a violation of any provision of this chapter, or any 
order issued thereunder, has occurred, is continuing or is about to 
occur, the ERA may conduct an inquiry to determine the nature and extent 
of the violation. A Remedial Order or Order of Disallowance may be 
issued thereafter by the Office of Hearings and Appeals. The ERA may 
commence enforcement proceedings by serving a Notice of Probable 
Violation, a Notice of Probable Disallowance, a Proposed Remedial Order, 
a Proposed Order of Disallowance, or an Interim Remedial Order for 
Immediate Compliance.
Sec. 205.191  [Reserved]



Sec. 205.192  Proposed remedial order.

    (a) If the ERA finds, after the 30-day or other period authorized 
for reply to the Notice of Probable Violation, that a violation has 
occurred, is continuing, or is about to occur, it may issue a Proposed 
Remedial Order, which shall set forth the relevant facts and law.
    (b) The ERA may issue a Proposed Remedial Order at any time it finds 
that a violation has occurred, is continuing, or is about to occur even 
if it has not previously issued a Notice of Probable Violation.
    (c) The ERA shall serve a copy of the Proposed Remedial Order upon 
the person to whom it is directed. The ERA shall promptly publish a 
notice in the Federal Register which states the person to whom the 
Proposed Remedial Order is directed, his address, and the products, 
dollar amounts, time period, and geographical area specified in the 
Proposed Remedial Order. The notice shall indicate that a copy of the 
Proposed Remedial Order with confidential information, if any, deleted 
may be obtained from the ERA and that within 15 days after the date of 
publication any aggrieved person may file a Notice of Objection with the 
Office of Hearings and Appeals of accordance with Sec. 205.193. The ERA 
shall mail copies of the Federal Register notice to all readily 
identifiable persons who are likely to be aggrieved by issuance of the 
Proposed Remedial Order as a final order.
    (d) The Proposed Remedial Order shall set forth the proposed 
findings of fact and conclusions of law upon which it is based. It shall 
also include a discussion of the relevant authorities which support the 
position asserted, including rules, regulations, rulings, 
interpretations and previous decisions issued by DOE or its predecessor 
agencies. The Proposed Remedial Order shall be accompaned by a 
declaration executed by the DOE employee primarily knowledgeable about 
the facts of the case stating that, to the best of declarant's knowledge 
and belief, the findings of fact are correct.
    (e) The ERA may amend or withdraw a Proposed Remedial Order at its 
discretion prior to the date of service of a Statement of Objections in 
that proceeding. The date of service of the amended documents shall be 
considered the date of service of the Proposed Remedial Order in 
calculating the time periods specified in this part 205.



Sec. 205.192A  Burden of proof.

    (a) In a Proposed Remedial Order proceeding the ERA has the burden 
of establishing a prima facie case as to the validity of the findings of 
fact and conclusions of law asserted therein. The ERA shall be deemed to 
meet this burden by the service of a Proposed Remedial Order that meets 
the requirements of Sec. 205.192(d) and any supplemental information 
that may be made available under Sec. 205.193A.

[[Page 23]]

    (b) Once a prima facie case has been established, a person who 
objects to a finding of fact or conclusion of law in the Proposed 
Remedial Order has the burden of going forward with the evidence. 
Furthermore, the proponent of additional factual representations has the 
burden of going forward with the evidence.
    (c) Unless otherwise specified by the Director of the Office of 
Hearings and Appeals or his designee, the proponent of an order or a 
motion or additional factual representations has the ultimate burden of 
persuasion.



Sec. 205.193  Notice of Objection.

    (a) Within 15 days after publication of the notice of a Proposed 
Remedial Order in the Federal Register any aggrieved person may file a 
Notice of Objection to the Proposed Remedial Order with the Office of 
Hearings and Appeals. The Notice shall be filed in duplicate, shall 
briefly describe how the person would be aggrieved by issuance of the 
Proposed Remedial Order as a final order and shall state the person's 
intention to file a Statement of Objections. No confidential information 
shall be included in a Notice of Objection. The DOE shall place one copy 
of the Notice in the Office of Hearings and Appeals Public Docket Room.
    (b) A person who fails to file a timely Notice of Objection shall be 
deemed to have admitted the findings of fact and conclusions of law as 
stated in the Proposed Remedial Order. If a Notice of Objection is not 
filed as provided by paragraph (a) of this section, the Proposed 
Remedial Order may be issued as a final order.
    (c) A person who files a Notice of Objection shall on the same day 
serve a copy of the Notice upon the person to whom the Proposed Remedial 
Order is directed, the DOE Office that issued the Proposed Remedial 
Order, and the DOE Assistant General Counsel for Administrative 
Litigation.
    (d) The Notice shall include a certification of compliance with the 
provisions of this section, the names and addresses of each person 
served with a copy of the Notice, and the date and manner of service.
    (e) If no person files a timely Notice of Objection, ERA may request 
the Office of Hearings and Appeals to issue the Proposed Remedial Order 
as a final Remedial Order.
    (f) In order to exhaust administrative remedies with respect to a 
Remedial Order proceeding, a person must file a timely Notice of 
Objection and Statement of Objections with the Office of Hearings and 
Appeals.



Sec. 205.193A  Submission of ERA supplemental information.

    Within 20 days after service of a Notice of Objection to a Proposed 
Remedial Order the ERA may serve, upon the person to whom the Proposed 
Remedial Order was directed, supplemental information relating to the 
calculations and determinations which support the findings of fact set 
forth in the Proposed Remedial Order.



Sec. 205.194  Participants; official service list.

    (a) Upon receipt of a Notice of Objection, the Office of Hearings 
and Appeals shall publish a notice in the Federal Register which states 
the person to whom the Proposed Remedial Order is directed, his address 
and the products, dollar amounts, time period, and geographical area 
specified in the Proposed Remedial Order. The notice shall state that 
any person who wishes to participate in the proceeding must file an 
appropriate request with the Office of Hearings and Appeals.
    (b) The Office that issued the Proposed Remedial Order and the 
person to whom the Order is directed shall be considered participants 
before the Office of Hearings and Appeals at all stages of an 
enforcement proceeding. Any other person whose interest may be affected 
by the proceeding may file a request to participate in the proceeding 
with the Office of Hearings and Appeals within 20 days after publication 
of the notice referred to in paragraph (a) of this section. The request 
shall contain
    (1) The person's name, address, and telephone number and similar 
information concerning his duly authorized representative, if any;
    (2) A detailed description of the person's interest in the 
proceeding;

[[Page 24]]

    (3) The specific reasons why the person's active involvement in the 
proceeding will substantially contribute to a complete resolution of the 
issues to be considered in the proceeding;
    (4) A statement of the position which the person intends to adopt in 
the proceeding; and
    (5) A statement of the particular aspects of the proceeding, e.g. 
oral argument, submission of briefs, or discovery, in which the person 
wishes to actively participate.
    (c) After considering the requests submitted pursuant to paragraph 
(b) of this section, the Office of Hearings and Appeals shall determine 
those persons who may participate on an active basis in the proceeding 
and the nature of their participation. Participants with similar 
interests may be required to consolidate their submissions and to appear 
in the proceeding through a common representative.
    (d) Within 30 days after publication of the notice referred to in 
paragraph (a) of this section, the Office of Hearings and Appeals shall 
prepare an official service list for the proceeding. Within the same 30 
day period the Office of Hearings and Appeals shall mail the official 
service list to all persons who filed requests to participate. For good 
cause shown a person may be placed on the official service list as a 
non-participant, for the receipt of documents only. An opportunity shall 
be afforded to participants to oppose the placement of a non-participant 
on the official service list.
    (e) A person requesting to participate after the period for 
submitting requests has expired must show good cause for failure to file 
a request within the prescribed time period.
    (f) The Office of Hearings and Appeals may limit the nature of a 
person's participation in the proceeding, if it finds that the facts 
upon which the person's request was based have changed or were incorrect 
when stated or that the person has not been actively participating or 
has engaged in disruptive or dilatory conduct. The action referred to in 
this provision shall be taken only after notice and an opportunity to be 
heard are afforded.



Sec. 205.195  Filing and service of all submissions.

    (a)(1) Statements of Objections, Responses to such Statements, and 
any motions or other documents filed in connection with a proceeding 
shall meet the requirements of Sec. 205.9 and shall be filed with the 
Office of Hearings and Appeals in accordance with Sec. 205.4. Unless 
otherwise specified, any participant may file a response to a motion 
within five days of service.
    (2) All documents shall be filed in duplicate, unless they contain 
confidential information, in which case they must be filed in 
triplicate.
    (3) If a person claims that any portion of a document which he is 
filing contains confidential information, such information should be 
deleted from two of the three copies which are filed. One copy from 
which confidential information has been deleted will be placed in the 
Office of Hearings and Appeals Public Docket Room.
    (b)(1) Persons other than DOE offices shall on the date a submission 
is filed serve each person on the official service list. Service shall 
be made in accordance with Sec. 205.7 and may also be made by deposit in 
the regular United States mail, properly stamped and addressed, when 
accompanied by proof of service consisting of a certificate of counsel 
or an affidavit of the person making the service. If any filing arguably 
contains confidential information, a person may serve copies with the 
confidential information deleted upon all persons on the official 
service list except DOE offices, which shall be served both an original 
filing and one with deletions.
    (2) A DOE office shall on the date it files a submission serve all 
persons on the official service list, unless the filing arguably 
contains confidential information. In that case the DOE office shall 
notify the person to whom the information relates of the opportunity to 
identify and delete the confidential information. The DOE Office may 
delay the service of a submission containing arguably confidential 
information upon all persons other than the possessor of the 
confidential information and other DOE offices up to 14 days. The

[[Page 25]]

possessor of the confidential information shall serve the filing with 
any deletions upon all persons on the official service list within such 
time period.
    (c) Any filing made under this section shall include a certification 
of compliance by the filer with the provisions of this subpart. The 
person serving a document shall file a certificate of service, which 
includes the date and manner of service for each person on the official 
service list.



Sec. 205.196  Statement of objections.

    (a) A person who has filed a Notice of Objection shall file a 
Statement of Objections to a Proposed Remedial Order within 40 days 
after service of the Notice of Objection. A request for an extension of 
time for filing must be submitted in writing and may be granted for good 
cause shown.
    (b) The Statement of Objections shall set forth the bases for the 
objections to the issuance of the Proposed Remedial Order as a final 
order, including a specification of the issues of fact or law which the 
person intends to contest in any further proceeding involving the 
compliance matter which is the subject of the Proposed Remedial Order. 
The Statement shall set forth the findings of fact contained in the 
Proposed Remedial Order which are alleged to be erroneous, the factual 
basis for such allegations, and any alternative findings which are 
sought. The Statement shall include a discussion of all relevant 
authorities which support the position asserted. The Statement may 
include additional factual representations which are not referred to in 
the Proposed Remedial Order and which the person contends are material 
and relevant to the compliance proceeding. For each additional factual 
representation which the person asserts should be made, the Statement 
shall include reasons why the factual representation is relevant and 
material, and the manner in which its validity is or will be 
established. The person shall also specify the manner in which each 
additional issue of fact was raised in any prior administrative 
proceeding which led to issuance of the Proposed Remedial Order, or the 
reasons why it was not raised.
    (c) A Statement of Objections that is filed by the person to whom a 
Proposed Remedial Order is directed shall include a copy of any relevant 
Notice of Probable Violation, each Response thereto, the Proposed 
Remedial Order, and any relevant work papers or supplemental information 
previously provided by ERA. Copies of this material must also be 
included with the copy of the Statement of Objections served upon the 
DOE Assistant General Counsel for Administrative Litigation. All other 
persons on the official service list must be notified that such 
materials are available from the notifier upon written request.



Sec. 205.197  Response to statement of objections; reply.

    (a) Within 30 days after service of a Statement of Objections each 
participant may file a Response. If any motions are served with the 
Statement of Objections, a participant shall have 30 days from the date 
of service to respond to such submissions, notwithstanding any shorter 
time periods otherwise required in this subpart. The Response shall 
contain a full discussion of the position asserted and a discussion of 
the legal and factual bases which support that position. The Response 
may also contain a request that any issue of fact or law advanced in a 
Statement of Objections be dismissed. Any such request shall be 
accompanied by a full discussion of the reasons supporting the 
dismissal.
    (b) A participant may submit a Reply to any Response within 10 days 
after the date of service of the Response.



Sec. 205.198  Discovery.

    (a) If a person intends to file a Motion for Discovery, he must file 
it at the same time that he files his Statement of Objections or at the 
same time he files his Response to a Statement of Objections, whichever 
is earlier. All Motions for Discovery and related filings must be served 
upon the person to whom the discovery is directed. If the person to whom 
the discovery is directed is not on the official service list, the 
documents served upon him shall include a copy of this section, the 
address of the Office of Hearings and Appeals and a statement that 
objections to the Motion may be filed with the Office of Hearings and 
Appeals.

[[Page 26]]

    (b) A Motion for Discovery may request that:
    (1) A person produce for inspection and photocopying non-privileged 
written material in his possession;
    (2) A person respond to written interrogatories;
    (3) A person admit to the genuineness of any relevant document or 
the truth of any relevant fact; or
    (4) The deposition of a material witness be taken.
    (c) A Motion for Discovery shall set forth the reasons why the 
particular discovery is necessary in order to obtain relevant and 
material evidence and shall explain why such discovery would not unduly 
delay the proceeding.
    (d) Within 20 days after a Motion for Discovery is served, a 
participant or a person to whom the discovery is directed may file a 
request that the Motion be denied in whole or in part, stating the 
reasons which support the request.
    (e) Discovery may be conducted only pursuant to an Order issued by 
the Office of Hearings and Appeals. A Motion for Discovery will be 
granted if it is concluded that discovery is necessary for the party to 
obtain relevant and material evidence and that discovery will not unduly 
delay the proceeding. Depositions will be permitted if a convincing 
showing is made that the participant cannot obtain the material sought 
through one of the other discovery means specified in paragraph (b) of 
this section.
    (f) The Director of the Office of Hearings and Appeals or his 
designee may issue subpoenas in accordance with Sec. 205.8 in support of 
Discovery Orders, except that Sec. 205.8 (h)(2), (3), and (4) shall not 
apply to such subpoenas.
    (g) The Office of Hearings and Appeals may order that any direct 
expenses incurred by a person to produce evidence pursuant to a Motion 
for Discovery be charged to the person who filed the Motion.
    (h)(1) If a person fails to comply with an order relating to 
discovery, the Office of Hearings and Appeals may order appropriate 
sanctions.
    (2) It shall be the duty of aggrieved participants to request that 
appropriate relief be fashioned in such situations.
    (i) Any order issued by the Office of Hearings and Appeals with 
respect to discovery shall be subject to further administrative review 
or appeal only upon issuance of the determination referred to in 
Sec. 205.199B.



Sec. 205.198A  Protective order.

    A participant who has unsuccessfully attempted in writing to obtain 
information that another participant claims is confidential may file a 
Motion for Discovery and Protective Order. This motion shall meet the 
requirements of Sec. 205.198 and shall specify the particular 
confidential information that the movant seeks and the reasons why the 
information is necessary to adequately present the movant's position in 
the proceeding. A copy of the written request for information, a 
certification concerning when and to whom it was served and a copy of 
the response, if any, shall be appended to the motion. The motion must 
give the possessor of the information notice that a Response to the 
Motion must be filed within ten days. The Response shall specify the 
safeguards, if any, that should be imposed if the information is ordered 
to be released. The Office of Hearings and Appeals may issue a 
Protective Order upon consideration of the Motion and the Response.



Sec. 205.199  Evidentiary hearing.

    (a) Filing Requirements. At the time a person files a Statement of 
Objections he may also file a motion requesting an evidentiary hearing 
be convened. A motion requesting an evidentiary hearing may be filed by 
any other participant within 30 days after that participant is served 
with a Statement of Objections.
    (b) Contents of Motion for Evidentiary Hearing. A Motion for 
Evidentiary Hearing shall specify each disputed issue of fact and the 
bases for the alternative findings the movant asserts. The movant shall 
also describe the manner in which each disputed issue of fact was raised 
in any prior administrative proceeding which led to issuance of the 
Proposed Remedial Order, or why it was not raised. The movant shall with 
respect to each disputed or alternative finding of fact:

[[Page 27]]

    (1) As specifically as possible, identify the witnesses whose 
testimony is required;
    (2) State the reasons why the testimony of the witnesses is 
necessary; and
    (3) State the reasons why the asserted position can be effectively 
established only through the direct questioning of witnesses at an 
evidentiary hearing.
    (c) Response to Motion for Evidentiary Hearing. Within 20 days after 
service of any Motion for Evidentiary Hearing, the Office that issued 
the Proposed Remedial Order shall, and any other participant may file a 
Response with the Office of Hearings and Appeals. The Response shall 
specify:
    (1) Each particular factual representation which is accepted as 
correct for purposes of the proceeding;
    (2) Each particular factual representation which is denied;
    (3) Each particular factual representation which the participant is 
not in a position to accept or deny;
    (4) Each particular factual representation which is not accepted and 
the participant wishes proven by the submission of evidence;
    (5) Each particular factual representation which the participant is 
prepared to dispute through the testimony of witnesses or the submission 
of verified documents; and
    (6) Each particular factual representation which the participant 
asserts should be dismissed as immaterial or irrelevant.
    (d) Prehearing Conferences. After all submissions with respect to a 
Motion for Evidentiary Hearing are filed, the Office of Hearings and 
Appeals may conduct conferences or hearings to resolve differences of 
view among the participants.
    (e) Decision on Motion for Evidentiary Hearing. After considering 
all relevant information received in connection with the Motion, the 
Office of Hearings and Appeals shall enter an Order. In the Order the 
Office of Hearings and Appeals shall direct that an evidentiary hearing 
be convened if it concludes that a genuine dispute exists as to relevant 
and material issues of fact and an evidentiary hearing would 
substantially assist it in making findings of fact in an effective 
manner. If the Motion for Evidentiary Hearing is granted in whole or in 
part, the Order shall specify the parties to the hearing, any 
limitations on the participation of a party, and the issues of fact set 
forth for the evidentiary hearing. The Order may also require parties 
that have adopted similar positions to consolidate their presentations 
and to appear at the evidentiary hearing through a common 
representative. If the Motion is denied, the Order may allow the movant 
to file affidavits and other documents in support of his asserted 
findings of fact.
    (f) Review of Decision. The Order of the Office of Hearings and 
Appeals with respect to a Motion for Evidentiary Hearing shall be 
subject to further administrative review or appeal only upon issuance of 
the determination referred to in Sec. 205.199B.
    (g) Conduct of Evidentiary Hearing. All evidentiary hearings 
convened pursuant to this section shall be conducted by the Director of 
the Office of Hearings and Appeals or his designee. At any evidentiary 
hearing the parties shall have the opportunity to present material 
evidence which directly relates to a particular issue of fact set forth 
for hearing. The presiding officer shall afford the parties an 
opportunity to cross examine all witnesses. The presiding officer may 
administer oaths and affirmations, rule on objections to the 
presentation of evidence, receive relevant material, rule on any motion 
to conform the Proposed Remedial Order to the evidence presented, rule 
on motions for continuance, dispose of procedural requests, determine 
the format of the hearing, modify any order granting a Motion for 
Evidentiary Hearing, direct that written motions or briefs be provided 
with respect to issues raised during the course of the hearing, issue 
subpoenas, and otherwise regulate the conduct of the hearing. The 
presiding officer may take reasonable measures to exclude duplicative 
material from the hearing, and may place appropriate limitations on the 
number of witnesses that may be called by a party. The presiding officer 
may also require that evidence be submitted through affidavits or other 
documents if the direct testimony of witnesses will unduly delay the 
orderly

[[Page 28]]

progress of the hearing and would not contribute to resolving the issues 
involved in the hearing. The provisions of Sec. 205.8 which relate to 
subpoenas and witness fees shall apply to any evidentiary hearing, 
except that subsection Sec. 205.8(h) (2), (3), and (4) shall not apply.



Sec. 205.199A  Hearing for the purpose of oral argument only.

    (a) A participant is entitled upon timely request to a hearing to 
present oral argument with respect to the Proposed Remedial Order, 
whether or not an evidentiary hearing is requested or convened. A 
participant's request shall normally be considered untimely, if made 
more than 10 days after service of a determination regarding any motion 
filed by the requestor or, if no motions were filed by him, if made 
after the date for filing his Reply or his Response to a Statement of 
Objections.
    (b) If an evidentiary hearing is convened, and a hearing for oral 
argument is requested, the Office of Hearings and Appeals shall 
determine whether the hearing for oral argument shall be held in 
conjunction with the evidentiary hearing or at a separate time.
    (c) A hearing for the purpose of receiving oral argument will 
generally be conducted only after the issues involved in the proceeding 
have been delineated, and any written material which the Office of 
Hearings and Appeals has requested to supplement a Statement of 
Objections or Responses has been submitted. The presiding officer may 
require further written submissions in support of any position advanced 
or issued at the hearing, and shall allow responses any such 
submissions.



Sec. 205.199B  Remedial order.

    (a) After considering all information received during the 
proceeding, the Director of the Office of Hearings and Appeals or his 
designee may issue a final Remedial Order. The Remedial Order may adopt 
the findings and conclusions contained in the Proposed Remedial Order or 
may modify or rescind any such finding or conclusion to conform the 
Order to the evidence or on the basis of a determination that the 
finding or conclusion is erroneous in fact or law or is arbitrary or 
capricious. In the alternative, the Office of Hearings and Appeals may 
determine that no Remedial Order should be issued or may remand all or a 
portion of the Proposed Remedial Order to the issuing DOE office for 
further consideration or modification. Every determination made pursuant 
to this section shall state the relevant facts and legal bases 
supporting the determination.
    (b) The DOE shall serve a copy of any determination issued pursuant 
to paragraph (a) of this section upon the person to whom it is directed, 
any person who was served with a copy of the Proposed Remedial Order, 
the DOE office that issued the Proposed Remedial Order, the DOE 
Assistant General Counsel for Administrative Litigation and any other 
person on the official service list. Appropriate deletions may be made 
in the determinations to ensure that confidentiality of information 
protected from disclosure under 18 U.S.C. 1905 and 5 U.S.C. 552. A copy 
of the determination with appropriate deletions to protect confidential 
and proprietary data shall be placed in the Office of Hearings and 
Appeals Public Docket Room.



Sec. 205.199C  Appeals of remedial order to FERC.

    (a) The person to whom a Remedial Order is issued by the Office of 
Hearings and Appeals may file an administrative appeal if the Remedial 
Order proceeding was initiated by a Notice of Probable Violation issued 
after October 1, 1977, or, in those situations in which no Notice of 
Probable Violation was issued, if the proceeding was initiated by a 
Proposed Remedial Order issued after October 1, 1977.
    (b) Any such appeal must be initiated within 30 days after service 
of the Order by giving written notice to the Office of Hearings and 
Appeals that the person to whom a Remedial Order is issued wishes to 
contest the Order.
    (c) The Office of Hearings and Appeals shall promptly advise the 
Federal Energy Regulatory Commission of its receipt of a notice 
described in paragraph (b) of this section.
    (d) The Office of Hearings and Appeals may, on a case by case basis, 
set reasonable time limits for the Federal

[[Page 29]]

Energy Regulatory Commission to complete its action on such an appeal 
proceeding.
    (e) In order to exhaust administrative remedies, a person who is 
entitled to appeal a Remedial Order issued by the Office of Hearings and 
Appeals must file a timely appeal and await a decision on the merits. 
Any Remedial Order that is not appealed within the 30-day period shall 
become effective as a final Order of the DOE and is not subject to 
review by any court.
Secs. 205.199D--205.199E  [Reserved]



Sec. 205.199F  Ex parte communications.

    (a) No person who is not employed or otherwise supervised by the 
Office of Hearings and Appeals shall submit ex parte communications to 
the Director or any person employed or otherwise supervised by the 
Office with respect to any matter involved in Remedial Order or Order of 
Disallowance proceedings.
    (1) Ex parte communications include any ex parte oral or written 
communications relative to the merits of a Proposed Remedial Order, 
Interim Remedial Order for Immediate Compliance, or Proposed Order of 
Disallowance proceeding pending before the Office of Hearings and 
Appeals. The term shall not, however, include requests for status 
reports, inquiries as to procedures, or the submission of proprietary or 
confidential information. Notice that proprietary or confidential 
submissions have been made shall be given to all persons on the official 
service list.
    (b) If any communication occurs that violates the provisions of this 
section, the Office of Hearings and Appeals shall promptly make the 
substance of the communication available to the public and serve a copy 
of a written communication or a memorandum summarizing an oral 
communication to all participants in the affected proceeding. The Office 
of Hearings and Appeals may also take any other appropriate action to 
mitigate the adverse impact to any person whose interest may be affected 
by the ex parte contact.



Sec. 205.199G  Extension of time; Interim and Ancillary Orders.

    The Director of the Office of Hearings and Appeals or his designee 
may permit upon motion any document or submission referred to in this 
subpart other than appeals to FERC to be amended or withdrawn after it 
has been filed or to be filed within a time period different from that 
specified in this subpart. The Director or his designee may upon motion 
or on his own initiative issue any interim or ancillary Orders, 
reconsider any determinations, or make any rulings or determinations 
that are deemed necessary to ensure that the proceedings specified in 
this subpart are conducted in an appropriate manner and are not unduly 
delayed.



Sec. 205.199H  Actions not subject to administrative appeal.

    A Notice of Probable Violation, Notice of Proposed Disallowance, 
Proposed Remedial Order or Interim Remedial Order for Immediate 
Compliance issued pursuant to this subpart shall not be an action from 
which there may be an administrative appeal pursuant to subpart H. In 
addition, a determination by the Office of Hearings and Appeals that a 
Remedial Order, an Order of Disallowance, or a Remedial Order for 
Immediate Compliance should not be issued shall not be appealable 
pursuant to subpart H.



Sec. 205.199I  Remedies.

    (a) A Remedial Order, a Remedial Order for Immediate Compliance, an 
Order of Disallowance, or a Consent Order may require the person to whom 
it is directed to roll back prices, to make refunds equal to the amount 
(plus interest) charged in excess of those amounts permitted under DOE 
Regulations, to make appropriate compensation to third persons for 
administrative expenses of effectuating appropriate remedies, and to 
take such other action as the DOE determines is necessary to eliminate 
or to compensate for the effects of a violation or any cost disallowance 
pursuant to Sec. 212.83 or Sec. 212.84. Such action may include a 
direction to the person to whom the

[[Page 30]]

Order is issued to establish an escrow account or take other measures to 
make refunds directly to purchasers of the products involved, 
notwithstanding the fact that those purchasers obtained such products 
from an intermediate distributor of such person's products, and may 
require as part of the remedy that the person to whom the Order is 
issued maintain his prices at certain designated levels, notwithstanding 
the presence or absence of other regulatory controls on such person's 
prices. In cases where purchasers cannot be reasonably identified or 
paid or where the amount of each purchaser's overcharge is incapable of 
reasonable determination, the DOE may refund the amounts received in 
such cases directly to the Treasury of the United States on behalf of 
such purchasers.
    (b) The DOE may, when appropriate, issue final Orders ancillary to a 
Remedial Order, Remedial Order for Immediate Compliance, Order of 
Disallowance, or Consent Order requiring that a direct or indirect 
recipient of a refund pass through, by such means as the DOE deems 
appropriate, including those described in paragraph (a) of this section, 
all or a portion of the refund, on a pro rata basis, to those customers 
of the recipient who were adversely affected by the initial overcharge. 
Ancillary Orders may be appealed to the Office of Hearings and Appeals 
only pursuant to subpart H.



Sec. 205.199J  Consent order.

    (a) Notwithstanding any other provision of this subpart, the DOE may 
at any time resolve an outstanding compliance investigation or 
proceeding, or a proceeding involving the disallowance of costs pursuant 
to Sec. 205.199E with a Consent Order. A Consent Order must be signed by 
the person to whom it is issued, or a duly authorized representative, 
and must indicate agreement to the terms contained therein. A Consent 
Order need not constitute an admission by any person that DOE 
regulations have been violated, nor need it constitute a finding by the 
DOE that such person has violated DOE regulations. A Consent Order 
shall, however, set forth the relevant facts which form the basis for 
the Order.
    (b) A Consent Order is a final Order of the DOE having the same 
force and effect as a Remedial Order issued pursuant to Sec. 205.199B or 
an Order of Disallowance issued pursuant to Sec. 205.199E, and may 
require one or more of the remedies authorized by Sec. 205.199I and 
Sec. 212.84(d)(3). A Consent Order becomes effective no sooner than 30 
days after publication under paragraph (c) of this section, unless (1) 
the DOE makes a Consent Order effective immediately, because it 
expressly deems it necessary in the public interest, or (2) the Consent 
Order involves a sum of less than $500,000 in the aggregate, excluding 
penalties and interest, in which case it will be effective when signed 
both by the person to whom it is issued and the DOE, and will not be 
subject to the provisions of paragraph (c) of this section unless the 
DOE determines otherwise. A Consent Order shall not be appealable 
pursuant to the provisions of Sec. 205.199C or Sec. 205.199D and subpart 
H, and shall contain an express waiver of such appeal or judicial review 
rights as might otherwise attach to a final Order of the DOE.
    (c) When a Consent Order has been signed, both by the person to whom 
it is issued and the DOE, the DOE will publish notice of such Consent 
Order in the Federal Register and in a press release to be issued 
simultaneously therewith. The Federal Register notice and the press 
release will state at a minimum the name of the company concerned, a 
brief summary of the Consent Order and other facts or allegations 
relevant thereto, the address and telephone number of the DOE office at 
which copies of the Consent Order will be available free of charge, the 
address to which comments on the Consent Order will be received by the 
DOE, and the date by which such comments should be submitted, which date 
will not be less than 30 days after publication of the Federal Register 
notice. After the expiration of the comment period the DOE may withdraw 
its agreement to the Consent Order, attempt to negotiate a modification 
of the Consent Order, or issue the Consent Order as signed. The DOE will 
publish in the Federal Register, and by press release, notice of any 
action taken on a Consent Order and such explanation of

[[Page 31]]

the action taken as deemed appropriate. The provisions of this paragraph 
shall be applicable notwithstanding the fact that a Consent Order may 
have been made immediately effective pursuant to paragraph (b) of this 
section (except in cases where the Consent Order involves sums of less 
than $500,000 in the aggregate, excluding penalties and interest).
    (d) At any time and in accordance with the procedures of subpart J, 
a Consent Order may be modified or rescinded, upon petition by the 
person to whom the Consent Order was issued, and may be rescinded by the 
DOE upon discovery of new evidence which is materially inconsistent with 
evidence upon which the DOE's acceptance of the Consent Order was based. 
Modifications of a Consent Order which is subject to public comment 
under the provisions of paragraph (c) of this section, which in the 
opinion of the DOE significantly change the terms or the impact of the 
original Order, shall be republished under the provisions of that 
paragraph.
    (e) Notwithstanding the issuance of a Consent Order, the DOE may 
seek civil or criminal penalties or compromise civil penalties pursuant 
to subpart P concerning matters encompassed by the Consent Order, unless 
the Consent Order by its terms expressly precludes the DOE from so 
doing.
    (f) If at any time after a Consent Order becomes effective it 
appears to the DOE that the terms of the Consent Order have been 
violated, the DOE may refer such violations to the Department of Justice 
for appropriate action in accordance with subpart P.



                         Subpart P-T--[Reserved]



           Subpart U--Procedures for Electricity Export Cases

    Authority: Federal Power Act, 41 Stat. 1063, as amended; Executive 
Order 10485, as amended by Executive Order 12038; Federal Energy 
Administration Act of 1974, Pub. L. 93-275, as amended; Pub. L. 94-332, 
Pub. L. 94-385, Pub. L. 95-70, and Pub. L. 95-91; Energy Policy and 
Conservation Act, Pub. L. 95-70; Department of Energy Organization Act, 
Pub. L. 95-91; E.O. 11790, 39 FR 23185; E.O. 12009, 42 FR 46267.

    Source: 49 FR 35315, Sept. 6, 1984, unless otherwise noted.



Sec. 205.260  Purpose and scope.

    (a) The purpose of this section is to state the procedures that will 
be followed by the Economic Regulatory Administration of the Department 
of Energy in electricity export adjudications.
    (b) Definitions.
    As used in this subpart--
    Administrator means the Administrator of the Economic Regulatory 
Administration.
    Decisional employees means the Administrator, presiding officers at 
adjudicatory hearings, and other employees of the Department, including 
consultants and contractors, who are, or may reasonably be expected to 
be, involved in the decision-making process, which includes advising the 
Administrator in resolving the issues in an adjudication. The term does 
not include those employees of the Department performing investigative 
or trial functions in an adjudication, unless they are specifically 
requested by the Administrator or his delegate to participate in the 
decision-making process.
    Department means the Department of Energy.
    Off-the-record communication means an ex parte communication, which 
is an oral or written communication relevant to the merits of an 
adjudication and not on the record and with respect to which reasonable 
prior notice to all participants and opportunity to be present at, or 
respond to, the communication is not given, but does not include a 
communication relating solely to procedures which are not relevant to 
the merits of the adjudication.
    Interested person means a person outside the Department whose 
interest in the adjudication goes beyond the general interest of the 
public as a whole and includes applicants, intervenors, competitors of 
applicants, non-profit and public interest organizations, and other 
individuals and organizations, including state, local and other public 
officials, with a proprietary, financial or other special interest in 
the outcome of the adjudication. The term does not include other federal 
agencies, unless an

[[Page 32]]

agency is a participant in the adjudication.
    Participant means any applicant or intervenor participating in the 
adjudication.
    Adjudication means a formal proceeding employing procedures 
identical or similar to those required by the Administrative Procedure 
Act, as codified in 5 U.S.C. 551, 556, and 557, to consider an 
application to export electricity.
    Reasonable prior notice means 7 days' written notice stating the 
nature and purpose of the communication.
    Relevant to the merits means a communication directly related to the 
merits of a specific adjudication but does not include general 
background discussions about an entire industry or communications of a 
general nature made in the course of developing agency policy for future 
general application.



Secs. 205.261--205.269  [Reserved]



Sec. 205.270  Off-the-record communications.

    (a) In any proceeding which is subject to this subpart--
    (1) No interested person shall make an off-the-record communication 
or knowingly cause an off-the-record communication to be made to any 
decisional employee.
    (2) No decisional employee shall make an off-the-record 
communication or knowingly cause an off-the-record communication to be 
made to any interested person.
    (3) A decisional employee who receives, makes, or knowingly causes 
to be made an oral communication prohibited by this section shall 
prepare a memorandum stating the substance of the communication and any 
responses made to it.
    (4) With 48 hours of receiving, making or knowingly causing to be 
made a communication prohibited by this section, a decisional employee 
shall deliver all written off-the-record communications and all 
memoranda prepared in compliance with paragraph (a)(3) of this section 
to the Director of the Coal and Electricity Division, ERA, who will 
immediately place the materials described above in the public record 
associated with the adjudication, available for public inspection.
    (5) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a participant in violation of this section, the 
Administrator or presiding officer may, to the extent consistent with 
the interests of justice and the applicable statutory policy, require 
the participant to show cause why his or her claim or interest in the 
adjudication should not be dismissed, denied, disregarded, or otherwise 
adversely affected on account of the violation.
    (6) The prohibitions of this section shall apply beginning at the 
time an adjudication is noticed for hearing (or the person responsible 
for the communication acquires knowledge that it will be noticed), a 
protest is filed, or a petition or notice to intervene in opposition to 
the requested Department action is filed, whichever occurs first.
    (b) The prohibition, cited at 18 CFR 1.30(f), against participation 
in the decision-making process by Department employees who perform 
investigative or trial functions in an adjudication, shall no longer be 
applicable to ERA.



        Subpart V--Special Procedures for Distribution of Refunds

    Authority: Economic Stabilization Act of 1970, Pub. L. 92-210; 
Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, 
Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. 
L. 94-385, Federal Energy Administration Act of 1974, Pub. L. 93-275, as 
amended, Pub. L. 94-332, Pub. L. 94-332, Pub. L. 94-385, Pub. L. 95-70, 
Pub. L. 95-91, Energy Policy and Conservation Act, Pub. L. 94-163, as 
amended, Pub. L. 94-385, Pub. L. 95-70; Department of Energy 
Organization Act, Pub. L. 95-91; E.O. 11790, 39 FR 23185; E.O. 12009, 42 
FR 46267.

    Source: 44 FR 8566, Feb. 9, 1979, unless otherwise noted.



Sec. 205.280  Purpose and scope.

    This subpart establishes special procedures pursuant to which 
refunds may be made to injured persons in order to remedy the effects of 
a violation of the regulations of the Department of Energy. This subpart 
shall be applicable

[[Page 33]]

to those situations in which the Department of Energy is unable to 
readily identify persons who are entitled to refunds specified in a 
Remedial Order, a Remedial Order for Immediate Compliance, an Order of 
Disallowance or a Consent Order, or to readily ascertain the amounts 
that such persons are entitled to receive.



Sec. 205.281  Petition for implementation of special refund procedures.

    (a) At any time after the issuance of a Remedial Order (including 
for purposes of this subpart a Remedial Order for Immediate Compliance 
and an Order of Disallowance), or a Consent Order, the Special Counsel 
of the Department of Energy, the ERA Office of Enforcement, or any other 
enforcement official of the Department of Energy may file with the 
Office of Hearings and Appeals a Petition for the Implementation of 
Special Refund Procedures.
    (b) The Petition shall state that the person filing it has been 
unable readily either to identify the persons who are entitled to 
refunds to be remitted pursuant to a Remedial Order or a Consent Order 
or to ascertain the amounts of refunds that such persons are entitled to 
receive. The Petition shall request that the Office of Hearings and 
Appeals institute appropriate proceedings under this Subpart to 
distribute the funds referred to in the enforcement documents.
    (c) The Petition shall contain a copy of each relevant enforcement 
document, shall be filed in duplicate, and shall meet the requirements 
of Sec. 205.9 of this part.



Sec. 205.282  Evaluation of petition by the Office of Hearings and Appeals.

    (a) After considering the Petition, the Director of the Office of 
Hearings and Appeals or his designee shall issue a Proposed Decision and 
Order. The Proposed Decision and Order shall generally describe the 
nature of the particular refund proceeding and shall set forth the 
standards and procedures that the Office of Hearings and Appeals intends 
to apply in evaluating refund claims.
    (b) The Proposed Decision and Order shall be published in the 
Federal Register together with a statement that any member of the public 
may submit written comments to the Office of Hearings and Appeals with 
respect to the matter. At least 30 days following publication in the 
Federal Register shall be provided for the submission of comments.
    (c) After considering the comments submitted, the Director of the 
Office of Hearings and Appeals or his designee shall issue a final 
Decision and Order which shall govern the disposition of the refunds. 
The final Decision and Order shall also be published in the Federal 
Register.
    (d) The final Decision and Order shall set forth the standards and 
procedures that will be used in evaluating individual Applications for 
Refunds and distributing the refund amount. Those standards and 
procedures shall be consistent with the provisions of this subpart.
    (e) In establishing standards and procedures for implementing refund 
distributions, the Office of Hearings and Appeals shall take into 
account the desirability of distributing the refunds in an efficient, 
effective and equitable manner and resolving to the maximum extent 
practicable all outstanding claims. In order to do so, the standards for 
evaluation of individual claims may be based upon appropriate 
presumptions.



Sec. 205.283  Applications for refund.

    (a) Any person entitled to a refund pursuant to a final Decision and 
Order issued pursuant to Sec. 205.282 may file an Application for 
Refund. All Applications must be signed by the applicant and specify the 
DOE order to which they pertain. Any Application for a refund in excess 
of $100 must be file in duplicate, and a copy of that Application will 
be available for public inspection in the DOE Public Docket Room at 2000 
M Street, NW., Washington, DC. Any applicant who believes that his 
Application contains confidential information must so indicate on the 
first page of his Application and submit two additional copies of his 
Application from which the information that the applicant claims is 
confidential has

[[Page 34]]

been deleted, together with a statement specifying why any such 
information is privileged or confidential.
    (b) The contents of an Application for Refund shall be specified in 
the final Decision and Order referred to in Sec. 205.282(c). A filing 
deadline for Applications shall also be specified in the final Decision 
and Order, and shall be no less than 90 days after the publication of 
the Order in the Federal Register.
    (c) Each Application shall be in writing and signed by the 
applicant, and shall indicate whether the applicant or any person acting 
on his instructions has filed or intends to file any other Application 
or claim of whatever nature regarding the matters at issue in the 
underlying enforcement proceeding. Each Application shall also include a 
sworn statement by the applicant that all information in his Application 
is true and correct to the best of his knowledge and belief.



Sec. 205.284  Processing of applications.

    (a) The Director of the Office of Hearings and Appeals may appoint 
an administrator to evaluate Applications under guidelines established 
by the Office of Hearings and Appeals. The administrator, if he is not a 
Federal Government employee, may be compensated from the funds referred 
to in the Remedial Order or Consent Order. The administrator may design 
and distribute an optional application form for the convenience of the 
applicants.
    (b) The Office of Hearings and Appeals or its designee may initiate 
an investigation of any statement made in an Application and may require 
verification of any document submitted in support of a claim. In 
evaluating an Application, the Office of Hearings and Appeals or its 
designee may solicit and consider information obtained from any source 
and may on its own initiative convene a hearing or conference, if it 
determines that a hearing or conference will advance its evaluation of 
an Application.
    (c) The Director of the Office of Hearings and Appeals or his 
designee shall conduct any hearing or conference convened with respect 
to an Application for Refund and shall specify the time and place for 
the hearing or conference and notify the applicant. The official 
conducting the hearing may administer oaths and affirmations, rule on 
the presentation of information, receive relevant information, dispose 
of procedural requests, determine the format of the hearing and 
otherwise regulate the course of the hearing. The provisions of 
Sec. 205.8 of this part which relate to subpoenas and witness fees shall 
apply to any hearing convened with respect to an application for refund, 
except that Sec. 205.8(h) (2), (3) and (4) shall not apply.
    (d) Upon consideration of an Application and other relevant 
information received during the course of a refund proceeding, the 
Director of the Office of Hearings and Appeals or his designee shall 
issue an order granting or denying the Application. The order shall 
contain a concise statement of the relevant facts and the legal basis 
for the order. A copy of the order, with such modification as is 
necessary to ensure the confidentiality of information protected from 
public disclosure by 18 U.S.C. 1905, may be obtained upon request by an 
applicant or any other person who participated in the proceeding.



Sec. 205.285  Effect of failure to file a timely application.

    An Application for Refund must be filed no later than the date that 
the Office of Hearings and Appeals establishes pursuant to 
Sec. 205.283(b). Any Application that is not filed on a timely basis may 
be summarily dismissed. The Office of Hearings and Appeals or its 
designee may, however, grant extensions of time for good cause shown. 
Any request for an extension of time must generally be submitted in 
writing prior to the deadline.



Sec. 205.286  Limitations on amount of refunds.

    (a) The aggregate amount of all refunds approved by the Office of 
Hearings and Appeals or its designee in a given case shall not exceed 
the amount to be remitted pursuant to the relevant DOE enforcement 
order, plus any accumulated interest, reduced by the amount of any 
administrative costs approved by the Office of Hearings and Appeals. In 
the event that the aggregate amount of approved claims exceeds the 
aggregate amount of funds

[[Page 35]]

specified above, the Office of Hearings and Appeals may make refunds on 
a pro rata basis. The Office of Hearings and Appeals may delay payment 
of any refunds until all Applications have been processed.
    (b) The Office of Hearings and Appeals may decline to consider 
Applications for refund amounts that, in view of the direct 
administrative costs involved, are too small to warrant individual 
consideration.



Sec. 205.287  Escrow accounts, segregated funds and other guarantees.

    (a) In implementing the refund procedures specified in this subpart, 
the Director of the Office of Hearings and Appeals or his designee shall 
issue an order providing for the custody of the funds to be tendered 
pursuant to the Remedial Order or Consent Order. This Order may require 
placement of the funds in an appropriate interest-bearing escrow 
account, retention of the funds by the firm in a segregated account 
under such terms and conditions as are specified by the DOE, or the 
posting of a sufficient bond or other guarantee to ensure payment.
    (b) All costs and charges approved by the Office of Hearings and 
Appeals and incurred in connection with the processing of Applications 
for Refund or incurred by an escrow agent shall be paid from the amount 
of funds, including any accumulated interest, to be remitted pursuant to 
the Remedial Order or Consent Order.
    (c) After the expenses referred to in paragraph (b) of this section 
have been satisfied and refunds distributed to successful applicants, 
any remaining funds remitted pursuant to the Remedial Order or Consent 
Order shall be deposited in the United States Treasury or distributed in 
any other manner specified in the Decision and Order referred to in 
Sec. 205.282(c).
    (d) Funds contained in an escrow account, segregated fund, or 
guaranteed by other approved means shall be disbursed only upon written 
order of the Office of Hearings and Appeals.



Sec. 205.288  Interim and ancillary orders.

    The Director of the Office of Hearings and Appeals or his designee 
may issue any interim or ancillary orders, or make any rulings or 
determinations to ensure that refund proceedings, including the actions 
of the administrator and the custodian of the funds involved in a refund 
proceeding, are conducted in an appropriate manner and are not unduly 
delayed.



  Subpart W--Electric Power System Permits and Reports; Applications; 
                 Administrative Procedures and Sanctions

    Authority: Department of Energy Organization Act, Pub. L. No. 95-91, 
91 Stat. 565 (42 U.S.C. Section 7101). Federal Power Act, Pub. L. 66-
280, 41 Stat. 1063 (16 U.S.C. Section 792) et seq., Department of Energy 
Delegation Order No. 0204-4 (42 FR 60726). E.O. 10485, 18 FR 5397, 3 
CFR, 1949-1953, Comp., p. 970 as amended by E.O. 12038, 43 FR 4957, 3 
CFR 1978 Comp., p. 136.

    Source: 45 FR 71560, Oct. 28, 1980; 46 FR 63209, Dec. 31, 1981, 
unless otherwise noted.

(Approved by the Office of Management and Budget under Control No. 1901-
0245)

 Application for Authorization to Transmit Electric Energy to a Foreign 
                                 Country



Sec. 205.300  Who shall apply.

    (a) An electric utility or other entity subject to DOE jurisdiction 
under part II of the Federal Power Act who proposes to transmit any 
electricity from the United States to a foreign country must submit an 
application or be a party to an application submitted by another entity. 
The application shall be submitted to the Office of Utility Systems of 
the Economic Regulatory Administration (EPA).
    (b) In connection with an application under Secs. 205.300 through 
205.309, attention is directed to the provisions of Secs. 205.320 
through 205.327, below, concerning applications for Presidential Permits 
for the construction, connection, operation, or maintenance, at the 
borders of the United States, of facilities for the transmission of 
electric energy between the United States and a foreign country in 
compliance with Executive Order 10485, as amended by Executive Order 
12038.

[[Page 36]]



Sec. 205.301  Time of filing.

    Each application should be made at least six months in advance of 
the initiation of the proposed electricity export, except when otherwise 
permitted by the ERA to resolve an emergency situation.



Sec. 205.302  Contents of application.

    Every application shall contain the following information set forth 
in the order indicated below:
    (a) The exact legal name of the applicant.
    (b) The exact legal name of all partners.
    (c) The name, title, post office address, and telephone number of 
the person to whom correspondence in regard to the application shall be 
addressed.
    (d) The state or territory under the laws of which the applicant is 
organized or incorporated, or authorized to operate. If the applicant is 
authorized to operate in more than one state, all pertinent facts shall 
be included.
    (e) The name and address of any known Federal, State or local 
government agency which may have any jurisdiction over the action to be 
taken in this application and a brief description of that authority.
    (f) A description of the transmission facilities through which the 
electric energy will be delivered to the foreign country, including the 
name of the owners and the location of any remote facilities.
    (g) A technical discussion of the proposed electricity export's 
reliability, fuel use and system stability impact on the applicant's 
present and prospective electric power supply system. Applicant must 
explain why the proposed electricity export will not impair the 
sufficiency of electric supply on its system and why the export will not 
impede or tend to impede the regional coordination of electric utility 
planning or operation.
    (h) The original application shall be signed and verified under oath 
by an officer of the applicant having knowledge of the matters set forth 
therein.



Sec. 205.303  Required exhibits.

    There shall be filed with the application and as a part thereof the 
following exhibits:
    (a) Exhibit A. A copy of the agreement or proposed agreement under 
which the electricity is to be transmitted including a listing of the 
terms and conditions. If this agreement contains proprietary information 
that should not be released to the general public, the applicant must 
identify such data and include a statement explaining why proprietary 
treatment is appropriate.
    (b) Exhibit B. A showing, including a signed opinion of counsel, 
that the proposed export of electricity is within the corporate power of 
the applicant, and that the applicant has complied or will comply with 
all pertinent Federal and State laws.
    (c) Exhibit C. A general map showing the applicant's overall 
electric system and a detailed map highlighting the location of the 
facilities or the proposed facilities to be used for the generation and 
transmission of the electric energy to be exported. The detailed map 
shall identify the location of the proposed border crossing point(s) or 
power transfer point(s) by Presidential Permit number whenever possible.
    (d) Exhibit D. If an applicant resides or has its principal office 
outside the United States, such applicant shall designate, by 
irrevocable power of attorney, an agent residing within the United 
States. A verified copy of such power of attorney shall be furnished 
with the application.
    (e) Exhibit E. A statement of any corporate relationship or existing 
contract between the applicant and any other person, corporation, or 
foreign government, which in any way relates to the control or fixing of 
rates for the purchase, sale or transmission of electric energy.
    (f) Exhibit F. An explanation of the methodology (Operating 
Procedures) to inform neighboring electric utilities in the United 
States of the available capacity and energy which may be in excess of 
the applicant's requirements before delivery of such capacity to the 
foreign purchaser. Approved firm export, diversity exchange and 
emergency exports are exempted from this requirement. Those materials 
required by this section which have been filed previously with the ERA 
may be incorporated by reference.

[[Page 37]]



Sec. 205.304  Other information.

    Where the application is for authority to export less than 1,000,000 
kilowatt hours annually, applicants need not furnish the information 
called for in Secs. 205.302(g) and 205.303 (Exhibit C). Applicants, 
regardless of the amount of electric energy to be exported, may be 
required to furnish such supplemental information as the ERA may deem 
pertinent.



Sec. 205.305  Transferability.

    (a) An authorization to transmit electric energy from the United 
States to a foreign country granted by order of the ERA under section 
202(e) of the Federal Power Act shall not be transferable or assignable. 
Provided written notice is given to the ERA within 30 days, the 
authorization may continue in effect temporarily in the event of the 
involuntary transfer of this authority by operation of law (including 
transfers to receivers, trustees, or purchasers under foreclosure or 
judicial sale). This continuance is contingent on the filing of an 
application for permanent authorization and may be effective until a 
decision is made thereon.
    (b) In the event of a proposed voluntary transfer of this authority 
to export electricity, the transferee and the transferor shall file 
jointly an application pursuant to this subsection, setting forth such 
information as required by Secs. 205.300 through 205.304, together with 
a statement of reasons for the transfer.
    (c) The ERA may at any time subsequent to the original order of 
authorization, after opportunity for hearing, issue such supplemental 
orders as it may find necessary or appropriate.



Sec. 205.306  Authorization not exclusive.

    No authorization granted pursuant to section 202(e) of the Act shall 
be deemed to prevent an authorization from being granted to any other 
person or entity to export electric energy or to prevent any other 
person or entity from making application for an export authorization.



Sec. 205.307  Form and style; number of copies

    An original and two conformed copies of an application containing 
the information required under Secs. 205.300 through 205.309 must be 
filed.



Sec. 205.308  Filing schedule and annual reports.

    (a) Persons authorized to transmit electric energy from the United 
States shall promptly file all supplements, notices of succession in 
ownership or operation, notices of cancellation, and certificates of 
concurrence. In general, these documents should be filed at least 30 
days prior to the effective date of any change.
    (b) A change in the tariff arrangement does not require an amendment 
to the authorization. However, any entity with an authorization to 
export electric energy shall file with the ERA, and the appropriate 
state regulatory agency, a certified copy of any changed rate schedule 
and terms. Such changes may take effect upon the date of filing of 
informational data with the ERA.
    (c) Persons receiving authorization to transmit electric energy from 
the United States shall submit to the ERA, by February 15 each year, a 
report covering each month of the preceding calendar year detailing the 
gross amount of kilowatt-hours of energy, by authorized category, 
received or delivered, and the cost and revenue associated with each 
category.

(Approved by the Office of Management and Budget under Control No. 1901-
0245)

[45 FR 71560, Oct. 28, 1980, as amended at 46 FR 63209, Dec. 31, 1981]



Sec. 205.309  Filing procedures and fees.

    Applications shall be addressed to the Office of Utility Systems of 
the Economic Regulatory Administration. Every application shall be 
accompanied by a fee of $500.00. Fee payment shall be by check, draft, 
or money order payable to the Treasurer of the United States. Copies of 
applications and notifications of rate changes shall be furnished to the 
Federal Energy Regulatory Commission and all affected State public 
utility regulatory agencies.

[[Page 38]]

   Application for Presidential Permit Authorizing the Construction, 
Connection, Operation, and Maintenance of Facilities for Transmission of 
               Electric Energy at International Boundaries



Sec. 205.320  Who shall apply.

    (a) Any person, firm, co-operative, corporation or other entity who 
operates an electric power transmission or distribution facility 
crossing the border of the United States, for the transmission of 
electric energy between the United States and a foreign country, shall 
have a Presidential Permit, in compliance with Executive Order 10485, as 
amended by Executive Order 12038. Such applications should be filed with 
the Office of Utility Systems of the Economic Regulatory Administration.

    Note: E.O. 12038, dated February 3, 1978, amended E.O. 10485, dated 
September 3, 1953, to delete the words ``Federal Power Commission'' and 
``Commission'' and substitute for each ``Secretary of Energy.'' E.O. 
10485 revoked and superseded E.O. 8202, dated July 13, 1939.

    (b) In connection with applications hereunder, attention is directed 
to the provisions of Secs. 205.300 to 205.309, above, concerning 
applications for authorization to transmit electric energy from the 
United States to a foreign country pursuant to section 202(e) of the 
Federal Power Act.



Sec. 205.321  Time of filing.

    Pursuant to the DOE's responsibility under the National 
Environmental Policy Act, the DOE must make an environmental 
determination of the proposed action. If, as a result of this 
determination, an environmental impact statement (EIS) must be prepared, 
the permit processing time normally will be 18-24 months. If no 
environmental impact statement is required, then a six-month processing 
time normally would be sufficient.



Sec. 205.322  Contents of application.

    Every application shall be accompanied by a fee prescribed in 
Sec. 205.326 of this subpart and shall provide, in the order indicated, 
the following:
    (a) Information regarding the applicant.
    (1) The legal name of the applicant;
    (2) The legal name of all partners;
    (3) The name, title, post office address, and telephone number of 
the person to whom correspondence in regard to the application shall be 
addressed;
    (4) Whether the applicant or its transmission lines are owned wholly 
or in part by a foreign government or directly or indirectly assisted by 
a foreign government or instrumentality thereof; or whether the 
applicant has any agreement pertaining to such ownership by or 
assistance from any foreign government or instrumentality thereof.
    (5) List all existing contracts that the applicant has with any 
foreign government, or any foreign private concerns, relating to any 
purchase, sale or delivery of electric energy.
    (6) A showing, including a signed opinion of counsel, that the 
construction, connection, operation, or maintenance of the proposed 
facility is within the corporate power of the applicant, and that the 
applicant has complied with or will comply with all pertinent Federal 
and State laws;
    (b) Information regarding the transmission lines to be covered by 
the Presidential Permit. (1)(i) A technical description providing the 
following information: (A) Number of circuits, with identification as to 
whether the circuit is overhead or underground; (B) the operating 
voltage and frequency; and (C) conductor size, type and number of 
conductors per phase.
    (ii) If the proposed interconnection is an overhead line the 
following additional information must also be provided: (A) The wind and 
ice loading design parameters; (B) a full description and drawing of a 
typical supporting structure including strength specifications; (C) 
structure spacing with typical ruling and maximum spans; (D) conductor 
(phase) spacing; and (E) the designed line to ground and conductor side 
clearances.
    (iii) If an underground or underwater interconnection is proposed, 
the following additional information must also be provided: (A) Burial 
depth; (B) type of cable and a description of any required supporting 
equipment, such as insulation medium pressurizing or forced cooling; and 
(C) cathodic protection scheme. Technical diagrams which

[[Page 39]]

provide clarification of any of the above items should be included.
    (2) A general area map with a scale not greater than 1 inch=40 
kilometers (1 inch=25 miles) showing the overall system, and a detailed 
map at a scale of 1 inch=8 kilometers (1 inch=5 miles) showing the 
physical location, longitude and latitude of the facility on the 
international border. The map shall indicate ownership of the facilities 
at or on each side of the border between the United States and the 
foreign country. The maps, plans, and description of the facilities 
shall distinguish the facilities or parts thereof already constructed 
from those to be constructed.
    (3) Applications for the bulk power supply facility which is 
proposed to be operated at 138 kilovolts or higher shall contain the 
following bulk power system information:
    (i) Data regarding the expected power transfer capability, using 
normal and short time emergency conductor ratings;
    (ii) System power flow plots for the applicant's service area for 
heavy summer and light spring load periods, with and without the 
proposed international interconnection, for the year the line is 
scheduled to be placed in service and for the fifth year thereafter. The 
power flow plots submitted can be in the format customarily used by the 
utility, but the ERA requires a detailed legend to be included with the 
power flow plots;
    (iii) Data on the line design features for minimizing television 
and/or radio interference caused by operation of the subject 
transmission facilities;
    (iv) A description of the relay protection scheme, including 
equipment and proposed functional devices;
    (v) After receipt of the system power flow plots, the ERA may 
require the applicant to furnish system stability analysis for the 
applicant's system.
    (c) Information regarding the environmental impacts shall be 
provided as follows for each routing alternative:
    (1) Statement of the environmental impacts of the proposed 
facilities including a list of each flood plain, wetland, critical 
wildlife habitat, navigable waterway crossing, Indian land, or historic 
site which may be impacted by the proposed facility with a description 
of proposed activities therein.
    (2) A list of any known Historic Places, as specified in 36 CFR part 
800, which may be eligible for the National Register of Historic Places.
    (3) Details regarding the minimum right-of-way width for 
construction, operation and maintenance of the transmission lines and 
the rationale for selecting that right-of-way width.
    (4) A list of threatened or endangered wildlife or plant life which 
may be located in the proposed alternative.
    (d) A brief description of all practical alternatives to the 
proposed facility and a discussion of the general environmental impacts 
of each alternative.
    (e) The original of each application shall be signed and verified 
under oath by an officer of the applicant, having knowledge of the 
matters therein set forth.



Sec. 205.323  Transferability.

    (a) Neither a permit issued by the ERA pursuant to Executive Order 
10485, as amended, nor the facility shall be transferable or assignable. 
Provided written notice is given to the ERA within 30 days, the 
authorization may continue in effect temporarily in the event of the 
involuntary transfer of the facility by operation of law (including 
transfers to receivers, trustees, or purchases under foreclosure or 
judicial sale). This continuance is contingent on the filing of an 
application for a new permit and may be effective until a decision is 
made thereon.
    (b) In the event of a proposed voluntary transfer of the facility, 
the permittee and the party to whom the transfer would be made shall 
file a joint application with the ERA pursuant to this paragraph, 
setting forth information as required by Sec. 205.320 et seq., together 
with a statement of reasons for the transfer. The application shall be 
accompanied by a filing fee pursuant to Sec. 205.326.
    (c) No substantial change shall be made in any facility authorized 
by permit or in the operation thereof unless or until such change has 
been approved by the ERA.
    (d) Permits may be modified or revoked without notice by the 
President

[[Page 40]]

of the United States, or by the Administrator of the ERA after public 
notice.



Sec. 205.324  Form and style; number of copies.

    All applicants shall file an original and two conformed copies of 
the application and all accompanying documents required under 
Secs. 205.320 through 205.327.



Sec. 205.325  Annual report.

    Persons receiving permits to construct, connect, operate or maintain 
electric transmission facilities at international boundaries shall 
submit to the ERA, by February 15 each year, a report covering each 
month of the preceding calendar year, detailing by category the gross 
amount of kilowatt-hours of energy received or delivered and the cost 
and revenue associated with each category.



Sec. 205.326  Filing procedures and fees.

    Applications shall be forwarded to the Office of Utility Systems of 
the Economic Regulatory Administration and shall be accompanied by a 
filing fee of $150. The application fee will be charged irrespective of 
the ERA's disposition of the application. Fee payment shall be by check, 
draft, or money order payable to the Treasurer of the United States. 
Copies of applications shall be furnished to the Federal Energy 
Regulatory Commission and all affected State public utility regulatory 
agencies.



Sec. 205.327  Other information.

    The applicant may be required after filing the application to 
furnish such supplemental information as the ERA may deem pertinent. 
Such requests shall be written and a prompt response will be expected. 
Protest regarding the supplying of such information should be directed 
to the Administrator of the ERA.



Sec. 205.328  Environmental requirements for Presidential Permits--Alternative 1.

    (a) NEPA Compliance. Except as provided in paragraphs (c) and (e) of 
this section, when an applicant seeks a Presidential Permit, such 
applicant will be responsible for the costs of preparing any necessary 
environmental document, including an Environmental Impact Statement 
(EIS), arising from ERA's obligation to comply with the National 
Environmental Policy Act of 1969 (NEPA). ERA will determine whether an 
environmental assessment (EA) or EIS is required within 45 days of the 
receipt of the Presidential Permit application and of environmental 
information submitted pursuant to 10 CFR 205.322 (c) and (d). ERA will 
use these and other sources of information as the basis for making the 
environmental determination:
    (1) If an EIS is determined to be necessary, the applicant shall 
enter into a contract with an independent third party, which may be a 
Government-owned, contractor-operated National Laboratory, or a 
qualified private entity selected by ERA. The third party contractor 
must be qualified to conduct an environmental review and prepare an EIS, 
as appropriate, under the supervision of ERA, and may not have a 
financial or other interest in the outcome of the proceedings. The NEPA 
process must be completed and approved before ERA will issue a 
Presidential Permit.
    (2) If an EA is determined to be necessary, the applicant may be 
permitted to prepare an environmental assessment pursuant to 10 CFR 
1506.5(b) for review and adoption by ERA, or the applicant may enter 
into a third party contract as set forth in this section.
    (b) Environmental Review Procedure. Except as provided in paragraphs 
(c) and (e) of this section, environmental documents, including the EIS, 
where necessary, will be prepared utilizing the process set forth above. 
ERA, the applicant, and the independent third party, which may be a 
Government-owned, contractor-operated National Laboratory or a private 
entity, shall enter into an agreement in which the applicant will engage 
and pay directly for the services of the qualified third party to 
prepare the necessary environmental documents. The agreement shall 
outline the responsibilities of each party and its relationship to the 
other two parties regarding the work to be done or supervised. ERA shall 
approve the information to be developed and supervise the gathering, 
analysis

[[Page 41]]

and presentation of the information. In addition, ERA will have the 
authority to approve and modify any statement, analysis, and conclusion 
contained in the environmental documents prepared by the third party. 
Before commencing preparation of the environmental document the third 
party will execute an ERA-prepared disclosure document stating that it 
does not have any conflict of interest, financial or otherwise, in the 
outcome of either the environmental process or the Permit application.
    (c) Financial Hardship. Whenever ERA determines that a project is no 
longer economically feasible, or that a substantial financial burden 
would be imposed by the applicant bearing all of the costs of the NEPA 
studies, ERA may waive the requirement set forth in paragraphs (a) and 
(b) of this section and perform the necessary environmental review, 
completely or in part, with its own resources.
    (d) Discussions Prior to Filing. Prior to the preparation of any 
Presidential Permit application and environmental report, a potential 
applicant is encouraged to contact ERA and each affected State public 
utility regulatory agency to discuss the scope of the proposed project 
and the potential for joint State and Federal environmental review.
    (e) Federal Exemption. Upon a showing by the applicant that it is 
engaged in the transaction of official business of the Federal 
Government in filing the application pursuant to 10 CFR 205.320 et seq., 
it will be exempt from the requirements of this section.

[48 FR 33819, July 25, 1983]



Sec. 205.329  Environmental requirements for Presidential Permits--Alternative 2.

    (a) NEPA Compliance. Except as provided in paragraph (b) and (e) of 
this section, applicants seeking Presidential Permits will be 
financially responsible for the expenses of any contractor chosen by ERA 
to prepare any necessary environmental document arising from ERA's 
obligation to comply with the National Environmental Policy Act of 1969 
(NEPA) in issuing such Presidential Permits:
    (1) ERA will determine whether an Environmental Impact Statement 
(EIS) or an Environmental Assessment (EA) is required within 45 days of 
receipt of the Presidential Permit application and of the environmental 
information submitted pursuant to 10 CFR 205.322 (c) and (d). ERA will 
use these and other sources of information as the basis for making the 
environmental determination.
    (2) If an EIS is determined to be necessary, ERA will notify the 
applicant of the fee for completing the EIS within 90 days after the 
submission of the application and environmental information. The fee 
shall be based on the expenses estimated to be incurred by DOE in 
contracting to prepare the EIS (i.e., the estimated fee charges to ERA 
by the contractor). DOE employee salaries and other fixed costs, as set 
forth in OMB Circular A-25, shall not be included in the applicant's 
fee. Fee payment shall be by check, draft, or money order payable to the 
Treasurer of the United States, and shall be submitted to ERA. Upon 
submission of fifty percent of the environmental fee, ERA will provide 
to the applicant a tentative schedule for completion of the EIS.
    (3) If an EA is determined to be necessary, the applicant may be 
permitted to prepare an environmental assessment pursuant to 40 CFR 
1506.5(b) for review and adoption by ERA, or the applicant may choose to 
have ERA prepare the EA pursuant to the fee procedures set forth above.
    (4) The NEPA process must be completed and approved before ERA will 
issue a Presidential Permit.
    (b) Financial Hardship. Whenever ERA determines that a project is no 
longer economically feasible, or that a substantial financial burden 
would be imposed by the applicant bearing all of the costs of the NEPA 
studies, ERA may waive the requirement set forth in paragraphs (a) and 
(b) of this section and perform the necessary environmental review, 
completely or in part, with its own resources.
    (c) Discussions Prior to Filing. Prior to the preparation of any 
Presidential Permit application and environmental

[[Page 42]]

assessment, a potential applicant is encouraged to contact ERA and each 
affected State public utility regulatory agency to discuss the scope of 
the proposed project and the potential for joint State and Federal 
environmental review.
    (d) Fee Payment. The applicant shall make fee payment for completing 
the EIS to ERA in the following manner:
    (1) 50 percent of the total amount due to be paid within 30 days of 
receipt of the fee information from DOE;
    (2) 25 percent to be paid upon publication of the draft EIS; and
    (3) 25 percent to be paid upon publication of the final EIS.

If costs are less than the amount collected, ERA will refund to the 
applicant the excess fee collected. If costs exceed the initial fee, ERA 
will fund the balance, unless the increase in costs is caused by actions 
or inactions of the applicant, such as the applicant's failure to submit 
necessary environmental information in a timely fashion. If the 
application is withdrawn at any stage prior to issuance of the final 
EIS, the fee will be adjusted to reflect the costs actually incurred; 
payment shall be made by the applicant within 30 days of above 
referenced events.
    (e) Federal Exemption. Upon a showing by the applicant that it is 
engaged in the transaction of official business of the Federal 
Government in filing an application pursuant to 10 CFR 205.320 et seq., 
it will be exempt from the requirements of this section.

[48 FR 33820, July 25, 1983]

           Report of Major Electric Utility System Emergencies

    Authority: Department of Energy Organization Act, Pub. L. 95-91 (42 
U.S.C. 7101); Federal Power Act, Pub. L. 66-280 (16 U.S.C. 791 et seq.)

    Source: Sections 205.350 through 205.353 appear at 51 FR 39745, Oct. 
31, 1986, unlesss otherwise noted.



Sec. 205.350  General purpose.

    The purpose of this rule is to establish a procedure for the Office 
of International Affairs and Energy Emergencies (IE) to obtain current 
information regarding emergency situations on the electric energy supply 
systems in the United States so that appropriate Federal emergency 
response measures can be implemented in a timely and effective manner. 
The data also may be utilized in developing legislative recommendations 
and reports to the Congress.

(Approved by the Office of Management and Budget under control number 
1901-0288)



Sec. 205.351  Reporting requirements.

    For the purpose of this section, a report or a part of a report may 
be made jointly by two or more entities. Every electric utility or other 
entity engaged in the generation, transmission or distribution of 
electric energy for delivery and/or sale to the public shall report 
promptly, through the DOE Emergency Operations Center, by telephone, the 
occurrence of any event such as described in paragraphs (a) through (d) 
of this section. These reporting procedures are mandatory. Entities that 
fail to comply within 24 hours will be contacted and reminded of their 
reporting obligation.
    (a) Loss of Firm System Loads, caused by:
    (1) Any load shedding actions resulting in the reduction of over 100 
megawatts (MW) of firm customer load for reasons of maintaining the 
continuity of the bulk electric power supply system.
    (2) Equipment failures/system operational actions attributable to 
the loss of firm system loads for a period in excess of 15 minutes, as 
described below:
    (i) Reports from entities with a previous year recorded peak load of 
over 3000 MW are required for all such losses of firm loads which total 
over 300 MW.
    (ii) Reports from all other entities are required for all such 
losses of firm loads which total over 200 MW or 50 percent of the system 
load being supplied immediately prior to the incident, whichever is 
less.
    (3) Other events or occurrences which result in a continuous 
interruption for 3 hours or longer to over 50,000 customers, or more 
than 50 percent of the total customers being served immediately prior to 
the interruption, whichever is less.
    (b) Voltage Reductions or Public Appeals:

[[Page 43]]

    (1) Reports are required for any anticipated or actual system 
voltage reductions of 3 percent or greater for purposes of maintaining 
the continuity of the bulk electric power supply system.
    (2) Reports are required for any issuance of a public appeal to 
reduce the use of electricity for purposes of maintaining the continuity 
of the bulk electric power system.
    (c) Vulnerabilities that could Impact System Reliability:
    (1) Reports are required for any actual or suspected act(s) of 
physical sabotage (not vandalism) or terrorism directed at an electric 
power supply system, local or regional, in an attempt to either:
    (i) Disrupt or degrade the service reliability of the local or 
regional bulk electric power supply system, or
    (ii) Disrupt, degrade, or deny bulk electric power service to:
    (A) A specific facility (industrial, military, governmental, 
private), or
    (B) A specific service (transportation, communications), or
    (C) A specific locality (town, city, county).
    (2) Reports are required for any abnormal emergency system operating 
condition(s) or other event(s) which in the judgment of the reporting 
entity could or would constitute a hazard to maintaining the continuity 
of the bulk electric power supply system. Examples will be provided in 
the DOE pamphlet on reporting procedures.
    (d) Fuel Supply Emergencies:
    (1) Reports are required for any anticipated or existing fuel supply 
emergency situation which would threaten the continuity of the bulk 
electric power supply system, such as:
    (i) Fuel stocks or hydro project water storage levels are at 50 
percent (or less) of normal for that time of the year, and a continued 
downward trend is projected.
    (ii) Unscheduled emergency generation is dispatched causing an 
abnormal use of a particular fuel type, such that the future supply or 
stocks of that fuel could reach a level which threatens the reliability 
or adequacy of electric service.

(Approved by the Office of Management and Budget under control number 
1901-0288)



Sec. 205.352  Information to be reported.

    The emergency situation data shall be supplied to the DOE Emergency 
Operations Center in accordance with the current DOE pamphlet on 
reporting procedures. The initial report shall include the utility name; 
the area affected; the time of occurrence of the initiating event; the 
duration or an estimate of the likely duration; an estimate of the 
number of customers and amount of load involved; and whether any known 
critical services such as hospitals, military installations, pumping 
stations or air traffic control systems, were or are interrupted. To the 
extent known or reasonably suspected, the report shall include a 
description of the events initiating the disturbance. The DOE may 
require further clarification during or after restoration of service.

(Approved by the Office of Management and Budget under control number 
1901-0288)



Sec. 205.353  Special investigation and reports.

    If directed by the Director, Office of Energy Emergency Operations 
in writing and noticed in the Federal Register, a utility or other 
subject entity experiencing a condition described in Sec. 205.351 above 
shall submit a full report of the technical circumstances surrounding a 
specific power system disturbance, including the restoration procedures 
utilized. The report shall be filed at such times as may be directed by 
the Director, Office of Energy Emergency Operations.

(Approved by the Office of Management and Budget under control number 
1901-0288)

  Emergency Interconnection of Electric Facilities and the Transfer of 
    Electricity to Alleviate an Emergency Shortage of Electric Power

    Authority: Department of Energy Organization Act, Pub. L. 95-91, 91 
Stat. 565 (42 U.S.C. 7101). Federal Power Act, Pub. L. 66-280, 41 Stat. 
1063 (16 U.S.C. 791(a))

    Source: Sections 205.370 through 205.379 appear at 46 FR 39987, Aug. 
6, 1981, unless otherwise noted.

[[Page 44]]



Sec. 205.370  Applicability.

    Sections 202(c) and 202(d) of the Federal Power Act are applicable 
to any ``entity'' which owns or operates electric power generation, 
transmission or distribution facilities. An ``entity'' is a private or 
public corporation (utility), a governmental agency, a municipality, a 
cooperative or a lawful association of the foregoing. Under this 
section, the DOE has the authority to order the temporary connection of 
facilities, or the generation or delivery of electricity, which it deems 
necessary to alleviate an emergency. Such orders shall be effective for 
the time specified and will be subject to the terms and conditions the 
DOE specifies. The DOE retains the right to cancel, modify or otherwise 
change any order, with or without notice, hearing, or report. Requests 
for action under these regulations will be accepted from any ``entity,'' 
State Public Utility Commission, State Energy Agency, or State Governor. 
Actions under these regulations also may be initiated by the DOE on its 
own motion. Orders under this authority may be made effective without 
prior notice.



Sec. 205.371  Definition of emergency.

    ``Emergency,'' as used herein, is defined as an unexpected 
inadequate supply of electric energy which may result from the 
unexpected outage or breakdown of facilities for the generation, 
transmission or distribution of electric power. Such events may be the 
result of weather conditions, acts of God, or unforeseen occurrences not 
reasonably within the power of the affected ``entity'' to prevent. An 
emergency also can result from a sudden increase in customer demand, an 
inability to obtain adequate amounts of the necessary fuels to generate 
electricity, or a regulatory action which prohibits the use of certain 
electric power supply facilities. Actions under this authority are 
envisioned as meeting a specific inadequate power supply situation. 
Extended periods of insufficient power supply as a result of inadequate 
planning or the failure to construct necessary facilities can result in 
an emergency as contemplated in these regulations. In such cases, the 
impacted ``entity'' will be expected to make firm arrangements to 
resolve the problem until new facilities become available, so that a 
continuing emergency order is not needed. Situations where a shortage of 
electric energy is projected due solely to the failure of parties to 
agree to terms, conditions or other economic factors relating to 
service, generally will not be considered as emergencies unless the 
inability to supply electric service is imminent. Where an electricity 
outage or service inadequacy qualifies for a section 202(c) order, 
contractual difficulties alone will not be sufficient to preclude the 
issuance of an emergency order.



Sec. 205.372  Filing procedures; number of copies.

    An original and two conformed copies of the applications and reports 
required under Secs. 205.370 through 205.379 shall be filed with the 
Division of Power Supply and Reliability, Department of Energy. Copies 
of all documents also shall be served on:
    (a) The Federal Energy Regulatory Commission;
    (b) Any State Regulatory Agency having responsibility for service 
standards, or rates of the ``entities'' that are affected by the 
requested order;
    (c) Each ``entity'' suggested as a potential source for the 
requested emergency assistance;
    (d) Any ``entity'' that may be a potential supplier of transmission 
services;
    (e) All other ``entities'' not covered under paragraphs (c) and (d) 
of this section which may be directly affected by the requested order; 
and
    (f) The appropriate Regional Reliability Council.



Sec. 205.373  Application procedures.

    Every application for an emergency order shall set forth the 
following information as required. This information shall be considered 
by the DOE in determining that an emergency exists and in deciding to 
issue an order pursuant to sections 202(c) and 202(d) of the Federal 
Power Act.
    (a) The exact legal name of the applicant and of all other 
``entities'' named in the application.

[[Page 45]]

    (b) The name, title, post office address, and telephone number of 
the person to whom correspondence in regard to the application shall be 
addressed.
    (c) The political subdivision in which each ``entity'' named in the 
application operates, together with a brief description of the area 
served and the business conducted in each location.
    (d) Each application for a section 202(c) order shall include the 
following baseline data:
    (1) Daily peak load and energy requirements for each of the past 30 
days and projections for each day of the expected duration of the 
emergency;
    (2) All capacity and energy receipts or deliveries to other electric 
utilities for each of the past 30 days, indicating the classification 
for each transaction;
    (3) The status of all interruptible customers for each of the past 
30 days and the anticipated status of these customers for each day of 
the expected duration of the emergency, assuming both the granting and 
the denial of the relief requested herein;
    (4) All scheduled capacity and energy receipts or deliveries to 
other electric utilities for each day of the expected duration of the 
emergency.
    (e) A description of the situation and a discussion of why this is 
an emergency, including any necessary background information. This 
should include any contingency plan of the applicant and the current 
level of implementation.
    (f) A showing that adequate electric service to firm customers 
cannot be maintained without additional power transfers.
    (g) A description of any conservation or load reduction actions that 
have been implemented. A discussion of the achieved or expected results 
or these actions should be included.
    (h) A description of efforts made to obtain additional power through 
voluntary means and the results of such efforts; and a showing that the 
potential sources of power and/or transmission services designated 
pursuant to paragraphs (i) through (k) of this section informed that the 
applicant believed that an emergency existed within the meaning of 
Sec. 205.371.
    (i) A listing of proposed sources and amounts of power necessary 
from each source to alleviate the emergency and a listing of any other 
``entities'' that may be directly affected by the requested order.
    (j) Specific proposals to compensate the supplying ``entities'' for 
the emergency services requested and to compensate any transmitting 
``entities'' for services necessary to deliver such power.
    (k) A showing that, to the best of the applicant's knowledge, the 
requested relief will not unreasonably impair the reliability of any 
``entity'' directly affected by the requested order to render adequate 
service to its customers.
    (l) Description of the facilities to be used to transfer the 
requested emergency service to the applicant's system.
    (1) If a temporary interconnection under the provisions of section 
202(c) is proposed independently, the following additional information 
shall be supplied for each such interconnection:
    (i) Proposed location;
    (ii) Required thermal capacity or power transfer capability of the 
interconnection;
    (iii) Type of emergency services requested, including anticipated 
duration;
    (iv) An electrical one line diagram;
    (v) A description of all necessary materials and equipment; and
    (vi) The projected length of time necessary to complete the 
interconnection.
    (2) If the requested emergency assistance is to be supplied over 
existing facilities, the following information shall be supplied for 
each existing interconnection:
    (i) Location;
    (ii) Thermal capacity of power transfer capability of 
interconnection facilities; and
    (iii) Type and duration of emergency services requested.
    (m) A general or key map on a scale not greater than 100 kilometers 
to the centimeter showing, in separate colors, the territory serviced by 
each ``entity'' named in the application; the location of the facilities 
to be used for the generation and transmission of the requested 
emergency service; and all connection points between systems.

[[Page 46]]

    (n) An estimate of the construction costs of any proposed temporary 
facilities and a statement estimating the expected operation and 
maintenance costs on an annualized basis. (Not required on section 
202(d) applications.)
    (o) Applicants may be required to furnish such supplemental 
information as the DOE may deem pertinent.



Sec. 205.374  Responses from ``entities'' designated in the application.

    Each ``entity'' designated as a potential source of emergency 
assistance or as a potential supplier of transmission services and which 
has received a copy of the application under Sec. 205.373, shall have 
three (3) calendar days from the time of receipt of the application to 
file the information designated below with the DOE. The DOE will grant 
extensions of the filing period when appropriate. The designated 
``entities'' shall provide an analysis of the impact the requested 
action would have on its system reliability and its ability to supply 
its own interruptible and firm customers. The effects of the requested 
action on the ability to serve firm loads shall be clearly distinguished 
from the ability to serve contractually interruptible loads. The 
designated ``entity'' also may provide other information relevant to the 
requested action, which is not included in the reliability analysis. 
Copies of any response shall be provided to the applicant, the Federal 
Energy Regulatory Commission, any State Regulatory Agency having 
responsibility for service standards or rates of any ``entity'' that may 
be directly involved in the proposed action, and the appropriate 
Regional Electric Reliability Council. Pursuant to section 202(c) of the 
Federal Power Act, DOE may issue an emergency order even though a 
designated ``entity'' has failed to file a timely response.



Sec. 205.375  Guidelines defining inadequate fuel or energy supply.

    An inadequate utility system fuel inventory or energy supply is a 
matter of managerial and engineering judgment based on such factors as 
fuels in stock, fuels en route, transportation time, and constraints on 
available storage facilities. A system may be considered to have an 
inadequate fuel or energy supply capability when, combined with other 
conditions, the projected energy deficiency upon the applicant's system 
without emergency action by the DOE, will equal or exceed 10 percent of 
the applicant's then normal daily net energy for load, or will cause the 
applicant to be unable to meet its normal peak load requirements based 
upon use of all of its otherwise available resources so that it is 
unable to supply adequate electric service to its ultimate customers. 
The following conditions will be considered in determining that a system 
has inadequate fuel or energy supply capability:
    (1) System coal stocks are reduced to 30 days (or less) of normal 
burn days and a continued downward trend in stock is projected;
    (2) System residual oil stocks are reduced to 15 days (or less) of 
normal burn days and a continued downward trend in stocks is projected;
    (3) System distillate oil stocks which cannot be replaced by 
alternate fuels are reduced to 15 days (or less) of normal burn days and 
a continued downward trend in stocks is projected;
    (4) System natural gas deliveries which cannot be replaced by 
alternate fuels have been or will be reduced 20 percent below normal 
requirements and no improvement in natural gas deliveries is projected 
within 30 days;
    (5) Delays in nuclear fuel deliveries will extend a scheduled 
refueling shutdown by more than 30 days; and
    (6) Water supplies required for power generation have been reduced 
to the level where the future adequacy of the power supply may be 
endangered and no near term improvement in water supplies is projected.

The use of the prescribed criteria does not preclude an applicant from 
claiming the existence of an emergency when its stocks of fuel or water 
exceed the amounts and time frames specified above.



Sec. 205.376  Rates and charges.

    The applicant and the generating or transmitting systems from which 
emergency service is requested are encouraged to utilize the rates and 
charges contained in approved existing

[[Page 47]]

rate schedules or to negotiate mutually satisfactory rates for the 
proposed transactions. In the event that the DOE determines that an 
emergency exists under section 202(c), and the ``entities'' are unable 
to agree on the rates to be charged, the DOE shall prescribe the 
conditions of service and refer the rate issues to the Federal Energy 
Regulatory Commission for determination by that agency in accordance 
with its standards and procedures.



Sec. 205.377  Reports.

    In addition to the information specified below, the DOE may require 
additional reports as it deems necessary.
    (a) Where the DOE has authorized the temporary connection of 
transmission facilities, all ``entities'' whose transmission facilities 
are thus temporarily interconnected shall report the following 
information to the DOE within 15 days following completion of the 
interconnection:
    (1) The date the temporary interconnection was completed;
    (2) The location of the interconnection;
    (3) A description of the interconnection; and
    (4) A one-line electric diagram of the interconnection.
    (b) Where the DOE orders the transfer of power, the ``entity'' 
receiving such service shall report the following information to the DOE 
by the 10th of each month for the preceding month's activity for as long 
as such order shall remain in effect:
    (1) Amounts of capacity and/or energy received each day;
    (2) The name of the supplier;
    (3) The name of any ``entity'' supplying transmission services; and
    (4) Preliminary estimates of the associated costs.
    (c) Where the DOE has approved the installation of permanent 
facilities that will be used only during emergencies, any use of such 
facilities shall be reported to the DOE within 24 hours. Details of such 
usage shall be furnished as deemed appropriate by the DOE after such 
notification.
    (d) Any substantial change in the information provided under 
Sec. 205.373 shall be promptly reported to the DOE.

(Approved by the Office of Management and Budget under Control No. 1904-
0066)

[46 FR 39989, Aug. 6, 1981, as amended at 46 FR 63209, Dec. 31, 1981]



Sec. 205.378  Disconnection of temporary facilities.

    Upon the termination of any emergency for the mitigation of which 
the DOE ordered the construction of temporary facilities, such 
facilities shall be disconnected and any temporary construction removed 
or otherwise disposed of, unless application is made as provided in 
Sec. 205.379 for permanent connection for emergency use. This 
disconnection and removal of temporary facilities shall be accomplished 
within 30 days of the termination of the emergency unless an extension 
is granted by the DOE. The DOE shall be notified promply when such 
removal of facilities is completed.



Sec. 205.379  Application for approval of the installation of permanent facilities for emergency use only.

    Application for DOE approval of a permanent connection for emergency 
use only shall conform with the requirements in Sec. 205.373. However, 
the baseline data specified in Sec. 205.373(d) need not be included in 
an application made under this section. In addition, the application 
shall state in full the reasons why such permanent connection for 
emergency use is in the public interest.



PART 207--COLLECTION OF INFORMATION--Table of Contents




    Subpart A--Collection of Information Under the Energy Supply and 
                 Environmental Coordination Act of 1974

Sec.
207.1  Purpose.
207.2  Definitions.
207.3  Method of collecting energy information under ESECA.
207.4  Confidentiality of energy information.
207.5  Violations.
207.6  Notice of probable violation and remedial order.
207.7  Sanctions.
207.8  Judicial actions.

[[Page 48]]

207.9  Exceptions, exemptions, interpretations, rulings and rulemaking.

    Authority: Federal Energy Administration Act of 1974, Pub. L. 93-
275; Energy Supply and Environmental Coordination Act of 1974, Pub. L. 
93-319; E.O. 11790, 39 FR 23185.

    Source: 40 FR 18409, Apr. 28, 1975, unless otherwise noted.



    Subpart A--Collection of Information Under the Energy Supply and 
                 Environmental Coordination Act of 1974



Sec. 207.1   Purpose.

    The purpose of this subpart is to set forth the manner in which 
energy information which the Administrator is authorized to obtain by 
sections 11 (a) and (b) of ESECA will be collected.



Sec. 207.2   Definitions.

    As used in this subpart:
    Administrator means the Federal Energy Administrator of his 
delegate.
    Energy information includes all information in whatever form on (1) 
fuel reserves, exploration, extraction, and energy resources (including 
petrochemical feedstocks) wherever located; (2) production, 
distribution, and consumption of energy and fuels, wherever carried on; 
and (3) matters relating to energy and fuels such as corporate structure 
and proprietary relationships, costs, prices, capital investment, and 
assets, and other matters directly related thereto, wherever they exist.
    ESECA means the Energy Supply and Environmental Coordination Act of 
1974 (Pub. L. 93-319).
    EPAA means the Emergency Petroleum Allocation Act of 1973 (Pub. L. 
93-159).
    DOE means the Department of Energy.
    Person means any natural person, corporation, partnership, 
association, consortium, or any entity organized for a common business 
purpose, wherever situated, domiciled, or doing business, who directly 
or through other persons subject to their control does business in any 
part of the United States.
    United States, when used in the geographical sense, means the 
States, the District of Columbia, Puerto Rico, and the territories and 
possessions of the United States.



Sec. 207.3   Method of collecting energy information under ESECA.

    (a) Whenever the Administrator determines that:
    (1) Certain energy information is necessary to assist in the 
formulation of energy policy or to carry out the purposes of the ESECA 
of the EPAA; and
    (2) Such energy information is not available to DOE under the 
authority of statutes other than ESECA or that such energy information 
should, as a matter of discretion, be collected under the authority of 
ESECA;


He shall require reports of such information to be submitted to DOE at 
least every ninety calendar days.
    (b) The Administrator may require such reports of any person who is 
engaged in the production, processing, refining, transportation by 
pipeline, or distribution (at other than the retail level) of energy 
resources.
    (c) The Administrator may require such reports by rule, order, 
questionnaire, or such other means as he determines appropriate.
    (d) Whenever reports of energy information are requested under this 
subpart, the rule, order, questionnaire, or other means requesting such 
reports shall contain (or be accompanied by) a recital that such reports 
are being requested under the authority of ESECA.
    (e) In addition to requiring reports, the Administrator may, at his 
discretion, in order to obtain energy information under the authority of 
ESECA:
    (1) Sign and issue subpoenas in accordance with the provisions of 
Sec. 205.8 of this chapter for the attendance and testimony of witnesses 
and the production of books, records, papers, and other documents;
    (2) Require any person, by rule or order, to submit answers in 
writing to interrogatories, requests for reports or for other 
information, with such answers or other submissions made within such 
reasonable period as is specified in the rule or order, and under oath; 
and
    (3) Administer oaths.

Any such subpoena or rule or order shall contain (or be accompanied by) 
a

[[Page 49]]

recital that energy information is requested under the authority of 
ESECA.
    (f) For the purpose of verifying the accuracy of any energy 
information requested, acquired, or collected by the DOE, the 
Administrator, or any officer or employee duly designated by him, upon 
presenting appropriate credentials and a written notice from the 
Administrator to the owner, operator, or agent in charge, may--
    (1) Enter, at reasonable times, any business premise of facility; 
and
    (2) Inspect, at reasonable times and in a reasonable manner, any 
such premise or facility, inventory and sample any stock of energy 
resources therein, and examine and copy books, records, papers, or other 
documents, relating to any such energy information.

Such written notice shall reasonably describe the premise or facility to 
be inspected, the stock to be inventoried or sampled, or the books, 
records, papers or other documents to be examined or copied.



Sec. 207.4   Confidentiality of energy information.

    (a) Information obtained by the DOE under authority of ESECA shall 
be available to the public in accordance with the provisions of part 202 
of this chapter. Upon a showing satisfactory to the Administrator by any 
person that any energy information obtained under this subpart from such 
person would, if made public, divulge methods or processes entitled to 
protection as trade secrets or other proprietary information of such 
person, such information, or portion thereof, shall be deemed 
confidential in accordance with the provisions of section 1905 of title 
18, United States Code; except that such information, or part thereof, 
shall not be deemed confidential pursuant to that section for purposes 
of disclosure, upon request, to (1) any delegate of the DOE for the 
purpose of carrying out ESECA or the EPAA, (2) the Attorney General, the 
Secretary of the Interior, the Federal Trade Commission, the Federal 
Power Commission, or the General Accounting Office, when necessary to 
carry out those agencies' duties and responsibilities under ESECA and 
other statutes, and (3) the Congress, or any Committee of Congress upon 
request of the Chairman.
    (b) Whenever the Administrator requests reports of energy 
information under this subpart, he may specify (in the rule, order or 
questionnaire or other means by which he has requested such reports) the 
nature of the showing required to be made in order to satisfy DOE that 
certain energy information contained in such reports warrants 
confidential treatment in accordance with this section. He shall, to the 
maximum extent practicable, either before or after requesting reports, 
by ruling or otherwise, inform respondents providing energy information 
pursuant to this subpart of whether such information will be made 
available to the public pursuant to requests under the Freedom of 
Information Act (5 U.S.C. 552).



Sec. 207.5   Violations.

    Any practice that circumvents or contravenes or results in a 
circumvention or contravention of the requirements of any provision of 
this subpart or any order issued pursuant thereto is a violation of the 
DOE regulations stated in this subpart.



Sec. 207.6   Notice of probable violation and remedial order.

    (a) Purpose and scope. (1) This section establishes the procedures 
for determining the nature and extent of violations of this subpart and 
the procedures for issuance of a notice of probable violation, a 
remedial order or a remedial order for immediate compliance.
    (2) When the DOE discovers that there is reason to believe a 
violation of any provision of this subpart, or any order issued 
thereunder, has occurred, is continuing or is about to occur, the DOE 
may conduct proceedings to determine the nature and extent of the 
violation and may issue a remedial order thereafter. The DOE may 
commence such proceeding by serving a notice of probable violation or by 
issuing a remedial order for immediate compliance.
    (b) Notice of probable violation. (1) The DOE may begin a proceeding 
under this subpart by issuing a notice of probable

[[Page 50]]

violation if the DOE has reason to believe that a violation has 
occurred, is continuing, or is about to occur.
    (2) Within 10 days of the service of a notice of probable violation, 
the person upon whom the notice is served may file a reply with the DOE 
office that issued the notice of probable violation at the address 
provided in Sec. 205.12 of this chapter. The DOE may extend the 10-day 
period for good cause shown.
    (3) The reply shall be in writing and signed by the person filing 
it. The reply shall contain a full and complete statement of all 
relevant facts pertaining to the act or transaction that is the subject 
of the notice of probable violation. Such facts shall include a complete 
statement of the business or other reasons that justify the act or 
transaction, it appropriate; a detailed description of the act or 
transaction; and a full discussion of the pertinent provisions and 
relevant facts reflected in any documents submitted with the reply. 
Copies of all relevant documents shall be submitted with the reply.
    (4) The reply shall include a discussion of all relevant 
authorities, including, but not limited to, DOE rulings, regulations, 
interpretations, and decisions on appeals and exceptions relied upon to 
support the particular position taken.
    (5) The reply should indicate whether the person requests or intends 
to request a conference regarding the notice. Any request not made at 
the time of the reply shall be made as soon thereafter as possible to 
insure that the conference is held when it will be most beneficial. A 
request for a conference must conform to the requirements of subpart M 
of part 205 of this chapter.
    (6) If a person has not filed a reply with the DOE within the 10-day 
period provided, and the DOE has not extended the 10-day period, the 
person shall be deemed to have conceded the accuracy of the factual 
allegations and legal conclusions stated in the notice of probable 
violation.
    (7) If the DOE finds, after the 10-day period provided in 
Sec. 207.6(b)(2), that no violation has occurred, is continuing, or is 
about to occur, or that for any reason the issuance of a remedial order 
would not be appropriate, it shall notify, in writing, the person to 
whom a notice of probable violation has been issued that the notice is 
rescinded.
    (c) Remedial order. (1) If the DOE finds, after the 10-day period 
provided in Sec. 207.6(b)(2), that a violation has occurred, is 
continuing, or is about to occur, the DOE may issue a remedial order. 
The order shall include a written opinion setting forth the relevant 
facts and the legal basis of the remedial order.
    (2) A remedial order issued under this subpart shall be effective 
upon issuance, in accordance with its terms, until stayed, suspended, 
modified or rescinded. The DOE may stay, suspend, modify or rescind a 
remedial order on its own initiative or upon application by the person 
to whom the remedial order is issued. Such action and application shall 
be in accordance with the procedures for such proceedings provided for 
in part 205 of this chapter.
    (3) A remedial order may be referred at any time to the Department 
of Justice for appropriate action in accordance with Sec. 207.7.
    (d) Remedial order for immediate compliance. (1) Notwithstanding 
paragraphs (b) and (c) of this section, the DOE may issue a remedial 
order for immediate compliance, which shall be effective upon issuance 
and until rescinded or suspended, if it finds:
    (i) There is a strong probability that a violation has occurred, is 
continuing or is about to occur;
    (ii) Irreparable harm will occur unless the violation is remedied 
immediately; and
    (iii) The public interest requires the avoidance of such irreparable 
harm through immediate compliance and waiver of the procedures afforded 
under paragraphs (b) and (c) of this section.
    (2) A remedial order for immediate compliance shall be served 
promptly upon the person against whom such order is issued by telex or 
telegram, with a copy served by registered or certified mail. The copy 
shall contain a written statement of the relevant facts and the legal 
basis for the remedial order for immediate compliance, including the 
findings required by paragraph (d)(1) of this section.

[[Page 51]]

    (3) The DOE may rescind or suspend a remedial order for immediate 
compliance if it appears that the criteria set forth in paragraph (d)(1) 
of this section are no longer satisfied. When appropriate, however, such 
a suspension or rescission may be accompanied by a notice of probable 
violation issued under paragraph (b) of this section.
    (4) If at any time in the course of a proceeding commenced by a 
notice of probable violation the criteria set forth in paragraph (d)(1) 
of this section are satisfied, the DOE may issue a remedial order for 
immediate compliance, even if the 10-day period for reply specified in 
Sec. 207.6(b)(2) of this part has not expired.
    (5) At any time after a remedial order for immediate compliance has 
become effective the DOE may refer such order to the Department of 
Justice for appropriate action in accordance with Sec. 207.7 of this 
part.
    (e) Remedies. A remedial order or a remedial order for immediate 
compliance may require the person to whom it is directed to take such 
action as the DOE determines is necessary to eliminate or to compensate 
for the effects of a violation.
    (f) Appeal. (1) No notice of probable violation issued pursuant to 
this subpart shall be deemed to be an action of which there may be an 
administrative appeal.
    (2) Any person to whom a remedial order or a remedial order for 
immediate compliance is issued under this subpart may file an appeal 
with the DOE Office of Exceptions and Appeals in accordance with the 
procedures for such appeal provided in subpart H of part 205 of this 
chapter. The appeal must be filed within 10 days of service of the order 
from which the appeal is taken.



Sec. 207.7   Sanctions.

    (a) General. (1) Penalties and sanctions shall be deemed cumulative 
and not mutually exclusive.
    (2) Each day that a violation of the provisions of this subpart or 
any order issued pursuant thereto continues shall be deemed to 
constitute a separate violation within the meaning of the provisions of 
this subpart relating to criminal fines and civil penalties.
    (b) Criminal penalties. Any person who willfully violates any 
provision of this subpart or any order issued pursuant thereto shall be 
subject to a fine of not more than $5,000 for each violation. Criminal 
violations are prosecuted by the Department of Justice upon referral by 
the DOE.
    (c) Civil penalties. (1) Any person who violates any provision of 
this subpart or any order issued pursuant thereto shall be subject to a 
civil penalty of not more than $2,500 for each violation. Actions for 
civil penalties are prosecuted by the Department of Justice upon 
referral by the DOE.
    (2) When the DOE considers it to be appropriate or advisable, the 
DOE may compromise and settle, and collect civil penalties.



Sec. 207.8   Judicial actions.

    (a) Enforcement of subpoenas; contempt. Any United States district 
court within the jurisdiction of which any inquiry is carried on may, 
upon petition by the Attorney General at the request of the 
Administrator, in the case of refusal to obey a subpoena or order of the 
Administrator issued under this subpart, issue an order requiring 
compliance. Any failure to obey such an order of the court may be 
punished by the court as contempt.
    (b) Injunctions. Whenever it appears to the Administrator that any 
person has engaged, is engaged, or is about to engage in any act or 
practice constituting a violation of any regulation or order issued 
under this subpart, the Administrator may request the Attorney General 
to bring a civil action in the appropriate district court of the United 
States to enjoin such acts or practices and, upon a proper showing, a 
temporary restraining order or preliminary or permanent injunction shall 
be granted without bond. The relief sought may include a mandatory 
injunction commanding any person to comply with any provision of such 
order or regulation, the violation of which is prohibited by section 
12(a) of ESECA, as implemented by this subpart.

[[Page 52]]



Sec. 207.9   Exceptions, exemptions, interpretations, rulings and rulemaking.

    Applications for exceptions, exemptions or requests for 
interpretations relating to this subpart shall be filed in accordance 
with the procedures provided in subparts D, E and F, respectively, of 
part 205 of this chapter. Rulings shall be issued in accordance with the 
procedures of subpart K of part 205 of this chapter. Rulemakings shall 
be undertaken in accordance with the procedures provided in subpart L of 
part 205 of this chapter.



PART 209--INTERNATIONAL VOLUNTARY AGREEMENTS--Table of Contents




                      Subpart A--General Provisions

Sec.
209.1  Purpose and scope.
209.2  Delegation.
209.3  Definitions.

             Subpart B--Development of Voluntary Agreements

209.21  Purpose and scope.
209.22  Initiation of meetings.
209.23  Conduct of meetings.
209.24  Maintenance of records.

   Subpart C--Carrying Out of Voluntary Agreements and Developing and 
                    Carrying Out of Plans of Actions

209.31  Purpose and scope.
209.32  Initiation of meetings.
209.33  Conduct of meetings.
209.34  Maintenance of records.

    Subpart D--Availability of Information Relating to Meetings and 
                             Communications

209.41  Availability of information relating to meetings and 
          communications.

    Authority: Federal Energy Administration Act of 1974, Pub. L. 93-
275; E.O. 11790, 39 FR 23185; Energy Policy and Conservation Act, Pub. 
L. 94-163.

    Source: 41 FR 6754, Feb. 13, 1976, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 209.1   Purpose and scope.

    This part implements the provisions of the Energy Policy and 
Conservation Act (EPCA) authorizing the Administrator to prescribe 
standards and procedures by which persons engaged in the business of 
producing, transporting, refining, distributing, or storing petroleum 
may develop and carry out voluntary agreements, and plans of action 
which are required to implement the information and allocation 
provisions of the International Energy Program (IEP). The requirements 
of this part do not apply to activities other than those for which 
section 252 of EPCA makes available a defense to the antitrust laws.



Sec. 209.2   Delegation.

    To the extent otherwise permitted by law, any authority, duty, or 
responsibility vested in DOE or the Administrator under these 
regulations may be delegated to any regular full-time employee of the 
Department of Energy, and, by agreement, to any regular full-time 
employee of the Department of Justice or the Department of State.



Sec. 209.3   Definitions.

    For purposes of this part--
    (a) Administrator means the Administrator of the Department of 
Energy.
    (b) Information and allocation provisions of the International 
Energy Program means the provisions of chapter V of the Program relating 
to the Information System, and the provisions at chapters III and IV 
thereof relating to the international allocation of petroleum.
    (c) International Energy Agency (IEA) means the International Energy 
Agency established by Decision of the Council of the Organization for 
Economic Cooperation and Development, dated November 15, 1974.
    (d) International Energy Program (IEP) means the program established 
pursuant to the Agreement on an International Energy Program signed at 
Paris on November 18, 1974, including (1) the Annex entitled ``Emergency 
Reserves'', (2) any amendment to such Agreement which includes another 
nation as a Party to such Agreement, and (3) any technical or clerical 
amendment to such Agreement.
    (e) International energy supply emergency means any period (1) 
beginning on any date which the President determines allocation of 
petroleum products to nations participating in the international energy 
program is required by

[[Page 53]]

chapters III and IV of such program, and (2) ending on a date on which 
he determines such allocation is no longer required. Such a period shall 
not exceed 90 days, except where the President establishes one or more 
additional periods by making the determination under paragraph (e)(1) of 
this section.
    (f) Potential participant means any person engaged in the business 
of producing, transporting, refining, distributing, or storing petroleum 
products; ``participant'' means any such person who agrees to 
participate in a voluntary agreement pursuant to a request to do so by 
the Administrator.
    (g) Petroleum or petroleum products means crude oil, residual fuel 
oil, or any refined petroleum product (including any natural gas liquid 
and any natural gas liquid product).



             Subpart B--Development of Voluntary Agreements



Sec. 209.21   Purpose and scope.

    (a) This subpart establishes the standards and procedures by which 
persons engaged in the business of producing, transporting, refining, 
distributing. or storing petroleum products shall develop voluntary 
agreements which are required to implement the allocation and 
information provisions of the International Energy Program.
    (b) This subpart does not apply to meetings of bodies created by the 
International Energy Agency.



Sec. 209.22   Initiation of meetings.

    (a) Any meeting held for the purpose of developing a voluntary 
agreement involving two or more potential participants shall be 
initiated and chaired by the Administrator or other regular full-time 
Federal employee designated by him.
    (b) DOE shall provide notice of meetings held pursuant to this 
subpart, in writing, to the Attorney General, the Federal Trade 
Commission, and to the Speaker of the House and the President of the 
Senate for delivery to the appropriate committees of Congress, and to 
the public through publication in the Federal Register. Such notice 
shall identify the time, place, and agenda of the meeting, and such 
other matters as the Administrator deems appropriate. Notice in the 
Federal Register shall be published at least seven days prior to the 
date of the meeting.



Sec. 209.23   Conduct of meetings.

    (a) Meetings to develop a voluntary agreement held pursuant to this 
subpart shall be open to all interested persons. Interested persons 
desiring to attend meetings under this subpart may be required pursuant 
to notice to advise the Administrator in advance.
    (b) Interested persons may, as set out in notice provided by the 
Administrator, present data, views, and arguments orally and in writing, 
subject to such reasonable limitations with respect to the manner of 
presentation as the Administrator may impose.



Sec. 209.24   Maintenance of records.

    (a) The Administrator shall keep a verbatim transcript of any 
meeting held pursuant to this subpart.
    (b)(1) Except as provided in paragraphs (b) (2) through (4) of this 
section, potential participants shall keep a full and complete record of 
any communications (other than in a meeting held pursuant to this 
subpart) between or among themselves for the purpose of developing a 
voluntary agreement under this part. When two or more potential 
participants are involved in such a communication, they may agree among 
themselves who shall keep such record. Such record shall include the 
names of the parties to the communication and the organizations, if any, 
which they represent; the date of the communication; the means of 
communication; and a description of the communication in sufficient 
detail to convey adequately its substance.
    (2) Where any communication is written (including, but not limited 
to, telex, telegraphic, telecopied, microfilmed and computer printout 
material), and where such communication demonstrates on it face that the 
originator or some other source furnished a copy of the communication to 
the Office of International Affairs, Department of Energy with the 
notation ``Voluntary Agreement'' marked on the first page of the 
document, no participant need record such a communication or send a 
further copy to the Department of Energy. The Department

[[Page 54]]

of Energy may, upon written notice to potential participants, from time 
to time, or with reference to particular types of documents, require 
deposit with other offices or officials of the Department of Energy. 
Where such communication demonstrates that it was sent to the Office of 
International Affairs, Department of Energy with the notation 
``Voluntary Agreement'' marked on the first page of the document, or 
such other offices or officials in the Department of Energy has 
designated pursuant to this section it shall satisfy paragraph (c) of 
this section, for the purpose of deposit with the Department of Energy.
    (3) To the extent that any communication is procedural, 
administrative or ministerial (for example, if it involves the location 
of a record, the place of a meeting, travel arrangements, or similar 
matters), only a brief notation of the date, time, persons involved and 
description of the communication need be recorded.
    (4) To the extent that any communication involves matters which 
recapitulate matters already contained in a full and complete record, 
the substance of such matters shall be identified, but need not be 
recorded in detail, provided that reference is made to the record and 
the portion thereof in which the substance is fully set out.
    (c) Except where the Department of Energy otherwise provides, all 
records and transcripts prepared pursuant to paragraphs (a) and (b) of 
this section, shall be deposited within fifteen (15) days after the 
close of the month of their preparation together with any agreement 
resulting therefrom, with the Department of Energy, and shall be 
available to the Department of Justice, the Federal Trade Commission, 
and the Department of State. Such records and transcripts shall be 
available for public inspection and copying to the extent set forth in 
subpart D. Any person depositing material pursuant to this section shall 
indicate with particularity what portions, if any, the person believes 
are subject to disclosure to the public pursuant to subpart D and the 
reasons for such belief.
    (d) Any meeting between a potential participant and an official of 
DOE for the purpose of developing a voluntary agreement shall, if not 
otherwise required to be recorded pursuant to this section, be recorded 
by such official as provided in Sec. 204.5.

(Approved by the Office of Management and Budget under Control No. 1905-
0079)

(Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, 
E.O. 11790, 39 FR 23185; E. O. 11930, 41 FR 32397; Energy Policy and 
Conservation Act, Pub. L. 94-163; E.O. 11912, 41 FR 15825; Department of 
Energy Organization Act, Pub. L. 95-91; 91 Stat. 565; E.O. 12009, 42 FR 
46267)

[41 FR 6754, Feb. 13, 1976, as amended at 43 FR 12854, Mar. 28, 1978; 46 
FR 63209, Dec. 31, 1981]



   Subpart C--Carrying Out of Voluntary Agreements and Developing and 
                    Carrying Out of Plans of Actions



Sec. 209.31   Purpose and scope.

    This subpart establishes the standards and procedures by which 
persons engaged in the business of producing, transporting, refining, 
distributing, or storing petroleum products shall carry out voluntary 
agreements and develop and carry out plans of action which are required 
to implement the allocation and information provisions of the 
International Energy Program.



Sec. 209.32   Initiation of meetings.

    (a) Except for meetings of bodies created by the International 
Energy Agency, any meeting among participants in a voluntary agreement 
pursuant to this subpart, for the purpose of carrying out such voluntary 
agreement or developing or carrying out a plan of action pursuant 
thereto, shall be initiated and chaired by a full-time Federal employee 
designated by the Administrator.
    (b) Except as provided in paragraph (c) of this section, the 
Administrator shall provide notice of meetings held pursuant to this 
subpart, in writing, to the Attorney General, the Federal Trade 
Commission, and to the Speaker of the House and the President of the 
Senate for delivery to the appropriate committees of Congress. Except 
during an international energy supply emergency, notice shall also be 
provided to the public through publication in the Federal Register. Such 
notice shall

[[Page 55]]

identify the time, place, and agenda of the meeting. Notice in the 
Federal Register shall be published at least seven days prior to the 
date of the meeting unless emergency circumstances, IEP requirements or 
other unanticipated circumstances require the period to be shortened.
    (c) During an international energy supply emergency, advance notice 
shall be given to the Attorney General, the Federal Trade Commission and 
to the Speaker of the House and the President of the Senate for delivery 
to the appropriate committees of Congress. Such notice may be telephonic 
or by such other means as practicable, and shall be confirmed in 
writing.



Sec. 209.33   Conduct of meetings.

    (a) Subject to the provisions of paragraph (c) of this section, 
meetings held to carry out a voluntary agreement, or to develop or carry 
out a plan of action pursuant to this subpart, shall be open to all 
interested persons, subject to limitations of space. Interested persons 
desiring to attend meetings under this subpart may be required to advise 
the Administrator in advance.
    (b) Interested persons permitted to attend meetings under this 
section may present data, views, and arguments orally and in writing, 
subject to such limitations with respect to the manner of presentation 
as the Administrator may impose.
    (c) Meetings held pursuant to this subpart shall not be open to the 
public to the extent that the President or his delegate finds that 
disclosure of the proceedings beyond those authorized to attend would be 
detrimental to the foreign policy interests of the United States, and 
determines, in consultation with the Administrator, the Secretary of 
State, and the Attorney General, that a meeting shall not be open to 
interested persons or that attendance by interested persons shall be 
limited.
    (d) The requirements of this section do not apply to meetings of 
bodies created by the International Energy Agency except that no 
participant in a voluntary agreement may attend any meeting of any such 
body held to carry out a voluntary agreement or to develop or to carry 
out a plan of action unless a full-time Federal employee is present.



Sec. 209.34   Maintenance of records.

    (a) The Administrator or his delegate shall keep a verbatim 
transcript of any meeting held pursuant to this subpart except where (1) 
due to considerations of time or other overriding circumstances, the 
keeping of a verbatim transcript is not practicable, or (2) principal 
participants in the meeting are representatives of foreign governments. 
If any such record other than a verbatim transcript, is kept by a 
designee who is not a full-time Federal employee, that record shall be 
submitted to the full-time Federal employee in attendance at the meeting 
who shall review the record, promptly make any changes he deems 
necessary to make the record full and complete, and shall notify the 
designee of such changes.
    (b)(1) Except as provided in paragraphs (b) (2) through (4) of this 
section, participants shall keep a full and complete record of any 
communication (other than in a meeting held pursuant to this subpart) 
between or among themselves or with any other member of a petroleum 
industry group created by the International Energy Agency, or subgroup 
thereof for the purpose of carrying out a voluntary agreement or 
developing or carrying out a plan of action under this subpart, except 
that where there are several communications within the same day 
involving the same participants, they may keep a cumulative record for 
the day. The parties to a communication may agree among themselves who 
shall keep such record. Such record shall include the names of the 
parties to the communication and the organizations, if any, which they 
represent; the date of communication; the means of communication, and a 
description of the communication in sufficient detail to convey 
adequately its substance.
    (2) Where any communication is written (including, but not limited 
to, telex, telegraphic, telecopied, microfilmed and computer printout 
material), and where such communication demonstrates on its face that 
the originator or some other source furnished a

[[Page 56]]

copy of the communication to the Office of International Affairs, 
Department of Energy with the notation ``Voluntary Agreement'' on the 
first page of the document, no participants need record such a 
communication or send a further copy to the Department of Energy. The 
Department of Energy may, upon written notice to participants, from time 
to time, or with reference to particular types of documents, require 
deposit with other offices or officials of the Department of Energy. 
Where such communication demonstrates that it was sent to the Office of 
International Affairs, Department of Energy with the notation 
``Voluntary Agreement'' on the first page of the document, or such other 
offices or officials as the Department of Energy has designated pursuant 
to this section, it shall satisfy paragraph (c) of this section, for the 
purpose of deposit with the Department of Energy.
    (3) To the extent that any communication is procedural, 
administrative or ministerial (for example, if it involves the location 
of a record, the place of a meeting, travel arrangements, or similar 
matters) only a brief notation of the date, time, persons involved and 
description of the communication need be recorded; except that during an 
IEA emergency allocation exercise or an allocation systems test such a 
non-substantive communication between members of the Industry Supply 
Advisory Group (ISAG) which occur within IEA headquarters need not be 
recorded.
    (4) To the extent that any communication involves matters which 
recapitulate matters already contained in a full and complete record, 
the substance of such matters shall be identified, but need not be 
recorded in detail, provided that reference is made to the record and 
the portion thereof in which the substance is fully set out.
    (c) Except where the Department of Energy otherwise provides, all 
records and transcripts prepared pursuant to paragraphs (a) and (b) of 
this section, shall be deposited within seven (7) days after the close 
of the week (ending Saturday) of their preparation during an 
international energy supply emergency or a test of the IEA emergency 
allocation system, and within fifteen (15) days after the close of the 
month of their preparation during periods of non-emergency, together 
with any agreement resulting therefrom, with the Department of Energy 
and shall be available to the Department of Justice, the Federal Trade 
Commission, and the Department of State. Such records and transcripts 
shall be available for public inspection and copying to the extent set 
forth in subpart D. Any person depositing materials pursuant to this 
section shall indicate with particularity what portions, if any, the 
person believes are not subject to disclosure to the public pursuant to 
subpart D and the reasons for such belief.
    (d) Any meeting between a participant and an official of DOE for the 
purpose of carrying out a voluntary agreement or developing or carrying 
out a plan of action shall, if not otherwise required to be recorded 
pursuant to this section, be recorded by such official as provided in 
Sec. 204.5.
    (e) During international oil allocation under chapters III and IV of 
the IEP or during an IEA allocation systems test, the Department of 
Energy may issue such additional guidelines amplifying the requirements 
of these regulations as the Department of Energy determines to be 
necessary and appropriate.

(Approved by the Office of Management and Budget under Control No. 1905-
0067)

(Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended; 
E.O. 11790, 39 FR 23185; E.O. 11930, 41 FR 32397; Energy Policy and 
Conservation Act, Pub. L. 94-163; E.O. 11912, 41 FR 15825; Department of 
Energy Organization Act, Pub. L. 95-91, 91 Stat. 565, E.O. 12009, 42 FR 
46267)

[41 FR 6754, Feb. 13, 1976, as amended at 43 FR 12854, Mar. 28, 1978; 46 
FR 63209, Dec. 31, 1981]



    Subpart D--Availability of Information Relating to Meetings and 
                             Communications



Sec. 209.41   Availability of information relating to meetings and communications.

    (a) Except as provided in paragraph (b) of this section, records or 
transcripts prepared pursuant to this subpart shall be available for 
public inspection and copying in accordance

[[Page 57]]

with section 552 of title 5, United States Code and part 202 of this 
title.
    (b) Matter may be withheld from disclosure under section 552(b) of 
title 5 only on the grounds specified in:
    (1) Section 552(b)(1), applicable to matter specifically required by 
Executive Order to be kept secret in the interest of the national 
defense or foreign policy. This section shall be interpreted to include 
matter protected under Executive Order No. 11652 of March 8, 1972, 
establishing categories and criteria for classification, as well as any 
other such orders dealing specifically with disclosure of IEP related 
materials;
    (2) Section 552(b)(3), applicable to matter specifically exempted 
from disclosure by statute; and
    (3) So much of section 552(b)(4) as relates to trade secrets.



PART 210--GENERAL ALLOCATION AND PRICE RULES--Table of Contents




                        Subpart A--Recordkeeping

Sec.
210.1  Records.

                        Subparts B-D--[Reserved]

    Authority: Emergency Petroleum Allocation Act of 1973, Pub. L. 93-
159, E.O. 11748, 38 FR 33577; Economic Stabilization Act of 1970, as 
amended, Pub. L. 92-210, 85 Stat. 743; Pub. L. 93-28, 87 Stat. 27; E.O. 
11748, 38 FR 33575; Cost of Living Council Order Number 47, 39 FR 24.



                        Subpart A--Recordkeeping



Sec. 210.1  Records.

    (a) The recordkeeping requirements that were in effect on January 
27, 1981, in parts 210, 211, and 212 will remain in effect for (1) all 
transactions prior to February 1, 1981; and (2) all allowed expenses 
incurred and paid prior to April 1, 1981 under Sec. 212.78 of part 212. 
These requirements include, but are not limited to, the requirements 
that were in effect on January 27, 1981, in Sec. 210.92 of this part; in 
Secs. 211.67(a)(5)(ii); 211.89; 211.109, 211.127; and 211.223 of part 
211; and in Secs. 212.78(h)(5)(ii); 212.78(h)(6); 
212.83(c)(2)(iii)(E)(I); 212.83(c)(2)(iii)(E)(II); 212.83(c)(2)(iii); 
``Fit''; 212.83(i); 212.93(a); 
212.93(b)(4)(iii)(B)(I); 212.93(i)(4); 212.94(b)(2)(iii); 212.128; 
212.132; 212.172; and Sec. 212.187 of part 212.
    (b) Effective February 5, 1985, paragraph (a) of this section shall 
apply, to the extent indicated, only to firms in the following 
categories. A firm may be included in more than one category, and a firm 
may move from one category to another. The fact that a firm becomes no 
longer subject to the recordkeeping requirements of one category shall 
not relieve that firm of compliance with the recordkeeping requirements 
of any other category in which the firm is still included.
    (1) Those firms which are or become parties in litigation with DOE, 
as defined in paragraph (c)(1) of this section. Any such firm shall 
remain subject to paragraph (a) of this section. DOE shall notify the 
firm in writing of the final resolution of the litigation and whether or 
not any of its records must be maintained for a further period. DOE 
shall notify a firm which must maintain any records for a further period 
when such records are no longer needed.
    (2)(i) Those firms which as of November 30 1984, have completed 
making all restitutionary payments required by an administrative or 
judicial order, consent order, or other settlement or order but which 
payments are on February 5, 1985, still subject to distribution by DOE. 
This requirement is applicable to only those firms listed in appendix B. 
Any such firm shall maintain all records for the time period covered by 
the administrative or judicial order, consent order, or other settlement 
or order requiring the payments, evidencing sales volume data for each 
product subject to controls and customers' names and addresses, until 
one of the following: June 30, 1985, unless this period is extended on a 
firm-by-firm basis; the end of the individual firm's extension; or the 
firm is notified in writing that its records are no longer needed.
    (ii) Those firms which as of November 30, 1984, are required to make 
restitutionary or other payments pursuant to an administrative or 
judicial order, consent order, or other settlement or order. Any such 
firm shall remain subject to paragraph (a) of this

[[Page 58]]

section until the firm completes all restitutionary payments required by 
the administrative or judicial order, consent order, or other settlement 
or order. However, after completing all such payments, a firm shall 
maintain all records described in paragraph (b)(2)(i) of this section 
until one of the following: Six months after the firm completes all such 
payments, unless this period is extended on a firm-by-firm basis; the 
end of the individual firm's extension; or the firm is notified in 
writing that its records are no longer needed.
    (3)(i) Those firms with completed audits in which DOE has not yet 
made a determination to initiate a formal enforcement action and firms 
under audit which do not have outstanding subpoenas. Any such firm shall 
maintain all records for the period covered by the audit including all 
records necessary to establish historical prices or volumes which serve 
as the basis for determining the lawful prices or volumes for any 
subsequent regulated transaction which is subject to audit, until one of 
the following: June 30, 1985, unless this period is extended on a firm-
by-firm basis; the end of the individual firm's extension; or the firm 
is notified in writing by DOE that its records are no longer needed. 
However, if a firm in this group shall become a party in litigation, the 
firm shall then be subject to the recordkeeping requirements for firms 
in litigation set forth in paragraph (b)(1) of this section.
    (ii) Those firms under audit which have outstanding subpoenas on 
February 5, 1985, or which receive subpoenas at any time thereafter or 
which have supplied records for an audit as the result of a subpoena 
enforced after November 1, 1983. Any such firm shall remain subject to 
paragraph (a) of this section until two years after ERA has notified the 
firm in writing that is in full compliance with the subpoena or until 
ERA has received from the firm a sworn certification of compliance with 
the subpoena as required by 10 CFR 205.8. However, if a firm in this 
group shall become a party in litigation, the firm shall then be subject 
to the recordkeeping requirements for firms in litigation set forth in 
paragraph (b)(1) of this section.
    (4) Those firms which are subject to requests for data necessary to 
verify that crude oil qualifies as ``newly discovered'' crude oil under 
10 CFR 212.79. Any such firm shall maintain the records evidencing such 
data until one of the following: June 30, 1985, unless this period is 
extended on a firm-by-firm basis; the end of an individual firm's 
extension; or the firm is notified in writing by DOE that its records 
are no longer needed. However, if a firm in this group shall become a 
party in litigation, the firm shall then be subject to the recordkeeping 
requirements for firms in litigation set forth in paragraph (b)(1) of 
this section.
    (5) Those firms whose records are determined by DOE as necessary to 
complete the enforcement activity relating to another firm which is also 
subject to paragraph (a) of this section unless such firms required to 
keep records have received certified notice letters specifically 
describing the records determined as necessary. At that time, the 
specific notice will control the recordkeeping requirements. These firms 
have been identified in appendix A. Any such firm shall maintain these 
records until one of the following: June 30, 1985, unless this period is 
extended on a firm-by-firm basis; the end of the individual firm's 
extension; or the firm is notified in writing by DOE that its records 
are no longer needed.
    (6) Those firms which participated in the Entitlements program. Any 
such firm shall maintain its Entitlements-related records until six 
months after the final judicial resolution (including any and all 
appeals) of Texaco v. DOE, Nos. 84-391, 84-410, and 84-456 (D. Del.), or 
the firm is notified by DOE that its records are no longer needed, 
whichever occurs first.
    (c) For purposes of this section:
    (1) A firm is ``a party in litigation'' if:
    (i)(A) The firm has received a Notice of Probable Violation, a 
Notice of Probable Disallowance, a Proposed Remedial Order, or a 
Proposed Order of Disallowance; or
    (B) The firm and DOE are parties in a lawsuit arising under the 
Emergency Petroleum Allocation Act of 1973, as amended (15 U.S.C. 751 et 
seq.) or 10 CFR parts 205, 210, 211, or 212; and

[[Page 59]]

    (ii)(A) There has been no final (that is, non-appealable) 
administrative or judicial resolution, or
    (B) DOE has not informed the firm in writing that the Department has 
completed its review of the matter.
    (2) A firm means any association, company, corporation, estate, 
individual, joint-venture, partnership, or sole proprietorship, or any 
other entity, however organized, including charitable, educational, or 
other eleemosynary institutions, and state and local governments. A firm 
includes a parent and the consolidated and unconsolidated entities (if 
any) which it directly or indirectly controls.

              Appendix A to 10 CFR 210.1--Third Party Firms

                              Name of Firm

A & R, Inc.
A. J. Petroleum
ADA Resources, Inc.
ATC Petroleum
Abbco Petroleum, Inc.
Ada Oil Company
Adams Grocery
Advanced Petroleum Distributing Co.
Agway Inc.
Allegheny Petroleum Corp.
Alliance Oil and Refining Company
Allied Chemical Corp.
Allied Transport
Amerada Hess Corp.
American Natural Crude Oil Assoc.
Amoco Production Company
Amorient Petroleum, Inc.
An-Son Transportation Co.
Anadarko Products Co.
Andrus Energy Corp.
Antler Petroleum
Arco Pipeline Company
Armada Petroleum Corp.
Armour Oil Company
Arnold Brooks Const. Inc.
Ashland Oil
Asiatic Petroleum Co.
Aspen Energy, Inc.
Athens General Hospital
Atlantic Pacific Energy, Inc.
Atlas Processing Company
B & B Trading Company
BLT, Inc.
BPM, Ltd.
Baker Services, Inc.
Basin Inc.
Basin Petroleum, Inc.
Beacon Hill Mobil
Belcher Oil Company
Bighart Pipeline Company
Bigheart Pipeline Corp
Bowdoin Square Exxon
Bowdoin Super Service (Sunoco)
Brio Petroleum, Inc.
Brixon
C.E. Norman
CPI Oil & Refining
CRA-Farmland Industries, Inc.
Calcaseiu Refining, Ltd.
Carbonit Houston, Inc.
Carr Oil Company, Inc.
Castle Coal & Oil Co.
Central Crude Corporation
Century Trading Co.
Charter Crude Oil
Chastain Vineyard
Chevron USA, Inc.
Cibro Petroleum, Inc.
Cirillo Brothers
Cities Service (Citgo) Station
Cities Service Company
Cities Service Midland
City of Athens
Clarke County Board of Education
Claude E. Silvey
Coastal Corporation (The)
Coastal Petroleum and Supply Inc.
Coastal States Trading Company
Commonwealth Oil Refining Co., Inc.
Coral Petroleum Canada, Inc.
Coral Petroleum, Inc.
Corex of Georgia
Cothran Interstate Exxon
Couch's Standard Chevron
Cougar Oil Marketers Inc.
Crude Company (The)
Crystal Energy Corporation
Crystal Refining
D & E Logging
DDC Corporation of America
Darrell Williamson
Davis Ellis
Days Inn of America, Inc.
Delta Petroleum & Energy Corp.
Derby & Company, Inc.
Derby Refining Company
Dewveall Petroleum
Dixie Oil Company
Dixon Oil Co.
Don Hardy
Donald Childs
Dow Chemical Company
Dr. Joe L. Griffeth
Driver Construction Co.
Drummond Brothers, Inc.
Duffie Monroe & Sons Co., Inc.
ECI (A/K/A Energy Cooperative Inc.)
Earnest Dalton
Earth Resources Trading
Eastern Seaboard Petroleum, Inc.
Elmer Hammon
Elvin Knight
Empire Marketing, Inc.
Encorp.
Energy Cooperative, Inc.
Energy Distribution Co.
Englehard Corporation
Englehard Oil Corporation
Entex
Evans Oil Co.

[[Page 60]]

Exxon Company
F & S Trading Company, Inc.
Farmers Union Central Exchange, Inc.
Farmland Industries Inc.
Fasgo, Inc.
Fedco Oil Company
Federal Employees Distributing Co.
Fitzpatrick Spreader
Flutz Oil Company
Flying J. Inc.
Foremost Petroleum
Four Corners Pipe Line
Frank Katz
Frank W. Abrahamsen
Frank's Butane, Inc.
Friendswood Refinery
Frontier Manor Collection
Fuel Oil Supply & Terminaling, Inc.
G. C. Clark Company
GPC Marketing Company
Gary Refining Co.
Geer Tank Trucks, Inc.
Gene Clary
Gene McDonald
General Crude Oil Company
Geodynamics Oil & Gas Inc.
George Kennedy
George Smith Chevron
Gleason Oil Company
Glenn Company
Globe Oil Co.
Godfrey's Standard Service
Good Hope Industries, Inc.
Good Hope Refineries, Inc.
Granite Oil Company
Guam Oil & Refining Co., Inc.
Gulf States Oil & Refining Company
H. D. Adkinson
H. H. Dunson
H.S. & L, Inc.
HNG Oil Company
Harbor Petroleum, Inc.
Harbor Trading
Harmony Grove Mills, Inc.
Harry Rosser
Hast Oil, Inc.
Heet Gas Company
Henry Alva Mercer
Herndon Oil & Gas Company
Horizon Petroleum Company
Houston Oil & Minerals Products Co.
Houston Oil & Refining
Howell Corporation
Hurricane Trading Company, Inc.
Hydrocarbon Trading and Transport Co.
Inco Trading
Independent Refining Corp.
Independent Trading Corporation
Indiana Refining, Inc.
Intercontinental Petroleum Corp.
International Crude Corporation
International Petro
International Petroleum Trading, Inc.
International Processors
Isthmus Trading Corporation
J & M Transport
J. & J.'s Fast Stop
J. A. Rackerby Corporation
J. H. Baccus
J. H. Baccus & Co.
J. J. Williamson
J. M. Petroleum Corporation
JPK Industries
Jack W. Grigsby
Jaguar Petroleum, Inc.
James L. Bush
Jay Petroleum Company
Jay-Ed Petroleum Company
John W. McGowan
Kalama Chemical, Inc.
Kelly Trading Corp.
Kenco Refining
Kerr-McGee Corporation
Koch Fuel
Koch Industries, Inc.
Kocolene Oil
Kocolene Station
L & L Resources, Inc.
L.S. Parker
LaGloria Oil & Gas
LaJet, Inc.
Lamar Refining Co.
Langham Petroleum Corp.
Larry Roberts
Laurel Oil, Inc.
Lee Allen
Lincoln Land Sales Company
Listo Petroleum Inc.
Longview Refining Corp.
Love's Standard
Lucky Stores Inc.
M.L. Morrow
Magna Energy Corporation
Magnolia Oil Company
Mansfield Oil Co.
Mapco Petroleum, Inc.
Mapco, Inc.
Marion Trading Co.
Marlex Oil & Refining, Inc.
Marlin Petroleum, Inc.
Martin Oil Company
Mathew's Grocery
McAuleep Oil Co.
McAuley Oil Company
Meadows Gathering, Inc.
Mellon Energy Products Co.
Merit Petroleum, Inc.
Metro Wash, Inc.
Miller Oil Purchasing Co.
Minor Oil, Inc.
Minro Oil, Inc.
Mitchell Oil Co.
Mitsui & Co. (USA) Inc.
Mobil Bay Refining Company
Montgomery Well Drilling
Mundy Food Market
Munford, Inc.
Mutual Petroleum
NRG Oil Company
National Convenience Stores
National Cooperative Refinery
Nicholson Grocery and Gas
North American Petroleum
Northeast Petroleum Corp.

[[Page 61]]

Northeast Petroleum Corporation
Northgate Auto Center
Northwest Crude, Inc.
Nova Refining Corp.
Occidental Petroleum Corp. (includes Permia)
Ocean Drilling and Exploration Co.
Oil Exchange, Inc.
Oilco
Omega Petroleum Corp.
Otoe Corporation
Oxxo Energy Group, Inc.
P & O Falco, Inc.
P. L. Heatley Co.
PEH, Inc.
PIB, Inc.
PSW Distributors Company
Pacific Refinery, Inc.
Pacific Resources, Inc.
Pan American Products Corp.
Par Brothers Food Store
Pauley Petroleum Inc.
Pennzoil Co.
Permian Corporation (The)
Pescar International Corp.
Pescar International Trading Co.
Petraco (U.S.A.) Inc.
Petrade International
Petrol Products, Inc.
Phillips Petroleum Company
Phoenis Petroleum Co.
Phoenix Petroleum Co.
Pine Mountains
Poole Petroleum
Port Petroleum
Presley Oil Co.
Procoil Inc.
Publiker Industries, Inc.
Pyramid Dist. Co., Inc.
Questor Crude Oil Company
Quitman Refining Co.
R. H. Garrett Paving
Ra-Gan Fuel, Inc.
Reeder Distributing Co.
Reeder Distributors
Reese Exploration Co.
Research Fuels Inc.
Revere Petroleum Co.
Richardson-Ayres, Inc.
Robert Bishop
Robert Patrick
Roberts Grocery
Rock Island Refining Corporation
Rogers Oil Company
Roy Baerne
Russell Oil Company
S. G. Coplen
SECO (Scruggs Energy)
Saber Crude Oil, Inc.
Saber Refining Company
Salem Ventures, Inc.
Samson Resources Company
Santa Fe Energy Products Co.
Saye's Truck Stop
Scandix Oil Limited
Score, Inc.
Scruggs Energy Company
Scurlock Oil Company
Scurry Oil Company
Seamount Petroleum Company
Seaview Petroleum Company
Sector Refining, Inc.
Selfton Miller
Shepherd Trading Corporation
Shulze Processing
Sigmor Corporation
Skelly Oil Company
South Hampton Refining Company
South Texas LP Gas Co.
Southern Crude Oil Resources
Southern Terminal & Transport, Ltd.
Southern Union Company
Southwest Petro. Energy
Southwest Petrochem
Standard Oil Co. (Ohio)
Standard Oil Co. of California
Standard Oil Company (Indiana)
Standard Oil Company (Ohio)
Sterling Energy Company
Steve Childs
Stix Gas Company, Inc.
Sunset Grocery
Sunset Oil & Refining, Inc.
Swanee Petroleum Company
T & P Enterprises
T. B. Eley
T. E. Jawell
Tauber Oil Company
Tenneco, Inc.
Tesoro Crude Oil Company
Texana Oil & Gas Corp.
Texas American Petrochemicals (TAP)
Texas City Refining
Texas Eastern Transmission Corp.
Texas Energy Reserve Corporation
Texas Pacific Oil Company
Thomas Cockvell
Thomas Petroleum Products, Inc.
Thorton Oil Company
Thyssen Incorporated
Tiger Petroleum Company
Time Oil Co.
Tipperary Refining Company
Tom Banks
Tom Smith
Tomlinson Petroleum, Inc.
Tosco Corporation
Total Petroleum, Inc.
Trans-Texas Petroleum Corp.
Transco Trading Company
Turboil Oil and Refining
Two Rivers Oil & Gas Co., Inc.
U-Fill 'er Up
USA Gas, Inc.
Uni Oil Company
Union Oil of California
Doram Energy
United Petroleum Marketing
United Refining Company
United Refining, Inc.
Universal Rundle
Val-Cap, Inc.
Vedetta Oil Trading, Inc.
Vedette Oil Trading, Inc.

[[Page 62]]

Vickers Energy Corp.
W. C. Colquitt
W. T. Strickland
W. W. Blanton
W.A. Nunnally, Jr., Construction Co.
W.D. Porterfiled
Wellven, Inc.
West Texas Marketing Corp.
Western Crude Oil, Inc.
Western Fuels, Inc.
Wight Nurseries of Oglethorpe Co.
William Seabolt
Wilson's Used Tractors
Windsor Gas Corp.
Wyoming Refining

  Appendix B to 10 CFR 210.1--Firms With Completed Payments Subject to 
                              Distribution

    The following firms have completed making restitutionary payments to 
DOE but their payments are still subject to distribution by DOE. Each 
such firm must maintain relevant records until June 30, 1985, unless 
this period is extended on a firm-by-firm basis. Relevant records are 
all records of the firm, including any affiliates, subsidiaries or 
predecessors in interest, for the time period covered by the judicial or 
administrative order, consent order, or other settlement or order 
requiring the payments, evidencing sales volume data for each product 
subject to controls and customers' names and addresses.

------------------------------------------------------------------------
             Name of firm                           Location            
------------------------------------------------------------------------
A. Tarricone Inc......................  Yonkers, NY.                    
Adolph Coors Company..................  Golden, CO.                     
Allied Materials Corp & Excel.........  Oklahoma City, OK.              
Aminoil USA, Inc......................  Houston, TX.                    
Amtel, Inc............................  Providence, RI.                 
Apache Corporation....................  Minneapolis, MN.                
APCO Oil Corporation..................  Oklahoma City, OK.              
Arapaho Petroleum, Inc................  Breckenridge, TX.               
Arkansas Louisiana Gas Company........  Shreveport, LA.                 
Arkla Chemical Corporation............  Shreveport, LA.                 
Armour Oil Company....................  San Diego, CA.                  
Associated Programs Inc...............  Boca Raton, FL.                 
Atlanta Petroleum Production..........  Fort Worth, TX.                 
Automatic Heat, Inc...................                                  
Ayers Oil Company.....................  Canton, MD.                     
Aztex Energy Corporation..............  Knoxville, TN.                  
Bak Ltd...............................  Narbeth, PA.                    
Bayou State Oil/IDA Gasoline..........  Shreveport, LA.                 
Bayside Fuel Oil Depot Corp...........  Brooklyn, NY.                   
Belridge Oil Company..................  Los Angeles, CA.                
Blaylock Oil Co., Inc.................  Homestead, FL.                  
Blex Oil Company......................  Minneapolis, MN.                
Boswell Oil Company...................  Cincinnati, OH.                 
Box, Cloyce K.........................  Dallas, TX.                     
Breckenridge Gasoline Company.........  Kansas City, KS.                
Brownlie, Wallace, Armstrong..........  Denver, CO.                     
Bucks Butane & Propane Service........  San Jose, CA.                   
Budget Airport Associates.............  Los Angeles, CA.                
Busler Enterprises Inc................  Evansville, IN.                 
Butler Petroleum Corp.................  Butler, PA.                     
C.K. Smith & Company, Inc.............  Worcester, MA.                  
Cap Oil Company.......................  Tulsa, OK.                      
Champlain Oil Co., Inc................  South Burlington, VT.           
Chapman, H.A..........................  Tulsa, OK.                      
Cibro Gasoline Corporation............  Bronx, NY.                      
City Service Inc......................  Kalispell, MT.                  
Coastal Corporation...................  Houston, TX.                    
Coline Gasoline Corporation...........  Santa Fe Springs, CA.           
Collins Oil Co........................  Aurora, IL.                     
Columbia Oil Co.......................  Hamilton, OH.                   
Conlo Service Inc.....................  East Farmingdale, NY.           
Conoco, Inc...........................  Houston, TX.                    
Consolidated Gas Supply Corp..........  Hastings, WV.                   
Consolidated Leasing Corp.............  Los Angeles, CA.                
Consumers Oil Co......................  Rosemead, CA.                   
Continental Resources Company.........  Winter Park, FL.                
Cordele Operating Co..................  Corsicana, TX.                  
Cosby Oil Co., Inc....................  Whittier, CA.                   
Cougar Oil Co.........................  Selma, AL.                      
Cross Oil Co., Inc....................  Wellstone, MO.                  
Crystal Oil Company (formerly Vallery   Shreveport, LA.                 
 Corp.).                                                                
Crystal Petroleum Co..................  Corpus Christi, TX.             
Devon Corporation.....................  Oklahoma City, OK.              
Dorchester Gas Corp...................  Dallas, TX.                     
E.B. Lynn Oil Company.................  Allentown, PA.                  
E.M. Bailey Distributing Co...........  Paducah, KY.                    
Eagle Petroleum Co....................  Wichita Falls, TX.              
Earls Broadmoor.......................  Houma, LA.                      
Earth Resources Co....................  Dallas, TX.                     
Eastern Petroleum Corp................  Annapolis, MD.                  
Edington Oil Co.......................  Los Angeles, CA.                
Elias Oil Company.....................  West Palm Beach, FL.            
Elm City Filling Stations, Inc........  New Haven, CT.                  
Empire Oil Co.........................  Bloomington, CA.                
Endicott, Eugene......................  Redmond, OR.                    
Enserch Corp..........................  Dallas, TX.                     
Enterprise Oil & Gas Company..........  Detroit, MI.                    
F.O. Fletcher, Inc....................  Tacoma, WA.                     
Fagadau Energy Corporation............  Dallas, TX.                     
Farstad Oil Company...................  Minot, ND.                      
Field Oil Co., Inc....................  Ogden, UT.                      
Fine Petroleum Co., Inc...............  Norfolk, VA.                    
Foster Oil Co.........................  Richmond, MI.                   
Franks Petroleum Inc..................  Shreveport, LA.                 
Froesel Oil Co........................                                  
Gas Systems Inc.......................  Ft. Worth, TX.                  
Gate Petroleum Co., Inc...............  Jacksonville, FL.               
GCO Minerals Company..................  Houston, TX.                    
Getty Oil Company.....................  Los Angeles, CA.                
Gibbs Industries, Inc.................  Revere, MA.                     
Glaser Gas Inc........................  Calhoun, CO.                    
Glover, Lawrence H....................  Patchogue, NY.                  
Goodman Oil Company...................  Boise, ID.                      
Grant Rent a Car Corporation..........  Los Angeles, CA.                
Grimes Gasoline Co....................  Tulsa, OK.                      
Gulf Energy & Development Corp. (also   San Antonio, TX.                
 known as Gulf Energy Development                                       
 Corp.).                                                                
Gulf Oil Corp.........................  Houston, TX.                    
Gull Industries, Inc..................  Seattle, WA.                    
H.C. Lewis Oil Co.....................  Welch, WV.                      
Hamilton Brothers Petroleum Co........  Denver, CO.                     
Harris Enterprise Inc.................  Portland, OR.                   
Heller, Glenn Martin..................  Boston, MA.                     
Hendel's Inc..........................  Waterford, CT.                  
Henry H. Gungoll Associates...........  Enid, OK.                       
Hertz Corporation, The................  New York, NY.                   
Hines Oil Co..........................  Murphysboro, IL.                
Horner & Smith, A Partnership.........  Houston, TX.                    
Houston Natural Gas Corp..............  Houston, TX.                    
Howell Corporation/Quintana Refinery    Houston, TX.                    
 Co.                                                                    
Hunt Industries.......................  Dallas, TX.                     
Hunt Petroleum Corp...................  Dallas, TX.                     
Husky Oil Company of Delaware.........  Cody, WY.                       
Ideal Gas Co., Inc....................  Nyassa, OR.                     

[[Page 63]]

                                                                        
Independent Oil & Tire Company........  Elyria, OH.                     
Inland USA, Inc.......................  St. Louis, MO.                  
Inman Oil Co..........................  Salem, MO.                      
Internorth, Inc.......................  Omaha, NE.                      
J.E. DeWitt, Inc......................  South El Monte, CA.             
J.M. Huber Corp.......................  Houston, TX.                    
James Petroleum Corp..................  Bakersfield, CA.                
Jay Oil Company.......................  Fort Smith, AR.                 
Jimmys Gas Stations Inc...............  Auburn, ME.                     
Jones Drilling Corporation............  Duncan, OK.                     
Juniper Petroleum Corporation.........  Denver, CO.                     
Kansas-Nebraska Natural Gas Co........  Hastings, NE.                   
Keller Oil Company, Inc...............  Effingham, IL.                  
Kenny Larson Oil Co., Inc.............                                  
Kent Oil & Trading Company............  Houston, TX.                    
Key Oil Co., Inc......................  Tuscaloosa, AL.                 
Key Oil Company.......................  Bowling Green, KY.              
Kiesel Co.............................  St. Louis, MO.                  
King & King Enterprise................  Kansas City, MO.                
Kingston Oil Supply Corp..............  Port Ewen, NY.                  
Kirby Oil Company.....................                                  
L & L Oil Co., Inc....................  Belle Chasse, LA.               
L.P. Rech Distributing Co.............  Roundup, MT.                    
La Gloria Oil and Gas Co..............  Houston, TX.                    
Lakes Gas Co., Inc....................  Forest Lake, MN.                
Lakeside Refining Co./Crystal.........  Southfield, MI.                 
Landsea Oil Company...................  Irvine, CA.                     
Leathers Oil Co., Inc.................  Portland, OR.                   
Leese Oil Company.....................  Pocatello, ID.                  
Leonard E. Belcher, Inc...............  Springfield, MA.                
Lincoln Land Oil Co...................  Springfield, IL.                
Liquid Products Recovery..............  Houston, TX.                    
Little America Refining Co............  Salt Lake City, UT.             
Lockheed Air Terminal Inc.............  Burbank, CA.                    
Lowe Oil Company......................  Clinton, MO.                    
Lucia Lodge Arco......................  Big Sur, CA.                    
Luke Brothers Inc.....................  Calera, OK.                     
Lunday Thargard Oil...................  South Gate, CA.                 
Malco Industries Inc..................  Cleveland, OH.                  
Mapco, Inc............................  Tulsa, OK.                      
Marine Petroleum Co...................  St. Louis, MO.                  
Marlen L. Knutson Dist. Inc...........  Stanwood, WA.                   
Martin Oil Service, Inc...............  Blue Island, IL.                
Martinoil Company.....................  Fresno, CA.                     
Marvel Fuel Oil and Gas Co............                                  
McCarty Oil Co........................  Wapakoneta, OH.                 
McCleary Oil Co., Inc.................  Chambersburg, OH.               
McClure's Service Station.............  Salisbury, PA.                  
McTan Corporation.....................  Abilene, TX.                    
Mesa Petroleum Company................  Amarillo, TX.                   
Midway Oil Co.........................  Rock Island, IL.                
Midwest Industrial Fuels, Inc.........  La Crosse, WI.                  
Mississippi River Transmission........  St. Louis, MO.                  
Mitchell Energy Corp..................  Woodlands, TX.                  
Montana Power Co......................  Butte, MT.                      
Moore Terminal and Barge Co...........  Monroe, LA.                     
Mountain Fuel Supply Company..........  Salt Lake City, UT.             
Moyle Petroleum Co....................  Rapid City, SD.                 
Mustang Fuel Corporation..............  Oklahoma City, OK.              
Naphsol Refining Company..............  Muskegon, MI.                   
National Helium Corporation...........  Liberal, KS.                    
National Propane Corp.................  Wyandanch, NY.                  
Navajo Refining Company...............  Dallas, TX.                     
Nielson Oil & Propane, Inc............  West Point, NE.                 
Northeast Petroleum Industries........  Chelsea, MA.                    
Northeastern Oil Co., Inc.............  Gillette, WY.                   
Northwest Pipeline Corp...............  Salt Lake City, UT.             
O'Connell Oil Co......................  Pittsfield, MA.                 
Oceana Terminal Corp. et al...........  Bronx, NY.                      
OKC Corporation.......................  Dallas, TX.                     
Olin Corporation......................  Stamford, CT.                   
Oneok Incorporation...................  Tulsa, OK.                      
Ozona Gas Processing Plant............  Tyler, TX.                      
Pacer Oil Co. of Florida, Inc.........  Ormond Beach, FL.               
Pacific Northern Oil..................  Seattle, WA.                    
Panhandle Eastern (Century)...........  Houston, TX.                    
Parade Company........................  Shreveport, LA.                 
Parham Oil Corporation................  Nashville, TN.                  
Pasco Petroleum Co., Inc..............  Phoenix, AZ.                    
Pedersen Oil, Inc.....................  Silverdale, WA.                 
Pennzoil Company......................  Houston, TX.                    
Perry Gas Processors, Inc.............  Odessa, TX.                     
Peoples Energy Corp...................  Chicago, IL.                    
Perta Oil Marketing Corp..............  Beverly Hills, CA.              
Peterson Petroleum Inc................  Hudson, NY.                     
Petro-Lewis Corp......................  Denver, CO.                     
Petrolane-Lomita Gasoline Co..........  Long Beach, CA.                 
Petroleum Heat & Power Co. Inc........  Stamford, CT.                   
Petroleum Sales/Services Inc..........  Buffalo, NY.                    
Pioneer Corp..........................  Amarillo, TX.                   
Planet Engineers Inc..................  Denver, CO.                     
Plateau, Inc..........................  Albuquerque, NM.                
Plaquemines Oil Sales.................  Belle Chasse, LA.               
Point Landing Inc.....................  Hanrahan, LA.                   
Port Oil Company, Inc.................  Mobile, AL.                     
Post Petroleum Co.....................  West Sacramento, CA.            
Power Pak Co., Inc....................  Houston, TX.                    
Pride Refining, Inc...................  Abilene, TX.                    
Pronto Gas Co.........................  Abilene, TX.                    
Propane Gas & Appliance Co............  New Brockton, AL.               
Prosper Energy Corporation............  Dallas, TX.                     
Pyro Energy Corporation...............  Evansville, IN.                 
Pyrofax Gas Corporation...............  Houston, TX.                    
Quaker State Oil......................  Oil City, PA.                   
Quarles Petroleum, Inc................  Fredericksburg, VA.             
Resources Extraction Process..........  Houston, TX.                    
Reynolds Oil Co.......................  Kremling, CO.                   
Richardson Ayers Jobbers, Inc.........  Alexandria, LA.                 
Riverside Oil, Inc....................  Evansville, IN.                 
Roberts Oil Co. Inc...................  Albuquerque, NM.                
Rookwood Oil Terminals Inc............  Cincinnati, OH.                 
Saber Energy, Inc.....................  Houston, TX.                    
Sanesco Oil Co........................  Escondido, CA.                  
Schroeder Oil Company.................  Carroll, IA.                    
Seminole Refining Inc.................  St. Marks, FL.                  
Sid Richardson Carbon & Gas...........  Ft. Worth, TX.                  
Sigmore Corporation...................  San Antonio, TX.                
Southwestern Refining Co., Inc........  Salt Lake City, UT.             
Speedway Petroleum Co., Inc...........  Fitchburg, MA.                  
St. James Resources Corp..............  Boston, MA.                     
Standard Oil Co. (Indiana)............  Chicago, IL.                    
Stinnes Inter Oil Inc.................  New York, NY.                   
Tenneco Oil Company...................  Houston, TX.                    
Texas/Arkansas/Colorado/Oklahoma/Oil    Dallas, TX.                     
 Purchasing.                                                            
Texas Gas & Exploration...............  Dallas, TX.                     
Texas Oil & Gas Corporation...........  Dallas, TX.                     
Texas Pacific Oil Company, Inc........  Dallas, TX.                     
The True Companies....................  Casper, WY.                     
Thompson Oil Inc......................  Purcellville, VA.               
Tiger Oil Co..........................  Yakima, WA.                     
Time Oil Company......................  Seattle, WA.                    
Tipperary Corp........................  Midland, TX.                    
Tippins Oil & Gas Co..................  Richmond, MO.                   
Triton Oil & Gas Corp.................  Dallas, TX.                     
U.S. Compressed Gas Company...........  King of Prussia, PA.            
U.S. Oil Company......................  Combined Locks, WI.             
U.S.A. Petroleum, Inc.................  Santa Monica, CA.               
Union Texas Petroleum Corp............  Houston, TX.                    
United Oil Company....................  Hillside, NJ.                   
Upham Oil & Gas Co....................  Mineral Wells, TX.              
Vangas Inc............................  Fresno, CA.                     
VGS Corporation.......................  Jackson, MS.                    
Waller Petroleum Company, Inc.........  Towson, MD.                     
Warren Holding Company................  Providence, RI.                 
Warrior Asphalt Co. of Alabama........  Tuscaloosa, AL.                 
Webco Southern Oil Inc................  Smyrna, CA.                     
Wellen Oil Co.........................  Jersey City, NJ                 

[[Page 64]]

                                                                        
Wiesehan Oil Co.......................                                  
Willis Distributing Company...........  Erie, PA.                       
Winston Refining Company..............  Fort Worth, TX.                 
Witco Chemical Corporation............  New York, NY.                   
World Oil Company.....................  Los Angeles, CA.                
Worldwide Energy Corp.................  Denver, CO.                     
Young Refining Corporation............  Douglasville, GA.               
Zia Fuels (G.G.C. Corp.)..............  Hobbs, NM.                      
------------------------------------------------------------------------


(Approved by the Office of Management and Budget under control number 
1903-0073)

[50 FR 4962, Feb. 5, 1985]



                        Subparts B-D--[Reserved]



PART 212--MANDATORY PETROLEUM PRICE REGULATIONS--Table of Contents




                         Subpart A---C[Reserved]

                    Subpart D--Producers of Crude Oil

Sec.
212.78  Tertiary incentive crude oil.

                        Subparts E-I--[Reserved]


    Authority: Emergency Petroleum Allocation Act of 1973, Pub. L. 93-
159, E.O. 11748, 38 FR 33577; Economic Stabilization Act of 1970, as 
amended, Pub. L. 92-210, 85 Stat. 743; Pub. L. 93-28, 87 Stat. 27; E.O. 
11748, 38 FR 33575; Cost of Living Council Order Number 47, FR 24.



                        Subparts A-C--[Reserved]



                    Subpart D--Producers of Crude Oil



Sec. 212.78  Tertiary incentive crude oil.

    Annual prepaid expenses report. By January 31 of each year after 
1980, the project operator with respect to any enhanced oil recovery 
project for which a report had been filed previously with DOE pursuant 
to paragraph (h)(2)(i) of this section as that paragraph was in effect 
on January 27, 1981, shall file with DOE a report in which the operator 
shall certify to DOE (a) which of the expenses that had been reported 
previously to DOE pursuant to paragraph (h)(2)(i) of this section as 
that paragraph was in effect on January 27, 1981, were prepaid expenses; 
(b) the goods or services for which such expenses had been incurred and 
paid; (c) the dates on which such goods or services are intended to be 
used; (d) the dates on which such goods or services actually are used; 
(e) the identity of each qualified producer to which such prepaid 
expenses had been attributed; and (f) the percentage of such prepaid 
expenses attributed to each such qualified producer. An operator shall 
file an annual prepaid expenses report each year until it has reported 
the actual use of all the goods and services for which a prepaid expense 
had been incurred and paid. For purposes of this paragraph, a prepaid 
expense is an expense for any injectant or fuel used after September 30, 
1981, or an expense for any other item to the extent that IRS would 
allocate the deductions (including depreciation) for that item to the 
period after September 30, 1981.

(Approved by the Office of Management and Budget under OMB Control No.: 
1903-0069)

[46 FR 43654, Aug. 31, 1981, as amended at 46 FR 63209, Dec. 31, 1981]



                        Subparts E-I--[Reserved]



PART 215--COLLECTION OF FOREIGN OIL SUPPLY AGREEMENT INFORMATION--Table of Contents




Sec.
215.1  Purpose.
215.2  Definitions.
215.3  Supply reports.
215.4  Production of contracts and documents.
215.5  Pricing and volume reports.
215.6  Notice of negotiations.

    Authority: Emergency Petroleum Allocation Act of 1973, Pub. L. 93-
519, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133 and Pub. 
L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 
1974, Pub. L. 93-275, as amended, Pub. L. 94-385; Energy Policy and 
Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385; E.O. 
11790, 39 FR 23185.

    Source: 42 FR 48330, Sept. 23, 1977, unless otherwise noted.



Sec. 215.1  Purpose.

    The purpose of this part is to set forth certain requirements 
pursuant to section 13 of the Federal Energy Administration Act to 
furnish information concerning foreign crude oil supply arrangements. 
The authority set out in this section is not exclusive.

[[Page 65]]



Sec. 215.2  Definitions.

    As used in this subpart:
    Administrator means the Federal Energy Administrator or his 
delegate.
    DOE means the Department of Energy.
    Host government means the government of the country in which crude 
oil is produced and includes any entity which it controls, directly or 
indirectly.
    Person means any natural person, corporation, partnership, 
association, consortium, or any other entity doing business or domiciled 
in the U.S. and includes (a) any entity controlled directly or 
indirectly by such a person and (b) the interest of such a person in any 
joint venture, consortium or other entity to the extent of entitlement 
to crude oil by reason of such interest.



Sec. 215.3  Supply reports.

    (a) Any person having the right to lift for export by virtue of any 
equity interest, reimbursement for services, exchange or purchase, from 
any country, from fields actually in production, (1) an average of 
150,000 barrels per day or more of crude oil for a period of at least 
one year, or (2) a total of 55,000,000 barrels of crude oil for a period 
of less than one year, or (3) a total of 150,000,000 barrels of crude 
oil for the period specified in the agreement, pursuant to supply 
arrangements with the host government, shall report the following 
information.
    (1) Parties (including partners and percentage interest, where 
applicable).
    (2) Grade or grades available; loading terminal or terminals.
    (3) Government imposed production limits, if any.
    (4) Minimum lifting obligation and maximum lifting rights.
    (5) Details of lifting options within the above limits.
    (6) Expiration and renegotiation dates.
    (7) Price terms including terms of rebates, discounts, and number of 
days of credit calculated from the date of loading.
    (8) Other payments to or interests retained by the host government 
(i.e. taxes, royalties, and any other payment to the host government) 
expressed in terms of the applicable rates or payment or preemption 
terms, or the base to which those rates or terms are applied.
    (9) Related service or other fees and cost of providing services.
    (10) Restrictions on shipping or disposition.
    (11) Other material contract terms.
    (b) Reports under this section shall be made no later than (1) 60 
days after final issuance of reporting forms implementing this 
regulation, as announced in the Federal Register, (2) fourteen days 
after the date when supply arrangements are entered into, or (3) 
fourteen days after the initial lifting under an agreement in which the 
parties have tentatively concurred but not signed, whichever occurs 
first. Reporting shall be based on actual practice between the parties. 
Material changes in any item which must be reported pursuant to this 
section shall be reported no later than 30 days after a person receives 
actual notice of such changes.
    (c) Where reports under this section by each participant in a joint 
operation would be impracticable, or would result in the submission of 
inaccurate or misleading information, the participants acting together 
may designate a single participant to report on any of the rights, 
obligations, or limitations affecting the operation as a whole. Any such 
designation shall be signed by a duly authorized representative of each 
participant, and shall specify:
    (1) The precise rights, obligations, or limitations to be covered by 
the designation; and
    (2) The reasons for the designation. Such designations shall be 
submitted to the Assistant Administrator for International Energy 
Affairs, and shall take effect only upon his written approval, which may 
at any time be revoked.



Sec. 215.4  Production of contracts and documents.

    Whenever the Administrator determines that certain foreign crude oil 
supply information is necessary to assist in the formulation of energy 
policy or to carry out any other function of the Administrator, he may 
require the production by any person of any agreement or document 
relating to foreign

[[Page 66]]

oil supply arrangements or reports related thereto. Such material shall 
be provided pursuant to the conditions prescribed by the Administrator 
at the time of such order or subsequently. As used in this section, the 
term ``agreement'' includes proposed or draft agreements, and agreements 
in which the parties have tentatively concurred but have not yet signed, 
between or among persons and a host country.



Sec. 215.5  Pricing and volume reports.

    To the extent not reported pursuant to Sec. 215.3, any person 
lifting for export crude oil from a country shall report to the DOE 
within 30 days of the date on which he receives actual notice:
    (a) Any change (including changes in the timing of collection) by 
the host government in official selling prices, royalties, host 
government taxes, service fees, quality or port differentials, or any 
other payments made directly or indirectly for crude oil; changes in 
participation ratios; changes in concessionary arrangements; and
    (b) Any changes in restrictions on lifting, production, or 
disposition.



Sec. 215.6  Notice of negotiations.

    Any person conducting negotiations with a host government which may 
reasonably lead to the establishment of any supply arrangement subject 
to reporting pursuant to Sec. 215.3(a), or may reasonably have a 
significant effect on the terms and conditions of an arrangement subject 
to Sec. 215.3(a), shall notify DOE of such negotiations. Such notice 
shall be made no later than the later of 30 days after the effective 
date of this regulation or within 14 days after such negotiations meet 
the conditions of this section, and shall specify all persons involved 
and the host government affected. Notice must be in writing to the 
Assistant Administrator for International Energy Affairs. Where this 
notice pertains to negotiations to modify a supply agreement previously 
reported to the Department of Energy under this part, such notice shall 
include the agreement serial number assigned to the basic agreement.



PART 216--MATERIALS ALLOCATION AND PRIORITY PERFORMANCE UNDER CONTRACTS OR ORDERS TO MAXIMIZE DOMESTIC ENERGY SUPPLIES--Table of Contents




Sec.
216.1  Introduction.
216.2  Definitions.
216.3  Requests for assistance.
216.4  Evaluation by DOE of applications.
216.5  Notification of findings.
216.6  Petition for reconsideration.
216.7  Conflict in priority orders.
216.8  Communications.
216.9  Violations.

    Authority: Section 104 of the Energy Policy and Conservation Act 
(EPCA) Pub. L. 94-163, 89 Stat. 871; and section 101(c) of the Defense 
Production Act of 1950 (DPA) (50 U.S.C. App. 2071(c)), as amended; 
section 7, E.O. 11912, April 13, 1976; Defense Mobilization Order No. 
13, Sept. 22, 1976; 44 CFR Part 330; Defense Priorities and Allocations 
System Delegation No. 2, 49 FR 30430.

    Source: 43 FR 6212, Feb. 14, 1978, unless otherwise noted.



Sec. 216.1  Introduction.

    (a) This part describes and establishes the procedures to be used by 
the Department of Energy (``DOE'') in considering and making certain 
findings required by section 101(c)(3) of the Defense Production Act of 
1950, as amended, 50 U.S.C. App. 2071(c)(3) (``DPA''). Section 101(c) 
authorizes the allocation of, or priority performance under contracts or 
orders (other than contracts of employment) relating to, supplies of 
materials and equipment in order to maximize domestic energy supplies if 
the findings described in section 101(c)(3) are made. Among these 
findings are that such supplies of materials and equipment are critical 
and essential to maintain or further exploration, production, refining, 
transportation or the conservation of energy supplies or for the 
construction and maintenance of energy facilities. The function of 
finding if such supplies are critical and essential was delegated to the 
Administrator of the Department of Energy (``DOE'') pursuant to 
Executive Order

[[Page 67]]

11912 of April 13, 1976, Defense Mobilization Order (``DMO'') No. 13 
dated September 22, 1976, 41 FR 43720, and Department of Commerce, 
Bureau of Domestic Commerce, Delegation No. 4, effective date December 
1, 1976, 41 FR 52331. Delegation No. 4 was superseded by Defense 
Priorities and Allocations System Delegation No. 2, effective date 
August 29, 1984, 49 FR 30430. On October 1, 1977, pursuant to section 
301(a) of the Department of Energy Organization Act (Pub. L. 95-91), all 
of the functions of DOE and all of the functions of the DOE 
Administrator were transferred to the Secretary of Energy.
    (b) The purpose of these regulations is to establish the procedures 
and the criteria to be used by DOE in determining whether programs or 
projects maximize domestic energy supplies and finding whether or not 
supplies of material and equipment are critical and essential, as 
required by DPA section 101(c)(3). The critical and essential finding 
will be made only for supplies of materials and equipment related to 
those programs or projects determined by DOE to maximize domestic energy 
supplies. These regulations do not require or imply that the findings, 
on which the exercise of such authority is conditioned, will be made in 
any particular case.
    (c) If DOE determines that a program or project maximizes domestic 
energy supplies and finds that supplies of materials and equipment are 
critical and essential to maintain or further the exploration, 
production, refining, transportation or conservation of energy supplies 
or for the construction and maintenance of energy facilities, such 
determination and finding will be communicated to the Department of 
Commerce. If not, the applicant will be so informed. If the 
determination and finding described above are made, the Department of 
Commerce, pursuant to DPA section 101(c), Executive Order 11912 and DMO 
No. 13, will find whether or not (1) the supplies of materials and 
equipment in question are scarce and (2) maintenance or furtherance of 
exploration, production, refining, transportation, or conservation of 
energy supplies or the construction and maintenance of energy facilities 
cannot be reasonably accomplished without exercising the authority 
specified in section 101(c). If these additional two findings are made, 
the Department of Commerce will notify DOE, and DOE will inform the 
applicant that it has been granted the right to use priority ratings 
under the Defense Priorities and Allocations System (``DPAS'') 
regulation established by the Department of Commerce, 15 CFR 350.

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8311, Mar. 11, 1986]



Sec. 216.2  Definitions.

    As used in these regulations:
    (a) Secretary means the Secretary of the Department of Energy.
    (b) Applicant means a person requesting priorities or allocation 
assistance in connection with an energy program or project.
    (c) Application means the written request of an applicant for 
assistance.
    (d) Assistance means use of the authority vested in the President by 
DPA section 101(c) to implement priorities and allocation support.
    (e) DOC means the Department of Commerce, acting through the 
Secretary or the delegate of the Secretary.
    (f) DOE means the Department of Energy, acting through the Secretary 
or the delegate of the Secretary.
    (g) Eligible energy program or project means a designated activity 
which maximizes domestic energy supplies by furthering the domestic 
exploration, production, refining, transportation or conservation of 
energy supplies or construction and maintenance of energy facilities 
within the meaning of DPA section 101(c), as determined by DOE.
    (h) FEMA means the Federal Emergency Management Agency.
    (i) Materials and equipment means any raw, in-process, or 
manufactured commodity, equipment, component, accessory, part, assembly 
or product of any kind.
    (j) Person means an individual, corporation, partnership, 
association, or any other organized group of persons (or legal successor 
or representative thereof), and includes the United States or any other 
government and any political subdivisions (or any agency) thereof.

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8311, Mar. 11, 1986]

[[Page 68]]



Sec. 216.3  Requests for assistance.

    (a) Persons who believe that they perform work associated with a 
program or project which may qualify as an eligible energy program or 
project and wishing to receive assistance as authorized by DPA section 
101(c)(1) may submit an application to DOE requesting DOE to determine 
whether a program or project maximizes domestic energy supplies and to 
find whether or not specific supplies of materials or equipment 
identified in the application are critical and essential for a purpose 
identified in section 101(c). The application should be sent to: 
Department of Energy, Procurement and Assistance Management Directorate, 
Attn: MA-422, Forrestal Building, 1000 Independence Avenue SW., 
Washington, DC 20585. The application shall contain the following 
information:
    (1) The name and address of the applicant and of its duly authorized 
representative.
    (2) A description of the energy program or project for which 
assistance is requested and an assessment of its impact on the 
maximization of domestic energy supplies.
    (3) The amount of energy to be produced by the program or project 
which is directly affected by the supplies of the materials or equipment 
in question.
    (4) A statement explaining why the materials or equipment for which 
assistance is requested are critical and essential to the construction 
or operation of the energy project or program.
    (5) A detailed description of the specific supplies of materials and 
equipment in connection with which assistance is requested, including: 
Components, performance data (capacity, life duration, etc.), standards, 
acceptable tolerances in dimensions and specifications, current 
inventory, present and expected rates of use, anticipated deliveries and 
substitution possibilities (feasibility of using other materials or 
equipment).
    (6) A detailed description of the sources of supply, including: Name 
of the regular supplying company or companies, other companies capable 
of supplying the materials and equipment, location of supplying plants 
or plants capable of supplying the needed materials and equipment, 
possible suppliers for identical or substitutable materials and 
equipment and possible foreign sources of supply.
    (7) A detailed description of the delivery stituation, including: 
Normal delivery times, promised delivery time without priorities 
assistance, and delivery time required for expeditious fulfillment or 
completion of the program or project.
    (8) Evidence of the applicant's unsuccessful efforts to obtain on a 
timely basis the materials and equipment in question through normal 
business channels from current or other known suppliers.
    (9) A detailed estimate of the delay in fulfilling or completing the 
energy program or project which will be caused by inability to obtain 
the specified materials and equipment in the usual course of business.
    (10) Any known conflicts with rated or authorized controlled 
material orders already issued pursuant to the DPA for supplies of the 
described materials and equipment.
    (11) Quarterly estimates of requirements for controlled materials, 
if applicable, by shapes and forms as prescribed by the DPAS regulation, 
Sec. 350.31(e)(2).
    (b) DOE, on consultation with the DOC, may prescribe standard forms 
of application or letters of instruction for use by all persons seeking 
assistance.
    (c) In addition to the information described above, DOE may from 
time to time request whatever additional information it reasonably 
believes is relevant to the discharge of its functions pursuant to DPA 
section 101(c).

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8311, Mar. 11, 1986]



Sec. 216.4  Evaluation by DOE of applications.

    (a) Based on the information provided by the applicant and other 
available information, DOE will assess the application and (1) determine 
whether or not the energy program or project in connection with which 
the application is made maximizes domestic energy supplies and should be 
designated an eligible energy program or project and (2) find whether 
the described supplies of materials and equipment are critical

[[Page 69]]

and essential to the eligible energy program or project.
    (b) In determining whether the program or project referred to in the 
application should be designated an eligible energy program or project, 
DOE will consider all factors which it considers relevant including, but 
not limited to, the following:
    (1) Quantity of energy involved;
    (2) Benefits of timely energy program furtherance or project 
completion;
    (3) Socioeconomic impact;
    (4) The need for the end product for which the materials and 
equipment are allegedly required; and
    (5) Established national energy policies.
    (c) In findings whether the supplies of materials or equipment 
described in the application are critical and essential to an eligible 
energy program or project, DOE will consider all factors which it 
considers relevant including, but not limited to, the following:
    (1) Availability and utility of substitute materials or equipment; 
and
    (2) Impact of the nonavailability of the specific supplies of 
materials and equipment on the furtherance or timely completion of the 
approved energy program or project.
    (d) Increased costs which may be associated with obtaining materials 
or equipment without assistance shall not be considered a valid reason 
for finding the materials and equipment to be critical and essential.
    (e) After DOE has determined a program or project to be an eligible 
energy program or project, this determination shall be deemed made with 
regard to subsequent applications involving the same program or project 
unless and until DOE announces otherwise.



Sec. 216.5  Notification of findings.

    (a) DOE will notify the DOC if it finds that supplies of materials 
and equipment, for which an applicant requested assistance, are critical 
and essential to an eligible energy program or project, and in such 
cases will forward to the DOC the application and whatever information 
or comments DOE believes appropriate. If DOE believes at any time that 
findings previously made may no longer be valid, it will immediately 
notify the DOC and the affected applicant(s) and afford such 
applicant(s) an opportunity to show cause why such findings should not 
be withdrawn.
    (b) If DOC notifies DOE that DOC has found that supplies of 
materials and equipment, for which the applicant requested assistance, 
are scarce and that the related eligible energy program or project 
cannot reasonably be accomplished without exercising the authority 
specified in DPA section 101(c)(1), DOE will notify the applicant that 
the applicant is authorized to place rated orders and/or authorized 
controlled material orders for specific supplies of materials and 
equipment pursuant to the provisions of the DPAS Regulation, as 
promulgated by the Department of Commerce.

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986]



Sec. 216.6  Petition for reconsideration.

    If DOE, after evaluating an application in accordance with 
Sec. 216.4, does not determine that the energy program or project 
maximizes domestic energy supplies or does not find that the supplies of 
materials and equipment described in the application are critical and 
essential to an eligible energy program or project, it will so notify 
the applicant and the applicant may petition DOE for reconsideration. If 
DOE concludes at any time that findings previously made are no longer 
valid and should be withdrawn, DOE will so notify the affected 
applicant(s), and such applicant(s) may petition DOE for reconsideration 
of the withdrawal decision. Such a petition is deemed accepted when 
received by DOE at the address stated in Sec. 216.8. DOE will consider 
the petition for reconsideration and either grant or deny the relief 
requested. Written notice of the decision and of the reasons for the 
decision will be provided to the applicant. There has not been an 
exhaustion of administrative remedies until a petition for 
reconsideration has been submitted and the review procedure completed by 
grant or denial of the relief requested.

[[Page 70]]

The denial of relief requested in a petition for reconsideration is a 
final administrative decision.

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986]



Sec. 216.7  Conflict in priority orders.

    If it appears that the use of assistance pursuant to DPA section 
101(c) creates or threatens to create a conflict with priorities and 
allocation support provided in connection with the national defense 
pursuant to DPA section 101(a), DOE will work with the DOC and other 
claimant agencies affected by such conflict in an attempt to reschedule 
deliveries or otherwise accommodate such competing demands. If 
acceptable solutions cannot be agreed upon by the claimant agencies the 
FEMA will resolve such conflicts.

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986]



Sec. 216.8  Communications.

    All written communications concerning these regulations shall be 
addressed to:

Department of Energy, Procurement and Assistance Management Directorate, 
Attn: MA-422, Forrestal Building, 1000 Independence Avenue, SW., 
Washington, DC 20585.

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986]



Sec. 216.9  Violations.

    Any person who willfully furnishes false information or conceals any 
material fact in the course of the application process or in a petition 
for reconsideration is guilty of a crime, and upon conviction may be 
punished by fine or imprisonment or both.



PART 218--STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION--Table of Contents




                      Subpart A--General Provisions

Sec.
218.1  Purpose and scope.
218.2  Activation/Deactivation.
218.3  Definitions.

                        Subpart B--Supply Orders

218.10  Rule.
218.11  Supply orders.
218.12  Pricing.

                          Subpart C--[Reserved]

                          Subpart D--Procedures

218.30  Purpose and scope.
218.31  Incorporated procedures.
218.32  Review.
218.33  Stay.
218.34  Addresses.

  Subpart E--Investigations, Violations, Sanctions and Judicial Actions

218.40  Investigations.
218.41  Violations.
218.42  Sanctions.
218.43  Injunctions.

    Authority: Emergency Petroleum Allocation Act of 1973, 15 U.S.C. 751 
et seq., Pub. L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. 
L. 94-133, Pub. L. 94-163, and Pub. L. 94-385; Federal Energy 
Administration Act of 1974, 15 U.S.C. 787 et seq., Pub. L. 93-275, as 
amended, Pub. L. 94-332, Pub. L. 94-385, Pub. L. 95-70, and Pub. L. 95-
91; Energy Policy and Conservation Act, 42 U.S.C. 6201 et seq., Pub. L. 
94-163, as amended, Pub. L. 94-385, and Pub. L. 95-70; Department of 
Energy Organization Act, 42 U.S.C. 7101 et seq., Pub. L. 95-91; E.O. 
11790, 39 FR 23185; E.O. 12009, 42 FR 46267.

    Source: 44 FR 27972, May 14, 1979, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 218.1  Purpose and scope.

    (a) This part implements section 251 of the Energy Policy and 
Conservation Act (Pub. L. 94-163) (42 U.S.C. 6271), as amended, which 
authorizes the President to take such action as he determines to be 
necessary for performance of the obligations of the United States under 
chapters III and IV of the Agreement on an International Energy Program 
(TIAS 8278), insofar as such obligations relate to the mandatory 
international allocation of oil by International Energy Program 
participating countries.
    (b) Applicability. This part applies to any firm engaged in 
producing, transporting, refining, distributing or storing oil which is 
subject to the jurisdiction of the United States.



Sec. 218.2  Activation/Deactivation.

    (a) This rule shall take effect providing:

[[Page 71]]

    (1) The International Energy Program has been activated; and,
    (2) The President has transmitted this rule to Congress, has found 
putting such rule into effect is required in order to fulfill 
obligations of the United States under the International Energy Program 
and has transmitted such a finding to the Congress together with a 
statement of the effective date and manner for exercise of such rule.
    (b) This rule shall revert to standby status no later than 60 days 
after the deactivation of the emergency allocation system activated to 
implement the International Energy Program.



Sec. 218.3  Definitions.

    DOE means the Department of Energy established by the Department of 
Energy Organization Act (Pub. L. 95-91), and includes the Secretary of 
Energy or his delegate.
    EPCA means the Energy Policy and Conservation Act (Pub. L. 94-163), 
as amended.
    Firm means any association, company, corporation, estate, 
individual, joint-venture, partnership, or sole proprietorship or any 
other entity however organized including charitable, educational, or 
other eleemosynary institutions, and the Federal Government including 
corporations, departments, Federal agencies, and other 
instrumentalities, and State and local governments. The ERA may, in 
regulations and forms issued in this part, treat as a firm: (a) A parent 
and the consolidated and unconsolidated entities (if any) which it 
directly or indirectly controls, (b) a parent and its consolidated 
entities, (c) an unconsolidated entity, or (d) any part of a firm.
    IEA means the International Energy Agency established to implement 
the IEP.
    IEP means the International Energy Program established pursuant to 
the Agreement on an International Energy Program signed at Paris, 
France, on November 18, 1974, including (a) the Annex entitled 
``Emergency Reserves'', (b) any amendment to such Agreement that 
includes another nation as a Party to such Agreement, and (c) any 
technical or clerical amendment to such Agreement.
    International energy supply emergency means any period (a) beginning 
on any date that the President determines allocation of petroleum 
products to nations participating in the IEP is required by chapters III 
and IV of the IEP and (b) ending on a date on which he determines such 
allocation is no longer required.
    Oil means crude oil, residual fuel oil, unfinished oil, refined 
petroleum product and natural gas liquids, which is owned or controlled 
by a firm, including any petroleum product destined, directly or 
indirectly, for import into the United States or any foreign country, or 
produced in the United States but excludes any oil stored in or owned 
and controlled by the United States Government in connection with the 
Strategic Petroleum Reserve authorized in section 151, et seq., of the 
Energy Policy and Conservation Act (Pub. L. 94-163).
    Person means any individual, firm, estate, trust, sole 
proprietorship, partnership, association, company, joint-venture, 
corporation, governmental unit or instrumentality thereof, or a 
charitable, educational or other institution, and includes any officer, 
director, owner or duly authorized representative thereof.
    Supply order means a written directive or a verbal communication of 
a written directive, if promptly confirmed in writing, issued by the DOE 
pursuant to subpart B of this part.
    United States when used in the geographic sense means the several 
States, the District of Columbia, Puerto Rico, and the territories and 
possessions of the United States, and the outer continental shelf as 
defined in 43 U.S.C. 1331.



                        Subpart B--Supply Orders



Sec. 218.10  Rule.

    (a) Upon the determination by the President that an international 
energy supply emergency exists, firms engaged in producing, 
transporting, refining, distributing, or storing oil shall take such 
actions as are determined by the DOE to be necessary for implementation 
of the obligations of the United States under chapters III and IV of the 
IEP that relate to the mandatory

[[Page 72]]

international allocation of oil by IEP participating countries.
    (b) Any actions required in accordance with paragraph (a) of this 
section shall be stated in supply orders issued by DOE.
    (c) No firm to which a supply order is issued shall be required to 
comply with such order unless the firm to which the oil is to be 
provided in accordance with such supply order has agreed to a procedure 
for the resolution of any dispute related to the terms and conditions of 
the sale undertaken pursuant to the supply order. The means for 
resolving any such disputes may include any procedures that are mutally 
acceptable to the parties, including arbitration before the IEA if the 
IEA has established arbitration procedures, arbitration or adjudication 
before an appropriate body, or any other similar procedure.



Sec. 218.11  Supply orders.

    (a) A supply order shall require that the firm to which it is issued 
take actions specified therein relating to supplying the stated volume 
of oil to a specified recipient including, but not limited to, 
distributing, producing, storing, transporting or refining oil. A supply 
order shall include a concise statement of the pertinent facts and of 
the legal basis on which it is issued, and shall describe the action to 
be taken.
    (b) The DOE shall serve a copy of the supply order on the firm 
directed to act as stated therein.
    (c) The DOE may modify or rescind a supply order on its own motion 
or pursuant to an application filed in accordance with Sec. 218.32 of 
this part.
    (d) A supply order shall be effective in accordance with its terms, 
and when served upon a firm directed to act thereunder, except that a 
supply order shall not remain in effect (1) upon reversion of this rule 
to standby status or (2) twelve months after the rule has been 
transmitted to Congress (whichever occurs first) or (3) to the extent 
that DOE or a court of competent jurisdiction directs that it be stayed, 
modified, or rescinded.
    (e) Any firm issued a supply order pursuant to this subpart may seek 
modification or rescission of the supply order in accordance with 
procedures provided in Sec. 218.32 of this part.



Sec. 218.12  Pricing.

    The price for oil subject to a supply order issued pursuant to this 
subpart shall be based on the price conditions prevailing for comparable 
commercial transactions at the time the supply order is served.



                          Subpart C--[Reserved]



                          Subpart D--Procedures



Sec. 218.30  Purpose and scope.

    This subpart establishes the administrative procedures applicable to 
supply orders. They shall be exclusive of any other procedures contained 
in this chapter, unless such other procedures are specifically made 
applicable hereto by this subpart.



Sec. 218.31  Incorporated procedures.

    The following subparts of part 205 of this chapter are, as 
appropriate, hereby made applicable to this part:
    (a) Subpart A--General Provisions; Provided, that Sec. 205.11 shall 
not apply; and Provided further, that in addition to the methods of 
service specified in Sec. 205.7 of this chapter, service shall be 
effective if a supply order is transmitted by telex, telecopies or other 
similar means of electronic transmission of a writing and received by 
the firm to which the supply order is addressed.
    (b) Subpart F--Interpretation.
    (c) Subpart K--Rulings.
    (d) Subpart M--Conferences, Hearings and Public Hearings.



Sec. 218.32  Review.

    (a) Purpose and scope. This subpart establishes the procedures for 
the filing of an application for review of a supply order. An 
application for review is a summary proceeding which will be initiated 
only if the critieria described in paragraph (g)(2) of this section are 
satisfied.
    (b) What to file. (1) A firm filing under this subpart shall file an 
``Application for Review'' which should be clearly labeled as such both 
on the application and on the outside of the envelope in which the 
application is transmitted,

[[Page 73]]

and shall be in writing and signed by the firm filing the application. 
The applicant shall comply with the general filing requirements stated 
in 10 CFR 205.9 in addition to the requirements stated in this section.
    (2) If the applicant wishes to claim confidential treatment for any 
information contained in the application or other documents submitted 
under this subpart, the procedures set out in 10 CFR 205.9(f) shall 
apply.
    (c) When to file. An application for review should be filed no later 
than 5 days after the receipt by the applicant of the supply order that 
is the subject of the application, or no later than 2 days after the 
occurrence of an event that results in a substantial change in the facts 
or circumstances affecting the applicant.
    (d) Where to file. The application for review shall be filed with 
DOE Office of Hearings and Appeals (OHA), 2000 M Street, NW., 
Washington, DC 20461.
    (e) Notice. The applicant shall send by United States mail or 
deliver by hand a copy of the application and any subsequent amendments 
or other documents relating to the application to the Administrator of 
the Economic Regulatory Administration of DOE, 2000 M Street, NW., 
Washington, DC 20461. Service shall be made on the ERA at same time the 
document is filed with OHA and each document filed with the OHA shall 
include certification that the applicant has complied with the 
requirements of this paragraph.
    (f) Contents. (1) The application shall contain a full and complete 
statement of all relevant facts pertaining to the application and to the 
DOE action sought. Such facts shall include a complete statement of the 
business or other reasons that justify review of the supply order and a 
full description of the pertinent provisions and relevant facts 
contained in any relevant documents. Copies of all contracts, 
agreements, leases, instruments, and other documents relevant to the 
application shall be submitted with the application. A copy of the order 
of which review is sought shall be included with the application. When 
the application pertains to only one step of a larger integrated 
transaction, the facts, circumstances, and other relevant information 
pertaining to the entire transaction shall be submitted.
    (2) The application shall include a discussion of all relevant 
authorities, including, but not limited to, DOE and DOE rulings, 
regulations, interpretations and decisions on appeal and exception 
relied upon to support the action sought therein.
    (g) DOE evaluation--(1) Processing. (i) The DOE may initiate an 
investigation of any statement in an application and utilize in its 
evaluation any relevant facts obtained by such investigation. The DOE 
may solicit and accept submissions from third parties relevant to any 
application for review provided that the applicant is afforded an 
opportunity to respond to all third party submissions. In evaluating an 
application for review, the DOE may convene a conference, on its own 
initiative, if, in its discretion, it considers that a conference will 
advance its evaluation of the application.
    (ii) If the DOE determines that there is insufficient information 
upon which to base a decision and if upon request the necessary 
additional information is not submitted, the DOE may dismiss the 
application without prejudice. If the failure to supply additional 
information is repeated or willful, the DOE may dismiss the application 
with prejudice. If the applicant fails to provide the notice required by 
paragraph (e) of this section, the DOE may dismiss the application 
without prejudice.
    (iii) An order dismissing an application for any of the reasons 
specified in paragraph (g)(1)(ii) of this section shall contain a 
statement of the grounds for the dismissal. The order shall become final 
within 5 days of its service upon the applicant, unless within such 5-
day period the applicant files an amendment correcting the deficiencies 
identified in the order. Within 5 days of the filing of such amendment, 
the DOE shall notify the applicant whether the amendment corrects the 
specified deficiencies. If the amendment does not correct the 
deficiencies specified in the order, the order shall become a final 
order of the DOE of which the applicant may seek judicial review.
    (2) An application for review of an order shall be processed only if 
the applicant demonstrates that--

[[Page 74]]

    (i) There is probable cause to believe that the supply order is 
erroneous, inequitable, or unduly burdensome; or
    (ii) There has been discovered a law, regulation, interpretation, 
ruling, order or decision that was in effect at the time of the 
application which, if it had been made known to the DOE, would have been 
relevant to the supply order and would have substantially altered the 
supply order; or
    (iii) There has been a substantial change in the facts or 
circumstances affecting the applicant, which change has occurred during 
the interval between issuance of the supply order and the date of the 
application and was caused by forces or circumstances beyond the control 
of the applicant.
    (h) Decision. (1) Upon consideration of the application and other 
relevant information received or obtained during the proceeding, the DOE 
shall issue an order granting or denying the modification or rescission 
of the supply order requested in the application for review.
    (2) The DOE shall process applications for review as expeditiously 
as possible. When administratively feasible, the DOE shall issue an 
order granting or denying the application within 20 business days after 
receipt of the application.
    (3) The order shall include a written statement setting forth the 
relevant facts and the legal basis of the order. The order shall state 
that it is a final order of which the applicant may seek judicial 
review.
    (4) The DOE shall serve a copy of the order upon the applicant and 
any other party who participated in the proceeding.



Sec. 218.33  Stay.

    (a) The DOE may issue an order granting a stay if the DOE determines 
that an applicant has made a compelling showing that it would incur 
serious and irreparable injury unless immediate stay relief is granted 
pending determination of an application for review pursuant to this 
subpart. An application for a stay shall be labeled as such on the 
application and on the outside of the envelope in which the application 
is transmitted, and shall be in writing and signed by the firm filing 
the application. It shall include a description of the proceeding 
incident to which the stay is being sought and of the facts and 
circumstances which support the applicant's claim that it will incur 
irreparable injury unless immediate stay relief is granted. The 
applicant shall comply with the general filing requirements stated in 10 
CFR 205.9 in addition to the requirements stated in this section. The 
DOE on its own initiative may also issue an order granting a stay upon a 
finding that a firm will incur irreparable injury if such an order is 
not granted.
    (b) An order granting a stay shall expire by its terms within such 
time after issuance, not to exceed 30 days as the DOE specifies in the 
order, except that it shall expire automatically 5 days following its 
issuance if the applicant fails within that period to file an 
application for review unless within that period the DOE for good cause 
shown, extends the time during which the applicant may file an 
application for review.
    (c) The order granting or denying a stay is not an order of the DOE 
subject to administrative review.



Sec. 218.34  Addresses.

    All correspondence, petitions, and any information required by this 
part shall be submitted to: Administrator, Economic Regulatory 
Administration, Department of Energy, 2000 M Street, NW., Washington, DC 
20461, and to the Director, Office of Hearings and Appeals, Department 
of Energy, 2000 M Street, NW., Washington, DC 20461.



  Subpart E--Investigations, Violations, Sanctions and Judicial Actions



Sec. 218.40  Investigations.

    (a) The DOE may initiate and conduct investigations relating to the 
scope, nature and extent of compliance by any person with the rules, 
regulations or statutes of the DOE or any order promulgated by the DOE 
under the authority of section 251 of EPCA, or any court decree.
    (b) Any duly designated and authorized representative of DOE has the 
authority to conduct an investigation and to take such action as he 
deems

[[Page 75]]

necessary and appropriate to the conduct of the investigation including 
any action pursuant to Sec. 205.8.
    (c) There are no parties, as that term is used in adjudicative 
proceedings, in an investigation under this subpart, and no person may 
intervene or participate as a matter of right in any investigation under 
this subpart.
    (d) Any person may request the DOE to initiate an investigation 
pursuant to paragraph (a) of this section. A request for an 
investigation shall set forth the subject matter to be investigated as 
fully as possible and include supporting documentation and information. 
No particular forms or procedures are required.
    (e) Any person who is requested to furnish documentary evidence or 
testimony in an investigation, upon written request, shall be informed 
of the general purpose of the investigation.
    (f) DOE shall not disclose information or documents that are 
obtained during any investigation unless (1) DOE directs or authorizes 
the public disclosure of the investigation; (2) the information or 
documents are a matter of public record; or (3) disclosure is not 
precluded by the Freedom of Information Act, 5 U.S.C. 552 and 10 CFR 
part 1004.
    (g) During the course of an investigation any person may submit at 
any time any document, statement of facts or memorandum of law for the 
purpose of explaining the person's position or furnish evidence which 
the person considers relevant to a matter under investigation.
    (h) If facts disclosed by an investigation indicate that further 
action is unnecessary or unwarranted, the investigative file may be 
closed without prejudice to further investigation by the DOE at any time 
that circumstances so warrant.



Sec. 218.41  Violations.

    Any practice that circumvents, contravenes or results in the 
circumvention or contravention of the requirements of any provision of 
this part 218 or any order issued pursuant thereto is a violation of the 
DOE regulations stated in this part and is unlawful.



Sec. 218.42  Sanctions.

    (a) General. Any person who violates any provisions of this part 218 
or any order issued pursuant thereto shall be subject to penalties and 
sanctions as provided herein.
    (1) The provisions herein for penalties and sanctions shall be 
deemed cumulative and not mutually exclusive.
    (2) Each day that a violation of the provisions of this part 218 or 
any order issued pursuant thereto continues shall be deemed to 
constitute a separate violation within the meaning of the provisions of 
this part relating to fines and civil penalties.
    (b) Penalties. (1) Any person who violates any provision of part 218 
of this chapter or any order issued pursuant thereto shall be subject to 
a civil penalty of not more than $5,000 for each violation.
    (2) Any person who willfully violates any provision of this part 218 
or any order issued pursuant thereto shall be subject to a fine of not 
more than $10,000 for each violation.
    (3) Any person who knowingly and willfully violates any provision of 
this part 218 or any order issued pursuant thereto with respect to the 
sale, offer of sale, or distribution in commerce of oil after having 
been subject to a civil penalty under paragraph (b) (1) or (2) of this 
section for a prior violation of the provisions of this part 218 or any 
order issued pursuant thereto with respect to the sale, offer of sale, 
or distribution in commerce of oil shall be subject to a fine of not 
more than $50,000 or imprisonment for not more than six months, or both, 
for each violation.
    (4) Actions for penalties under this section are prosecuted by the 
Department of Justice upon referral by the DOE.
    (5) When the DOE considers it to be appropriate or advisable, the 
DOE may compromise and settle any action under this paragraph, and 
collect civil penalties.
    (c) Other Penalties. Willful concealment of material facts, or 
making of false, fictitious or fraudulent statements or representations, 
or submission of a document containing false, fictitious or fraudulent 
statements pertaining to matters within the scope of

[[Page 76]]

this part 218 by any person shall subject such persons to the criminal 
penalties provided in 18 U.S.C. 1001 (1970).



Sec. 218.43  Injunctions.

    Whenever it appears to the DOE that any firm has engaged, is 
engaging, or is about to engage in any act or practice constituting a 
violation of any regulation or order issued under this part 218, the DOE 
may request the Attorney General to bring a civil action in the 
appropriate district court of the United States to enjoin such acts or 
practices and, upon a proper showing, a temporary restraining order or a 
preliminary or permanent injunction shall be granted without bond. The 
relief sought may include a mandatory injunction commanding any firm to 
comply with any provision of such order or regulation, the violation of 
which is prohibited by section 524 of the EPCA.



PART 220--[RESERVED]






PART 221--PRIORITY SUPPLY OF CRUDE OIL AND PETROLEUM PRODUCTS TO THE DEPARTMENT OF DEFENSE UNDER THE DEFENSE PRODUCTION ACT--Table of Contents




                           Subpart A--General

Sec.
221.1  Scope.
221.2  Applicability.

                          Subpart B--Exclusions

221.11  Natural gas and ethane.

                         Subpart C--Definitions

221.21  Definitions.

           Subpart D--Administrative Procedures and Sanctions

221.31  Requests by DOD.
221.32  Evaluation of DOD request.
221.33  Order.
221.34  Effect of order.
221.35  Contractual requirements.
221.36  Records and reports.
221.37  Violations and sanctions.

    Authority: Defense Production Act, 50 U.S.C. App. 2061 et seq., E.O. 
10480 (18 FR 4939, Aug. 18, 1953) as amended by E.O. 12038 (43 FR 4957, 
Feb. 7, 1978), and E.O. 11790 (39 FR 23785, June 27, 1974).

    Source: 45 FR 76433, Nov. 19, 1980, unless otherwise noted.



                           Subpart A--General



Sec. 221.1  Scope.

    This part sets forth the procedures to be utilized by the Economic 
Regulatory Administration of the Department of Energy and the Department 
of Defense whenever the priority supply of crude oil and petroleum 
products is necessary or appropriate to meet national defense needs. The 
procedures available in this part are intended to supplement but not to 
supplant other regulations of the ERA regarding the allocation of crude 
oil, residual fuel oil and refined petroleum products.



Sec. 221.2  Applicability.

    This part applies to the mandatory supply of crude oil, refined 
petroleum products (including liquefied petroleum gases) and lubricants 
to the Department of Defense for its own use or for purchases made by 
the Department of Defense on behalf of other Federal Government 
agencies.



                          Subpart B--Exclusions



Sec. 221.11  Natural gas and ethane.

    The supply of natural gas and ethane are excluded from this part.



                         Subpart C--Definitions



Sec. 221.21  Definitions.

    For purposes of this part--
    Directive means an official action taken by ERA which requires a 
named person to take an action in accordance with its provisions.
    DOD means the Department of Defense, including Military Departments 
and Defense Agencies, acting through either the Secretary of Defense or 
the designee of the Secretary.
    ERA means the Economic Regulatory Administration of the Department 
of Energy.
    National defense means programs for military and atomic energy 
production or construction, military assistance to any foreign nation, 
stockpiling and space, or activities directly related to any of the 
above.

[[Page 77]]

    Person means any individual, corporation, partnership, association 
or any other organized group of persons, and includes any agency of the 
United States Government or any other government.
    Priority-rated supply order means any delivery order for crude oil 
or petroleum products issued by DOD bearing a priority rating issued by 
ERA under this part.
    Supplier means any person other than the DOD which supplies, sells, 
transfers, or otherwise furnishes (as by consignment) crude oil or 
petroleum product to any other person.



           Subpart D--Administrative Procedures and Sanctions



Sec. 221.31  Requests by DOD.

    (a) When DOD finds that (1) a fuel supply shortage for DOD exists or 
is anticipated which would have a substantial negative impact on the 
national defense, and (2) the defense activity for which fuel is 
required cannot be postponed until after the fuel supply shortage is 
likely to terminate, DOD may submit a written request to ERA for the 
issuance to it of a priority rating for the supply of crude oil and 
petroleum products.
    (b) Not later than the transmittal date of its request to ERA, DOD 
shall notify the Federal Emergency Management Agency that it has 
requested a priority rating from ERA.
    (c) Requests from DOD shall set forth the following:
    (1) The quantity and quality of crude oil or petroleum products 
determined by DOD to be required to meet national defense requirements;
    (2) The required delivery dates;
    (3) The defense-related activity and the supply location for which 
the crude oil or petroleum product is to be delivered;
    (4) The current or most recent suppliers of the crude oil or 
petroleum product and the reasons, if known, why the suppliers will not 
supply the requested crude oil or petroleum product;
    (5) The degree to which it is feasible for DOD to use an alternate 
product in lieu of that requested and, if such an alternative product 
can be used, the efforts which have been made to obtain the alternate 
product;
    (6) The period during which the shortage of crude oil or petroleum 
products is expected to exist;
    (7) The proposed supply source for the additional crude oil or 
petroleum products required, which shall, if practicable, be the 
historical supplier of such crude oil or product to DOD; and
    (8) Certification that DOD has made each of the findings required by 
paragraph (a) of this section.



Sec. 221.32  Evaluation of DOD request.

    (a) Upon receipt of a request from DOD for a priority rating as 
provided in Sec. 221.31, it shall be reviewed promptly by ERA. The ERA 
will assess the request in terms of:
    (1) The information provided under Sec. 221.31;
    (2) Whether DOD's national defense needs for crude oil or petroleum 
products can reasonably be satisfied without exercising the authority 
specified in this part;
    (3) The capability of the proposed supplier to supply the crude oil 
or petroleum product in the amounts required;
    (4) The known capabilities of alternative suppliers;
    (5) The feasibility to DOD of converting to and using a product 
other than that requested; and
    (6) Any other relevant information.
    (b) The ERA promptly shall notify the proposed supplier of DOD's 
request for a priority rating specified under this part. The proposed 
supplier shall have a period specified in the notice, not to exceed 
fifteen (15) days from the date it is notified of DOD's request, to show 
cause in writing why it cannot supply the requested quantity and quality 
of crude oil or petroleum products. ERA shall consider this information 
in determining whether to issue the priority rating.
    (c) If acceptance by a supplier of a rated order would create a 
conflict with another rated order of the supplier, it shall include all 
pertinent information regarding such conflict in its response to the 
show cause order provided for in subsection (b), and ERA, in 
consultation with DOD and the Federal Emergency Management Agency shall

[[Page 78]]

determine the priorities for meeting all such requirements.
    (d) ERA may waive some or all of the requirements of Sec. 221.31 or 
this section where the Secretary of Defense or his designee certifies, 
and has so notified the Federal Emergency Management Agency, that a fuel 
shortage for DOD exists or is imminent and that compliance with such 
requirements would have a substantial negative impact on the national 
defense.



Sec. 221.33  Order.

    (a) Issuance. If ERA determines that issuance of a priority rating 
for a crude oil or refined petroleum product is necessary to provide the 
crude oil or petroleum products needed to meet the national defense 
requirement established by DOD, it shall issue such a rating to DOD for 
delivery of specified qualities and quantities of the crude oil or 
refined petroleum products on or during specified delivery dates or 
periods. In accordance with the terms of the order, DOD may then place 
such priority rating on a supply order.
    (b) Compliance. Each person who receives a priority-rated supply 
order pursuant to this part shall supply the specified crude oil or 
petroleum products to DOD in accordance with the terms of that order.
    (c) ERA directives. Notwithstanding any other provisions of this 
part, where necessary or appropriate to promote the national defense ERA 
is authorized to issue a directive to a supplier of crude oil or 
petroleum product requiring delivery of specified qualities and 
quantities of such crude oil or petroleum products to DOD at or during 
specified delivery dates or periods.
    (d) Use of ratings by suppliers. No supplier who receives a 
priority-rated supply order or directive issued under the authority of 
this section may use such priority order or directive in order to obtain 
materials necessary to meet its supply obligations thereunder.



Sec. 221.34  Effect of order.

    Defense against claims for damages. No person shall be liable for 
damages or penalties for any act or failure to act resulting directly or 
indirectly from compliance with any ERA authorized priority-rated supply 
order or ERA directive issued pursuant to this part, notwithstanding 
that such priority-rated supply order or directive thereafter be 
declared by judicial or other competent authority to be invalid.



Sec. 221.35  Contractual requirements.

    (a) No supplier may discriminate against an order or contract on 
which a priority rating has been placed under this part by charging 
higher prices, by imposing terms and conditions for such orders or 
contracts different from other generally comparable orders or contracts, 
or by any other means.
    (b) Contracts with priority ratings shall be subject to all 
applicable laws and regulations which govern the making of such 
contracts, including those specified in 10 CFR 211.26(e).



Sec. 221.36  Records and reports.

    (a) Each person receiving an order or directive under this part 
shall keep for at least two years from the date of full compliance with 
such order or directive accurate and complete records of crude oil and 
petroleum product deliveries made in accordance with such order or 
directive.
    (b) All records required to be maintained shall be made available 
upon request for inspection and audit by duly authorized representatives 
of the ERA.

(Approved by the Office of Management and Budget under control number 
1903-0073)

[45 FR 76433, Nov. 19, 1980, as amended at 46 FR 63209, Dec. 31, 1981]



Sec. 221.37  Violations and sanctions.

    (a) Any practice that circumvents or contravenes the requirements of 
this part or any order or directive issued under this part is a 
violation of the regulations provided in this part.
    (b) Criminal penalties. Any person who willfully performs any act 
prohibited, or willfully fails to perform any act required by this part 
or any order or directive issued under this part shall be subject to a 
fine of not more than $10,000 for each violation or imprisoned for not 
more than one year for each violation, or both.
    (c) Whenever in the judgment of the Administrator of ERA any person 
has engaged or is about to engage in any acts or practices which 
constitute or

[[Page 79]]

will constitute a violation of any provision of these regulations, the 
Administrator may make application to the appropriate court for an order 
enjoining such acts or practices, or for an order enforcing compliance 
with such provision.

[[Page 80]]



                       SUBCHAPTERS B--C [RESERVED]





                    SUBCHAPTER D--ENERGY CONSERVATION





PARTS 400-417--[RESERVED]






PART 420--STATE ENERGY PROGRAM--Table of Contents




    Subpart A--General Provisions for State Energy Program Financial 
                               Assistance

Sec.
420.1  Purpose and scope.
420.2  Definitions.
420.3  Administration of financial assistance.
420.4  Technical assistance.
420.5  Reports.
420.6  Reference standards.

                   Subpart B--Formula Grant Procedures

420.10  Purpose.
420.11  Allocation of funds among the States.
420.12  State matching contribution.
420.13  Annual State applications and State plans.
420.14  Review and approval of annual State applications and State 
          plans.
420.15  Minimum criteria for required program activities for plans.
420.16  Extensions for compliance with required program activities.
420.17  Optional elements of State Energy Program plans.
420.18  Expenditure prohibitions and limitations.
420.19  Administrative review.

   Subpart C--Implementation of Special Projects Financial Assistance

420.30  Purpose and scope.
420.31  Notice of availability.
420.32  Program guidance/solicitation.
420.33  Application requirements.
420.34  Matching contributions or cost-sharing.
420.35  Application evaluation.
420.36  Evaluation criteria.
420.37  Selection.

    Authority: Title III, part D, as amended, of the Energy Policy and 
Conservation Act (42 U.S.C. 6321 et seq.); Department of Energy 
Organization Act (42 U.S.C. 7101 et seq.)

    Source:  61 FR 35895, July 8, 1996, unless otherwise noted.



    Subpart A--General Provisions for State Energy Program Financial 
                               Assistance



Sec. 420.1  Purpose and scope.

    It is the purpose of this part to promote the conservation of 
energy, to reduce the rate of growth of energy demand, and to reduce 
dependence on imported oil through the development and implementation of 
a comprehensive State Energy Program and the provision of Federal 
financial and technical assistance to States in support of such program.



Sec. 420.2  Definitions.

    As used in this part:
    Act means title III, part D, as amended, of the Energy Policy and 
Conservation Act, 42 U.S.C. 6321 et seq.
    Alternative transportation fuel means methanol, denatured ethanol, 
and other alcohols; mixtures containing 85 percent or more by volume of 
methanol, denatured ethanol, and other alcohols with gasoline or other 
fuels; natural gas; liquified petroleum gas; hydrogen; coal-derived 
liquid fuels; fuels (other than alcohol) derived from biological 
materials (including neat biodiesel); and electricity (including 
electricity from solar energy).
    ASHRAE/IESNA 90.1-1989, as amended means the building design 
standard published in December 1989 by the American Society of Heating, 
Refrigerating and Air-Conditioning Engineers, and the Illuminating 
Engineering Society of North America titled ``Energy Efficient Design of 
New Buildings Except Low-Rise Residential Buildings,'' with Addenda 
90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 90.1g-1993; 
and Addenda 90.1i-1993, which is incorporated by reference in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this 
incorporation by reference is given in Sec. 420.6(b).
    Assistant Secretary means the Assistant Secretary for Energy 
Efficiency

[[Page 81]]

and Renewable Energy or any official to whom the Assistant Secretary's 
functions may be redelegated by the Secretary.
    British thermal unit (Btu) means the quantity of heat necessary to 
raise the temperature of one pound of water one degree Fahrenheit at 
39.2 degrees Fahrenheit and at one atmosphere of pressure.
    Building means any structure which includes provision for a heating 
or cooling system, or both, or for a hot water system, except for the 
following:
    (1) Any building whose peak design rate of energy usage for all 
purposes is less than one watt (3.4 Btu's per hour) per square foot of 
floor area for all purposes;
    (2) Any building with neither a heating nor cooling system;
    (3) Any mobile home; or
    (4) Any building owned or leased in whole or in part by the United 
States.
    Carpool means the sharing of a ride by two or more people in an 
automobile.
    Carpool matching and promotion campaign means a campaign to 
coordinate riders with drivers to form carpools and/or vanpools.
    Commercial building means any building other than a residential 
building, including any building constructed for industrial or public 
purposes.
    Commercially available means available for purchase by the general 
public or target audience in the State.
    Deputy Assistant Secretary means the Deputy Assistant Secretary for 
Building Technology, State and Community Programs or any official to 
whom the Deputy Assistant Secretary's functions may be redelegated by 
the Assistant Secretary.
    Director, Office of State and Community Programs means the official 
responsible for DOE's formula grant programs to States, or any official 
to whom the Director's functions may be redelegated by the Assistant 
Secretary.
    DOE means the Department of Energy.
    Energy audit means a determination of the energy consumption 
characteristics of a building which:
    (1) Identifies the type, size, energy use level and the major energy 
using systems of such building or buildings;
    (2) Determines appropriate energy conservation maintenance and 
operating procedures; and
    (3) Indicates the need and the estimated cost and energy cost 
savings, if any, associated with the acquisition and installation of 
energy conservation measures.
    Energy conservation measure means an installation which modifies any 
building, building system, energy consuming device associated with the 
building or industrial facility the construction of which was completed 
prior to May 1, 1989, if such measure has been determined by means of an 
energy audit to be likely to maintain or improve the efficiency of 
energy use and to reduce energy costs in an amount sufficient to enable 
a person to recover the total cost of purchasing and installing such 
measure within the lesser of--
    (1) The useful life of the modification involved; or
    (2) 15 years after the purchase and installation of such measure.
    Environmental residual means any pollutant or pollution causing 
factor which results from any activity.
    Exterior envelope physical characteristics means the physical nature 
of those elements of a building which enclose conditioned spaces through 
which thermal energy may be transferred to or from the exterior.
    Governor means the chief executive officer of a State, the District 
of Columbia, Puerto Rico, or any territory or possession of the United 
States, or a person duly designated in writing by the Governor to act 
upon his or her behalf.
    Grantee means the State or other entity named in the notice of grant 
award as the recipient.
    HVAC means heating, ventilating and air-conditioning.
    IBR means incorporation by reference.
    Industrial facility means any fixed equipment or facility which is 
used in connection with, or as part of, any process or system for 
industrial production or output.
    Institution of higher education has the same meaning as such term is 
defined in section 1201(a) of the Higher Education Act of 1965 (20 
U.S.C. 1141(a)).

[[Page 82]]

    Metropolitan Planning Organization means that organization required 
by the Department of Transportation, and designated by the Governor as 
being responsible for coordination within the State, to carry out 
transportation planning provisions in a Standard Metropolitan 
Statistical Area.
    Model Energy Code, 1993, including Errata, means the model building 
code published by the Council of American Building Officials, which is 
incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. The availability of this incorporation by reference is given in 
Sec. 420.6(b).
    Park-and-ride lot means a parking facility generally located at or 
near the trip origin of carpools, vanpools and/or mass transit.
    Petroleum violation escrow funds. For purposes both of exempting 
petroleum violation escrow funds from the matching requirements of 
Sec. 420.12 and of applying the limitations specified under 
Sec. 420.18(b), this term means any funds distributed to the States by 
the Department of Energy or any court and identified as Alleged Crude 
Oil Violation funds, together with any interest earned thereon by the 
States, but excludes any funds designated as ``excess funds'' under 
section 3003(d) of the Petroleum Overcharge Distribution and Restitution 
Act, subtitle A of title III of the Omnibus Budget Reconciliation Act of 
1986, Public Law 99-509, and the funds distributed under the ``Warner 
Amendment,'' section 155 of Public Law 97-377.
    Plan means a State Energy Program plan including required program 
activities in accordance with Sec. 420.15 and otherwise meeting the 
applicable provisions of this part.
    Political subdivision means a unit of government within a State, 
including a county, municipality, city, town, township, parish, village, 
local public authority, school district, special district, council of 
governments, or any other regional or intrastate governmental entity or 
instrumentality of a local government exclusive of institutions of 
higher learning and hospitals.
    Preferential traffic control means any one of a variety of traffic 
control techniques used to give carpools, vanpools and public 
transportation vehicles priority treatment over single occupant vehicles 
other than bicycles and other two-wheeled motorized vehicles.
    Program activity means one or more State actions, in a particular 
area, designed to promote energy efficiency, renewable energy and 
alternative transportation fuel.
    Public building means any building which is open to the public 
during normal business hours, including:
    (1) Any building which provides facilities or shelter for public 
assembly, or which is used for educational office or institutional 
purposes;
    (2) Any inn, hotel, motel, sports arena, supermarket, transportation 
terminal, retail store, restaurant, or other commercial establishment 
which provides services or retail merchandise;
    (3) Any general office space and any portion of an industrial 
facility used primarily as office space;
    (4) Any building owned by a State or political subdivision thereof, 
including libraries, museums, schools, hospitals, auditoriums, sport 
arenas, and university buildings; and
    (5) Any public or private non-profit school or hospital.
    Public transportation means any scheduled or nonscheduled 
transportation service for public use.
    Regional Support Office Director means the director of a DOE 
Regional Support Office with responsibility for grants administration or 
any official to whom that function may be redelegated.
    Renewable energy means a non-depletable source of energy.
    Renewable energy measure means a measure which modifies any building 
or industrial facility if such measure has been determined by means of 
an energy audit to--
    (1) Involve changing, in whole or in part, the fuel or source of the 
energy used to meet the requirements of such building or facility from a 
depletable source of energy to a non-depletable source of energy; and
    (2) Be likely to reduce energy costs (as calculated on the basis of 
energy cost assumptions provided by DOE) in an amount sufficient to 
enable a person to recover the total cost of purchasing and installing 
such measure (without

[[Page 83]]

regard to any tax benefit or Federal financial assistance applicable 
thereto) within the lesser of--
    (i) The useful life of the modification involved; or
    (ii) 25 years after the purchase and installation of such measure.
    Residential building means any building which is constructed for 
residential occupancy.
    Secretary mean the Secretary of DOE.
    SEP means the State Energy Program under this part.
    Small business means a private firm that does not exceed the 
numerical size standard promulgated by the Small Business Administration 
under section 3(a) of the Small Business Act (15 U.S.C. 632) for the 
Standard Industrial Classification (SIC) codes designated by the 
Secretary of Energy.
    Start-up business means a small business which has been in existence 
for 5 years or less.
    State means a State, the District of Columbia, Puerto Rico, or any 
territory or possession of the United States.
    State or local government building means any building owned and 
primarily occupied by offices or agencies of a State; and any building 
of a unit of local government or a public care institution which could 
be covered by part H, title III, of the Energy Policy and Conservation 
Act, 42 U.S.C. 6372-6372i.
    Transit level of service means characteristics of transit service 
provided which indicate its quantity, geographic area of coverage, 
frequency and quality (comfort, travel, time, fare and image).
    Urban area traffic restriction means a setting aside of certain 
portions of an urban area as restricted zones where varying degrees of 
limitation are placed on general traffic usage and/or parking.
    Vanpool means a group of riders using a vehicle, with a seating 
capacity of not less than eight individuals and not more than fifteen 
individuals, for transportation to and from their residence or other 
designated locations and their place of employment, provided the vehicle 
is driven by one of the pool members.
    Variable working schedule means a flexible working schedule to 
facilitate carpool, vanpool and/or public transportation usage.



Sec. 420.3  Administration of financial assistance.

    (a) Financial assistance under this part shall comply with 
applicable laws and regulations including, but without limitation, the 
requirements of:
    (1) Executive Order 12372, Intergovernmental Review of Federal 
Programs, as implemented by 10 CFR part 1005.
    (2) DOE Financial Assistance Rules (10 CFR part 600); and
    (3) Other procedures which DOE may from time to time prescribe for 
the administration of financial assistance under this part.
    (b) The budget period(s) covered by the financial assistance 
provided to a State according to Sec. 420.11(b) or Sec. 420.33 shall be 
consistent with 10 CFR part 600.
    (c) Subawards are authorized under this part and are subject to the 
requirements of this part and 10 CFR part 600.



Sec. 420.4  Technical assistance.

    At the request of the Governor of any State to DOE and subject to 
the availability of personnel and funds, DOE will provide information 
and technical assistance to the State in connection with effectuating 
the purposes of this part.



Sec. 420.5  Reports.

    (a) Each State receiving financial assistance under this part shall 
submit to the cognizant Regional Support Office Director a quarterly 
program performance report and a quarterly financial status report.
    (b) Reports under this section shall contain such information as the 
Secretary may prescribe in order to monitor effectively the 
implementation of a State's activities under this part.
    (c) The reports shall be submitted within 30 days following the end 
of each calendar year quarter.



Sec. 420.6  Reference standards.

    (a) The following standards which are not otherwise set forth in 
this part are incorporated by reference and made a part of this part. 
The following standards have been approved for incorporation by 
reference by the Director of the Federal Register in accordance with 5

[[Page 84]]

U.S.C. 552(a) and 1 CFR part 51. A notice of any change in these 
materials will be published in the Federal Register. The standards 
incorporated by reference are available for inspection at the Office of 
the Federal Register, 800 North Capitol Street, NW., suite 700, 
Washington, DC.
    (b) The following standards are incorporated by reference in this 
part:
    (1) The American Society of Heating, Refrigerating and Air-
Conditioning Engineers (ASHRAE), 1791 Tullie Circle, N.E., Atlanta, 
Georgia 30329, (404) 636-8400/The Illuminating Engineering Society of 
North America (IESNA), 345 East 47th Street, New York, New York 10017, 
(212) 705-7913: (i) ASHRAE/IESNA 90.1-1989, entitled ``Energy Efficient 
Design of New Buildings Except Low-Rise Residential Buildings,'' with 
Addenda 90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 
90.1g-1993; and Addenda 90.1i-1993, IBR approved for Sec. 420.2 and 
Sec. 420.15.
    (2) The Council of American Building Officials (CABO), 5203 Leesburg 
Pike, Suite 708, Falls Church, Virginia 22041, (703) 931-4533: (i) The 
Model Energy Code, 1993, including Errata, IBR approved for Sec. 420.2 
and Sec. 420.15.



                   Subpart B--Formula Grant Procedures



Sec. 420.10  Purpose.

    This subpart specifies the procedures that apply to the Formula 
Grant part of the State Energy Program, which allows States to apply for 
financial assistance to undertake a wide range of required and optional 
energy-related activities provided for under Sec. 420.15 and 
Sec. 420.17. Funding for these activities is allocated to the States 
based on funds available for any fiscal year, as described under 
Sec. 420.11.



Sec. 420.11  Allocation of funds among the States.

    (a) The cognizant Regional Support Office Director shall provide 
financial assistance to each State having an approved annual application 
from funds available for any fiscal year to develop, modify, or 
implement a plan.
    (b) DOE shall allocate financial assistance to develop, implement or 
modify plans among the States from funds available for any fiscal year, 
as follows:
    (1) If the available funds equal $25.5 million, such funds shall be 
allocated to the States according to Table 1 of this section.
    (2) The base allocation for each State is listed in Table 1.

                   Table 1.--Base Allocation by State                   
------------------------------------------------------------------------
                     State/Territory                                    
------------------------------------------------------------------------
Alabama.................................................        $381,000
Alaska..................................................         180,000
Arizona.................................................         344,000
Arkansas................................................         307,000
California..............................................       1,602,000
Colorado................................................         399,000
Connecticut.............................................         397,000
Delaware................................................         164,000
District of Columbia....................................         158,000
Florida.................................................         831,000
Georgia.................................................         534,000
Hawaii..................................................         170,000
Idaho...................................................         190,000
Illinois................................................       1,150,000
Indiana.................................................         631,000
Iowa....................................................         373,000
Kansas..................................................         327,000
Kentucky................................................         411,000
Louisiana...............................................         446,000
Maine...................................................         231,000
Maryland................................................         486,000
Massachusetts...........................................         617,000
Michigan................................................         973,000
Minnesota...............................................         584,000
Mississippi.............................................         279,000
Missouri................................................         518,000
Montana.................................................         182,000
Nebraska................................................         246,000
Nevada..................................................         196,000
New Hampshire...........................................         216,000
New Jersey..............................................         783,000
New Mexico..............................................         219,000
New York................................................       1,633,000
North Carolina..........................................         564,000
North Dakota............................................         172,000
Ohio....................................................       1,073,000
Oklahoma................................................         352,000
Oregon..................................................         325,000
Pennsylvania............................................       1,090,000
Rhode Island............................................         199,000
South Carolina..........................................         340,000
South Dakota............................................         168,000
Tennessee...............................................         476,000
Texas...................................................       1,322,000
Utah....................................................         242,000
Vermont.................................................         172,000
Virginia................................................         571,000
Washington..............................................         438,000
West Virginia...........................................         286,000
Wisconsin...............................................         604,000
Wyoming.................................................         155,000
American Samoa..........................................         115,000
Guam....................................................         120,000
Northern Marianas.......................................         114,000
Puerto Rico.............................................         322,000
U.S. Virgin Islands.....................................         122,000
------------------------------------------------------------------------
      Total.............................................      25,500,000
------------------------------------------------------------------------

    (3) If the available funds for any fiscal year are less than $25.5 
million,

[[Page 85]]

then the base allocation for each State shall be reduced proportionally.
    (4) If the available funds exceed $25.5 million, $25.5 million shall 
be allocated as specified in Table 1 and any in excess of $25.5 million 
shall be allocated as follows:
    (i) One-third of the available funds is divided among the States 
equally;
    (ii) One-third of the available funds is divided on the basis of the 
population of the participating States as contained in the most recent 
reliable census data available from the Bureau of the Census, Department 
of Commerce, for all participating States at the time DOE needs to 
compute State formula shares; and
    (iii) One-third of the available funds is divided on the basis of 
the energy consumption of the participating States as contained in the 
most recent State Energy Data Report available from DOE's Energy 
Information Administration.
    (c) The budget period covered by the financial assistance provided 
to a State according to Sec. 420.11(b) shall be consistent with 10 CFR 
part 600.



Sec. 420.12  State matching contribution.

    (a) Each State shall provide cash, in kind contributions, or both 
for SEP activities in an amount totalling not less than 20 percent of 
the financial assistance allocated to the State under Sec. 420.11(b).
    (b) Cash and in-kind contributions used to meet this State matching 
requirement are subject to the limitations on expenditures described in 
Sec. 420.18(a), but are not subject to the 20 percent limitation in 
Sec. 420.18(b).
    (c) Nothing in this section shall be read to require a match for 
petroleum violation escrow funds used under this part.



Sec. 420.13  Annual State applications and State plans.

    (a) To be eligible for financial assistance under subpart B of this 
part, a State shall submit to the cognizant Regional Support Office 
Director an original and two copies of the annual application executed 
by the Governor. The date for submission of the annual State application 
shall be set by DOE.
    (b) An application shall include:
    (1) A face sheet containing basic identifying information, on 
Standard Form (SF) 424;
    (2) A description of the energy efficiency, renewable energy, and 
alternative transportation fuel goals to be achieved, including wherever 
practicable:
    (i) An estimate of the energy to be saved by implementation of the 
State plan;
    (ii) Why the goals were selected;
    (iii) How the attainment of the goals will be measured by the State; 
and
    (iv) How the program activities included in the State plan represent 
a strategy to achieve these goals;
    (3) With respect to financial assistance under subpart B of this 
part, a goal, consisting of an improvement of 10 percent or more in the 
efficiency of use of energy in the State concerned in the calendar year 
2000, as compared to the calendar year 1990, and may contain interim 
goals;
    (4) For the budget period for which financial assistance will be 
provided:
    (i) A total program budget with supporting justification, broken out 
by object category and by source of funding;
    (ii) The source and amount of State matching contribution;
    (iii) A narrative statement detailing the nature of amendments and 
of new program activities;
    (iv) For each program activity, a budget and listing of milestones; 
and
    (v) An explanation of how the minimum criteria for required program 
activities prescribed in Sec. 420.15 shall be satisfied;
    (5) A detailed description of the increase or decrease in 
environmental residuals expected from implementation of a plan defined 
insofar as possible through the use of information to be provided by DOE 
and an indication of how these environmental factors were considered in 
the selection of program activities.
    (6) For program activities involving purchase or installation of 
materials or equipment for weatherization of low-income housing, an 
explanation of how these activities would supplement and not supplant 
the existing DOE program under 10 CFR part 440.

[[Page 86]]

    (7) A reasonable assurance to DOE that it has established policies 
and procedures designed to assure that Federal financial assistance 
under subpart B of this part will be used to supplement, and not to 
supplant, State and local funds, and to the extent practicable, to 
increase the amount of such funds that otherwise would be available, in 
the absence of such Federal financial assistance, for those activities 
set forth in the State Energy Program plan approved pursuant to this 
part;
    (8) An assurance that the State shall comply with all applicable 
statutes and regulations in effect with respect to the periods for which 
it receives grant funding; and
    (9) For informational purposes only, and not subject to DOE review, 
an energy emergency plan for an energy supply disruption, as designed by 
the State consistent with applicable Federal and State law including an 
implementation strategy or strategies (including regional coordination) 
for dealing with energy emergencies.
    (c) The Governor may request an extension of the annual submission 
date by submitting a written request to the cognizant Regional Support 
Office Director not less than 15 days prior to the annual submission 
date. The extension shall be granted only if, in the cognizant Regional 
Support Office Director's judgment, acceptable and substantial 
justification is shown, and the extension would further objectives of 
the Act.



Sec. 420.14  Review and approval of annual State applications and State plans.

    (a) After receipt of an application for financial assistance under 
subpart B of this part, or application for approval of an amendment to a 
State plan, the cognizant Regional Support Office Director may request 
the State to submit within a reasonable period of time any revisions 
necessary to make the application complete and to bring the application 
into compliance with the requirements of this part. The cognizant 
Regional Support Office Director shall attempt to resolve any dispute 
over the application informally and to seek voluntary compliance. If a 
State fails to submit timely appropriate revisions to complete an 
application and/or bring it into compliance, the cognizant Regional 
Support Office Director may reject the application in a written 
decision, including a statement of reasons, which shall be subject to 
administrative review under Sec. 420.19 of this part.
    (b) On or before 60 days from the date that a timely filed 
application is complete, the cognizant Regional Support Office Director 
shall--
    (1) Approve the application in whole or in part to the extent that--
    (i) The application conforms to the requirements of this part;
    (ii) The proposed program activities are consistent with a State's 
achievement of its energy conservation goals in accordance with 
Sec. 420.13; and
    (iii) The provisions of the application regarding program activities 
satisfy the minimum requirements prescribed by Sec. 420.15 and 
Sec. 420.17 as applicable;
    (2) Approve the application in whole or in part subject to special 
conditions designed to ensure compliance with the requirements of this 
part; or
    (3) Disapprove the application if it does not conform to the 
requirements of this part.



Sec. 420.15  Minimum criteria for required program activities for plans.

    A plan shall satisfy all of the following minimum criteria for 
required program activities.
    (a) Mandatory lighting efficiency standards for public buildings 
shall:
    (1) Be implemented throughout the State, except that the standards 
shall be adopted by the State as a model code for those local 
governments of the State for which the State's constitution reserves the 
exclusive authority to adopt and implement building standards within 
their jurisdictions;
    (2) Apply to all public buildings above a certain size, as 
determined by the State;
    (3) For new public buildings, be no less stringent than the 
provisions of ASHRAE/IESNA 90.1-1989, and should be updated by enactment 
of, or support for the enactment into local codes or standards, which, 
at a minimum, are comparable to provisions of ASHRAE/IESNA 90.1-1989 
which is incorporated by reference in accordance with 5 U.S.C. 552 (a) 
and 1 CFR part 51. The

[[Page 87]]

availability of this incorporation by reference is given in Sec. 420.6; 
and
    (4) For existing public buildings, contain the elements deemed 
appropriate by the State.
    (b) Program activities to promote the availability and use of 
carpools, vanpools, and public transportation shall:
    (1) Have at least one of the following actions under implementation 
in at least one urbanized area with a population of 50,000 or more 
within the State or in the largest urbanized area within the State if 
that State does not have an urbanized area with a population of 50,000 
or more:
    (i) A carpool/vanpool matching and promotion campaign;
    (ii) Park-and-ride lots;
    (iii) Preferential traffic control for carpoolers and public 
transportation patrons;
    (iv) Preferential parking for carpools and vanpools;
    (v) Variable working schedules;
    (vi) Improvement in transit level of service for public 
transportation;
    (vii) Exemption of carpools and vanpools from regulated carrier 
status;
    (viii) Parking taxes, parking fee regulations or surcharge on 
parking costs;
    (ix) Full-cost parking fees for State and/or local government 
employees;
    (x) Urban area traffic restrictions;
    (xi) Geographical or time restrictions on automobile use; or
    (xii) Area or facility tolls; and
    (2) Be coordinated with the relevant Metropolitan Planning 
Organization, unless no Metropolitan Planning Organization exists in the 
urbanized area, and not be inconsistent with any applicable Federal 
requirements.
    (c) Mandatory standards and policies affecting the procurement 
practices of the State and its political subdivisions to improve energy 
efficiency shall--
    (1) With respect to all State procurement and with respect to 
procurement of political subdivisions to the extent determined feasible 
by the State, be under implementation; and
    (2) Contain the elements deemed appropriate by the State to improve 
energy efficiency through the procurement practices of the State and its 
political subdivisions.
    (d) Mandatory thermal efficiency standards for new and renovated 
buildings shall--
    (1) Be implemented throughout the State, with respect to all 
buildings other than exempted buildings, except that the standards shall 
be adopted by the State as a model code for those local governments of 
the State for which the State's constitution reserves the exclusive 
authority to adopt and implement building standards within their 
jurisdictions;
    (2) Take into account the exterior envelope physical 
characteristics, HVAC system selection and configuration, HVAC equipment 
performance and service water heating design and equipment selection;
    (3) For all new commercial and multifamily high-rise buildings, be 
no less stringent than provisions of sections 7-12 of ASHRAE/IESNA 90.1-
1989, and should be updated by enactment of, or support for the 
enactment into local codes or standards, which, at a minimum, are 
comparable to provisions of ASHRAE/IESNA 90.1-1989; and
    (4) For all new single-family and multifamily low-rise residential 
buildings, be no less stringent than the Model Energy Code, 1993, and 
should be updated by enactment of, or support for the enactment into 
local codes or standards, which, at a minimum, are comparable to the 
Model Energy Code, 1993, which is incorporated by reference in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of 
this incorporation by reference is given in Sec. 420.6;
    (5) For renovated buildings:
    (i) Apply to those buildings determined by the State to be renovated 
buildings; and
    (ii) Contain the elements deemed appropriate by the State regarding 
thermal efficiency standards for renovated buildings.
    (e) A traffic law or regulation which permits the operator of a 
motor vehicle to make a turn at a red light after stopping shall:
    (1) Be in a State's motor vehicle code and under implementation 
throughout all political subdivisions of the State;
    (2) Permit the operator of a motor vehicle to make a right turn 
(left turn with respect to the Virgin Islands) at a

[[Page 88]]

red traffic light after stopping except where specifically prohibited by 
a traffic sign for reasons of safety or except where generally 
prohibited in an urban enclave for reasons of safety; and
    (3) Permit the operator of a motor vehicle to make a left turn from 
a one-way street to a one-way street (right turn with respect to the 
Virgin Islands) at a red traffic light after stopping except where 
specifically prohibited by a traffic sign for reasons of safety or 
except where generally prohibited in an urban enclave for reasons of 
safety.
    (f) Procedures must exist for ensuring effective coordination among 
various local, State, and Federal energy efficiency, renewable energy 
and alternative transportation fuel programs within the State, including 
any program administered within the Office of Building Technology, State 
and Community Programs of the Department of Energy and the Low Income 
Home Energy Assistance Program administered by the Department of Health 
and Human Services.



Sec. 420.16  Extensions for compliance with required program activities.

    An extension of time by which a required program activity must be 
ready for implementation may be granted if DOE determines that the 
extension is justified. A written request for an extension, with 
accompanying justification and an action plan acceptable to DOE for 
achieving compliance in the shortest reasonable time, shall be made to 
the cognizant Regional Support Office Director. Any extension shall be 
only for the shortest reasonable time that DOE determines necessary to 
achieve compliance. The action plan shall contain a schedule for full 
compliance and shall identify and make the most reasonable commitment 
possible to provision of the resources necessary for achieving the 
scheduled compliance.



Sec. 420.17  Optional elements of State Energy Program plans.

    (a) Other appropriate activities or programs may be included in the 
State plan. These activities may include, but are not limited to, the 
following:
    (1) Program activities of public education to promote energy 
efficiency, renewable energy, and alternative transportation fuels;
    (2) Program activities to increase transportation energy efficiency, 
including programs to accelerate the use of alternative transportation 
fuels for government vehicles, fleet vehicles, taxis, mass transit, and 
privately owned vehicles;
    (3) Program activities for financing energy conservation measures 
and renewable energy measures--
    (i) Which may include loan programs and performance contracting 
programs for leveraging of additional public and private sector funds 
and program activities which allow rebates, grants, or other incentives 
for the purchase of energy conservation measures and renewable energy 
measures; or
    (ii) In addition to or in lieu of program activities described in 
paragraph (a)(3)(i) of this section, which may be used in connection 
with public or nonprofit buildings owned and operated by a State, a 
political subdivision of a State or an agency or instrumentality of a 
State, or an organization exempt from taxation under section 501(c)(3) 
of the Internal Revenue Code of 1986 including public and private non-
profit schools and hospitals, and local government buildings;
    (4) Program activities for encouraging and for carrying out energy 
audits with respect to buildings and industrial facilities (including 
industrial processes) within the State;
    (5) Program activities to promote the adoption of integrated energy 
plans which provide for:
    (i) Periodic evaluation of a State's energy needs, available energy 
resources (including greater energy efficiency), and energy costs; and
    (ii) Utilization of adequate and reliable energy supplies, including 
greater energy efficiency, that meet applicable safety, environmental, 
and policy requirements at the lowest cost;
    (6) Program activities to promote energy efficiency in residential 
housing, such as:
    (i) Program activities for development and promotion of energy 
efficiency rating systems for newly constructed housing and existing 
housing

[[Page 89]]

so that consumers can compare the energy efficiency of different 
housing; and
    (ii) Program activities for the adoption of incentives for builders, 
utilities, and mortgage lenders to build, service, or finance energy 
efficient housing;
    (7) Program activities to identify unfair or deceptive acts or 
practices which relate to the implementation of energy conservation 
measures and renewable energy measures and to educate consumers 
concerning such acts or practices;
    (8) Program activities to modify patterns of energy consumption so 
as to reduce peak demands for energy and improve the efficiency of 
energy supply systems, including electricity supply systems;
    (9) Program activities to promote energy efficiency as an integral 
component of economic development planning conducted by State, local, or 
other governmental entities or by energy utilities;
    (10) Program activities (enlisting appropriate trade and 
professional organizations in the development and financing of such 
programs) to provide training and education (including, if appropriate, 
training workshops, practice manuals, and testing for each area of 
energy efficiency technology) to building designers and contractors 
involved in building design and construction or in the sale, 
installation, and maintenance of energy systems and equipment to promote 
building energy efficiency;
    (11) Program activities for the development of building retrofit 
standards and regulations, including retrofit ordinances enforced at the 
time of the sale of a building;
    (12) Program activities to provide support for prefeasibility and 
feasibility studies for projects that utilize renewable energy and 
energy efficiency resource technologies in order to facilitate access to 
capital and credit for such projects;
    (13) Program activities to facilitate and encourage the voluntary 
use of renewable energy technologies for eligible participants in 
Federal agency programs, including the Rural Electrification 
Administration and the Farmers Home Administration; and
    (14) In accordance with paragraph (b) of this section, program 
activities to implement the Energy Technology Commercialization Services 
Program.
    (b) This section prescribes requirements for establishing State-
level Energy Technology Commercialization Services Program as an 
optional element of State plans.
    (1) The program activities to implement the functions of the Energy 
Technology Commercialization Services Program shall:
    (i) Aid small and start-up businesses in discovering useful and 
practical information relating to manufacturing and commercial 
production techniques and costs associated with new energy technologies;
    (ii) Encourage the application of such information in order to solve 
energy technology product development and manufacturing problems;
    (iii) Establish an Energy Technology Commercialization Services 
Program affiliated with an existing entity in each State;
    (iv) Coordinate engineers and manufacturers to aid small and start-
up businesses in solving specific technical problems and improving the 
cost effectiveness of methods for manufacturing new energy technologies;
    (v) Assist small and start-up businesses in preparing the technical 
portions of proposals seeking financial assistance for new energy 
technology commercialization; and
    (vi) Facilitate contract research between university faculty and 
students and small start-up businesses, in order to improve energy 
technology product development and independent quality control testing.
    (2) Each State Energy Technology Commercialization Services Program 
shall develop and maintain a data base of engineering and scientific 
experts in energy technologies and product commercialization interested 
in participating in the service. Such data base shall, at a minimum, 
include faculty of institutions of higher education, retired 
manufacturing experts, and National Laboratory personnel.
    (3) The services provided by the Energy Technology Commercialization

[[Page 90]]

Services Program established under this part shall be available to any 
small or start-up business. Such service programs shall charge fees 
which are affordable to a party eligible for assistance, which shall be 
determined by examining factors, including the following: the costs of 
the services received; the need of the recipient for the services; and 
the ability of the recipient to pay for the services.



Sec. 420.18  Expenditure prohibitions and limitations.

    (a) No financial assistance provided to a State under this part 
shall be used:
    (1) For construction, such as construction of mass transit systems 
and exclusive bus lanes, or for construction or repair of buildings or 
structures;
    (2) To purchase land, a building or structure or any interest 
therein;
    (3) To subsidize fares for public transportation;
    (4) To subsidize utility rate demonstrations or State tax credits 
for energy conservation measures or renewable energy measures; or
    (5) To conduct, or purchase equipment to conduct, research, 
development or demonstration of energy efficiency or renewable energy 
techniques and technologies not commercially available.
    (b) No more than 20 percent of the financial assistance awarded to 
the State for this program shall be used to purchase office supplies, 
library materials, or other equipment whose purchase is not otherwise 
prohibited by this section. Nothing in this paragraph shall be read to 
apply this 20 percent limitation to petroleum violation escrow funds 
used under this part.
    (c) Demonstrations of commercially available energy efficiency or 
renewable energy techniques and technologies are permitted, and are not 
subject to the prohibitions of Sec. 420.18(a)(1), or to the limitation 
on equipment purchases of Sec. 420.18(b).
    (d) A State may use regular or revolving loan mechanisms to fund SEP 
services which are consistent with this part and which are included in 
the State's approved SEP plan. The State may use loan repayments and any 
interest on the loan funds only for activities which are consistent with 
this part and which are included in the State's approved SEP plan.
    (e) A State may use funds under this part for the purchase and 
installation of equipment and materials for energy conservation measures 
and renewable energy measures subject to the following terms and 
conditions:
    (1) Such use must be included in the State's approved plan and, if 
funded by petroleum violation escrow funds, must be consistent with any 
judicial or administrative terms and conditions imposed upon State use 
of such funds;
    (2) A State may use for these purposes no more than 50 percent of 
all funds allocated by the State to SEP in a given year, regardless of 
source, except that this limitation shall not include regular and 
revolving loan programs funded with petroleum violation escrow funds, 
and is subject to waiver by DOE for good cause. Loan documents shall 
ensure repayment of principal and interest within a reasonable period of 
time, and shall not include provisions of loan forgiveness.
    (3) Subject to the restrictions of this part, State and local 
government buildings, as defined in Sec. 420.2, are eligible for energy 
conservation measures and renewable energy measures under this section;
    (4) Funds must be used to supplement and no funds may be used to 
supplant weatherization activities under the Weatherization Assistance 
Program for Low-Income Persons, under 10 CFR part 440;
    (5) Subject to paragraph (e)(6) of this section, a State may use a 
variety of financial incentives to fund purchases and installation of 
materials and equipment under this paragraph including, but not limited 
to, regular loans, revolving loans, loan buy-downs, performance 
contracting, rebates, and grants.
    (6) The following mechanisms are not allowed for funding the 
purchase and installation of materials and equipment under this 
paragraph:
    (i) Rebates for more than 50 percent of the total cost of purchasing 
and installing materials and equipment (States shall set appropriate 
restrictions and limits to insure the most efficient use of rebates); 
and

[[Page 91]]

    (ii) Loan guarantees.



Sec. 420.19  Administrative review.

    (a) A State shall have 20 days from the date of receipt of a 
decision under Sec. 420.14 to file a notice requesting administrative 
review in accordance with paragraph (b) of this section. If an applicant 
does not timely file such a notice, the decision under Sec. 420.14 shall 
become final for DOE.
    (b) A notice requesting administrative review shall be filed with 
the cognizant Regional Support Office Director and shall be accompanied 
by a written statement containing supporting arguments. If the cognizant 
Regional Support Office Director has disapproved an entire application 
for financial assistance, the State may request a public hearing.
    (c) A notice or any other document shall be deemed filed under this 
section upon receipt.
    (d) On or before 15 days from receipt of a notice requesting 
administrative review which is timely filed, the cognizant Regional 
Support Office Director shall forward to the Deputy Assistant Secretary, 
the notice requesting administrative review, the decision under 
Sec. 420.14 as to which administrative review is sought, a draft 
recommended final decision for concurrence, and any other relevant 
material.
    (e) If the State requests a public hearing on the disapproval of an 
entire application for financial assistance, the Deputy Assistant 
Secretary, within 15 days, shall give actual notice to the State and 
Federal Register notice of the date, place, time, and procedures which 
shall apply to the public hearing. Any public hearing under this section 
shall be informal and legislative in nature.
    (f) On or before 45 days from receipt of documents under paragraph 
(d) of this section or the conclusion of the public hearing, whichever 
is later, the Deputy Assistant Secretary shall concur in, concur in as 
modified, or issue a substitute for the recommended decision of the 
cognizant Regional Support Office Director.
    (g) On or before 15 days from the date of receipt of the 
determination under paragraph (f) of this section, the Governor may file 
an application for discretionary review by the Assistant Secretary. On 
or before 15 days from filing, the Assistant Secretary shall send a 
notice to the Governor stating whether the Deputy Assistant Secretary's 
determination will be reviewed. If the Assistant Secretary grants a 
review, a decision shall be issued no later than 60 days from the date 
review is granted. The Assistant Secretary may not issue a notice or 
decision under this paragraph without the concurrence of the DOE Office 
of General Counsel.
    (h) A decision under paragraph (f) of this section shall be final 
for DOE if there is no review under paragraph (g) of this section. If 
there is review under paragraph (g) of this section, the decision 
thereunder shall be final for DOE and no appeal shall lie elsewhere in 
DOE.
    (i) Prior to the effective date of the termination or suspension of 
a grant award for failure to implement an approved State plan in 
compliance with the requirements of this part, a grantee shall have the 
right to written notice of the basis for the enforcement action and of 
the opportunity for public hearing before the DOE Financial Assistance 
Appeals Board notwithstanding any provisions to the contrary of 10 CFR 
600.22, 600.24, 600.25, and 600.243. To obtain a public hearing, the 
grantee must request an evidentiary hearing, with prior Federal Register 
notice, in the election letter submitted under Rule 2 of 10 CFR 1024.4 
and the request shall be granted notwithstanding any provisions to the 
contrary of Rule 2.



   Subpart C--Implementation of Special Projects Financial Assistance



Sec. 420.30  Purpose and scope.

    (a) This subpart sets forth DOE's policies and procedures for 
implementing special projects financial assistance under this part.
    (b) For years in which such funding is available, States may apply 
for financial assistance to undertake a variety of State-oriented 
energy-related special projects activities in addition to the funds 
provided under the regular SEP grants.

[[Page 92]]

    (c) The types of funded activities may vary from year to year, and 
from State to State, depending upon funds available for each type of 
activity and DOE and State priorities.
    (d) A number of end-use sector programs in the Office of Energy 
Efficiency and Renewable Energy participate in the funding of these 
activities, and the projects must meet the requirements of those 
programs.
    (e) The purposes of the special project activities are:
    (1) To utilize States to accelerate deployment of energy efficiency, 
renewable energy, and alternative transportation fuel technologies;
    (2) To facilitate the commercialization of emerging and 
underutilized energy efficiency and renewable energy technologies; and
    (3) To increase the responsiveness of Federally funded technology 
development efforts to the needs of the marketplace.



Sec. 420.31  Notice of availability.

    (a) If in any fiscal year DOE has funds available for special 
projects, DOE shall publish in the Federal Register one or more 
notice(s) of availability of SEP special projects financial assistance.
    (b) Each notice of availability shall cite this part and shall 
include:
    (1) Brief descriptions of the activities for which funding is 
available;
    (2) The amount of money DOE has available or estimates it will have 
available for award for each type of activity, and the total amount 
available;
    (3) The program official to contact for additional information, 
application forms, and the program guidance/solicitation document; and
    (4) The dates when:
    (i) The program guidance/solicitation will be available; and
    (ii) The applications for financial assistance must be received by 
DOE.



Sec. 420.32  Program guidance/solicitation.

    After the publication of the notice of availability in the Federal 
Register, DOE shall, upon request, provide States interested in applying 
for one or more project(s) under the special projects financial 
assistance with a detailed program guidance/solicitation that will 
include:
    (a) The control number of the program;
    (b) The expected duration of DOE support or period of performance;
    (c) An application form or the format to be used, location for 
application submission, and number of copies required;
    (d) The name of the DOE program office contact from whom to seek 
additional information;
    (e) Detailed descriptions of each type of program activity for which 
financial assistance is being offered;
    (f) The amount of money available for award, together with any 
limitations as to maximum or minimum amounts expected to be awarded;
    (g) Deadlines for submitting applications;
    (h) Evaluation criteria that DOE will apply in the selection and 
ranking process for applications for each program activity;
    (i) The evaluation process to be applied to each type of program 
activity;
    (j) A listing of program policy factors if any that DOE may use in 
the final selection process, in addition to the results of the 
evaluations, including:
    (1) The importance and relevance of the proposed applications to SEP 
and the participating programs in the Office of Energy Efficiency and 
Renewable Energy; and
    (2) Geographical diversity;
    (k) Reporting requirements;
    (l) References to:
    (1) Statutory authority for the program;
    (2) Applicable rules; and
    (3) Other terms and conditions applicable to awards made under the 
program guidance/solicitation; and
    (m) A statement that DOE reserves the right to fund in whole or in 
part, any, all, or none of the applications submitted.



Sec. 420.33  Application requirements.

    (a) Consistent with Sec. 420.32 of this part, DOE shall set forth 
general and special project activity-specific requirements for 
applications for special projects financial assistance in the program 
guidance/solicitation.
    (b) In addition to any other requirements, all applications shall 
provide:

[[Page 93]]

    (1) A detailed description of the proposed project, including the 
objectives of the project in relationship to DOE's program and the 
State's plan for carrying it out;
    (2) A detailed budget for the entire proposed period of support, 
with written justification sufficient to evaluate the itemized list of 
costs provided on the entire project; and
    (3) An implementation schedule for carrying out the project.
    (c) DOE may, subsequent to receipt of an application, request 
additional budgetary information from a State when necessary for 
clarification or to make informed preaward determinations.
    (d) DOE may return an application which does not include all 
information and documentation required by this part, 10 CFR part 600, or 
the program guidance/solicitation, when the nature of the omission 
precludes review of the application.



Sec. 420.34  Matching contributions or cost-sharing.

    DOE may require (as set forth in the program guidance/solicitation) 
States to provide either:
    (a) A matching contribution of at least a specified percentage of 
the Federal financial assistance award; or
    (b) A specified share of the total cost of the project for which 
financial assistance is provided.



Sec. 420.35  Application evaluation.

    (a) DOE staff at the cognizant Regional Support Office shall perform 
an initial review of all applications to ensure that the State has 
provided the information required by this part, 10 CFR part 600, and the 
program guidance/solicitation.
    (b) DOE shall group, and technically evaluate according to program 
activity, all applications determined to be complete and satisfactory.
    (c) DOE shall select evaluators on the basis of their professional 
qualifications and expertise relating to the particular program activity 
being evaluated.
    (1) DOE anticipates that evaluators will primarily be DOE employees; 
but
    (2) If DOE uses non-DOE evaluators, DOE shall require them to comply 
with all applicable DOE rules or directives concerning the use of 
outside evaluators.



Sec. 420.36  Evaluation criteria.

    The evaluation criteria, including program activity-specific 
criteria, will be set forth in the program guidance/solicitation 
document.



Sec. 420.37  Selection.

    (a) DOE may make selection of applications for award based on:
    (1) The findings of the technical evaluations;
    (2) The priorities of DOE, SEP, and the participating program 
offices;
    (3) The availability of funds for the various special project 
activities; and
    (4) Any program policy factors set forth in the program guidance/
solicitation.
    (b) The Director, Office of State and Community Programs makes the 
final selections of projects to be awarded financial assistance.



PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS--Table of Contents




                      Subpart A--General Provisions

Sec.
430.1  Purpose and scope.
430.2  Definitions.

                       Subpart B--Test Procedures

430.21  Purpose and scope.
430.22  Reference sources.
430.23  Test procedures for measures of energy consumption.
430.24  Units to be tested.
430.25  Laboratory accreditation program.
430.27  Petitions for waiver and applications for interim waiver.
Appendix A1 (Alternative) To Subpart B of Part 430--Uniform Test Method 
          for Measuring the Energy Consumption of Electric Refrigerators 
          and Electric Refrigerator-Freezers
Appendix B1 (Alternative) to Subpart B of Part 430--Uniform Test Method 
          for Measuring the Energy Consumption of Freezers
Appendix C to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Dishwashers

[[Page 94]]

Appendix D to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Clothes Dryers
Appendix E to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Water Heaters
Appendix F to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Room Air Conditioners
Appendix G to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Unvented Home Heating Equipment
Appendix H to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Television Sets
Appendix I to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Conventional Ranges, Conventional 
          Cooking Tops, Conventional Ovens, Microwave Ovens and 
          Microwave/Conventional Ranges
Appendix J to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Automatic and Semi-Automatic Clothes 
          Washers
Appendix K to Subpart B of Part 430----[Reserved]
Appendix L to Subpart B of Part 430----[Reserved]
Appendix M to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Central Air Conditioners
Appendix N to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Furnaces
Appendix O to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Vented Home Heating Equipment
Appendix P to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Pool Heaters
Appendix Q to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Fluorescent Lamp Ballasts
Appendix R to Subpart B of Part 430--Uniform Test Method for Measuring 
          Average Lamp Efficacy (LE) and Color Rendering Index (CRI) of 
          Electric Lamps

                Subpart C--Energy Conservation Standards

430.31  Purpose and scope.
430.32  Energy conservation standards and effective dates.
430.33  Preemption of State regulations.
Appendix A to Subpart C of Part 430--Procedures, Interpretations and 
          Policies for Consideration of New or Revised Energy 
          Conservation Standards for Consumer Products

    Subpart D--Petitions To Exempt State Regulation From Preemption; 
           Petitions to Withdraw Exemption of State Regulation

430.40  Purpose and scope.
430.41  Prescriptions of a rule.
430.42  Filing requirements.
430.43  Notice of petition.
430.44  Consolidation.
430.45  Hearing.
430.46  Disposition of petitions.
430.47  Effective dates of final rules.
430.48  Request for reconsideration.
430.49  Finality of decision.

                  Subpart E--Small Business Exemptions

430.50  Purpose and scope.
430.51  Eligibility.
430.52  Requirements for applications.
430.53  Processing of applications.
430.54  Referral to the Attorney General.
430.55  Evaluation of application.
430.56  Decision and order.
430.57  Duration of temporary exemption.

                Subpart F--Certification and Enforcement

430.60  Purpose and scope.
430.61  Prohibited acts.
430.62  Submission of data.
430.63  Sampling.
430.64  Imported products.
430.65  Exported products.
430.70  Enforcement.
430.71  Cessation of distribution of a basic model.
430.72  Subpoena.
430.73  Remedies.
430.74  Hearings and Appeals.
430.75  Confidentiality.

Appendix A to Subpart F of Part 430--Compliance Statement.
Appendix B to Subpart F of Part 430--Sampling Plan for Enforcement 
          Testing.

    Authority: 42 U.S.C. 6291-6309.

    Source: 42 FR 27898, June 1, 1977, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 430.1  Purpose and scope.

    This part establishes the regulations for the implementation of part 
B of title III (42 U.S.C. 6291-6309) of the Energy Policy and 
Conservation Act (Pub. L. 94-163), as amended by Pub. L. 94-

[[Page 95]]

385, Pub. L. 100-12, and Pub. L. 100-357, which establishes an energy 
conservation program for consumer products other than automobiles.

[54 FR 6074, Feb. 7, 1989]



Sec. 430.2  Definitions.

    For purposes of this part, words shall be defined as provided for in 
section 321 of the Act and as follows--
    Act means the Energy Policy and Conservation Act (Pub. L. 94-163), 
as amended by the National Energy Policy Conservation Act (Pub. L. 95-
619), the National Appliance Energy Conservation Act of 1987 (Pub. L. 
100-12), the National Appliance Energy Conservation Amendments of 1988 
(Pub. L. 100-357), and the Energy Policy Act of 1992 (Pub. L. 102-486).
    Annual fuel utilization efficiency means the efficiency descriptor 
for furnaces and boilers, determined using test procedures prescribed 
under section 323 and based on the assumption that all--
    (a) Weatherized warm air furnaces or boilers are located out-of-
doors;
    (b) Warm air furnaces which are not weatherized are located indoors 
and all combustion and ventilation air is admitted through grill or 
ducts from the outdoors and does not communicate with air in the 
conditioned space;
    (c) Boilers which are not weatherized are located within the heated 
space.
    Automatic clothes washer means a class of clothes washer which has a 
control system which is capable of scheduling a preselected combination 
of operations, such as regulation of water temperature, regulation of 
the water fill level, and performance of wash, rinse, drain, and spin 
functions without the need for user intervention subsequent to the 
initiation of machine operation. Some models may require user 
intervention to initiate these different segments of the cycle after the 
machine has begun operation, but they do not require the user to 
intervene to regulate the water temperature by adjusting the external 
water faucet valves.
    Ballast efficacy factor means the relative light output divided by 
the power imput of a fluorescent lamp ballast, as measured under test 
conditions specified in ANSI Standard C82.2-1984.
    Baseboard electric heater means an electric heater which is intended 
to be recessed in or surface mounted on walls at floor level, which is 
characterized by long, low physical dimensions, and which transfers heat 
by natural convection and/or radiation.
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer and--
    (1) With respect to refrigerators and refrigerator-freezers, which 
have the same primary energy source, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (2) With respect to freezers, which have the same primary energy 
source, which have electrical characteristics that are essentially 
identical, and which do not have any differing physical or functional 
characteristics that affect energy consumption.
    (3) With respect to dishwashers, which have electrical 
characteristics which are essentially identical and which do not have 
any differing physical or functional characteristics which affect energy 
consumption.
    (4) With respect to clothes dryers, which have the same primary 
energy source, which have electrical characteristics that are 
essentially identical, and which do not have any differing physical or 
functional characteristics that affect energy consumption.
    (5) With respect to water heaters, which have the same primary 
energy source and which, with the exception of immersed heating 
elements, do not have any differing electrical, physical, or functional 
characteristics that affect energy consumption.
    (6) With respect to room air conditioners, having essentially 
identical functional physical and electrical characteristics.
    (7) With respect to unvented home heating equipment, having 
essentially identical functional physical and electrical 
characteristics.
    (8) With respect to television sets, which have identical screen 
size, which have electrical characteristics that are essentially 
identical, and which do not

[[Page 96]]

have any differing physical or functional characteristics that affect 
energy consumption.
    (9) With respect to kitchen ranges and ovens, whose major cooking 
components have the same primary energy source, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (10) With respect to clothes washers, which have the same primary 
energy source, which have electrical characteristics that are 
essentially identical, and which do not have any differing physical or 
functional characteristics that affect energy consumption.
    (11) With respect to central air conditioners, which have electrical 
characteristics which are essentially identical and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (12) With respect to furnaces, having the same primary energy source 
and essentially identical functional, physical and electrical 
characteristics.
    (13) With respect to vented home heating equipment, having the same 
primary energy source and essentially identical functional, physical and 
electrical characteristics.
    (14) With respect to fluorescent lamp ballasts, which have 
electrical characteristics, including a Power Factor (P.F.) of equal 
value, which are essentially identical, and which do not have any 
differing physical or functional characteristics that affect energy 
consumption.
    (15) With respect to general service fluorescent lamps which have 
photometric and electrical characteristics, including lumens per watt 
and Color Rendering Index (CRI) which are essentially identical, and 
which do not have any differing physical or functional characteristics 
that affect energy consumption.
    (16) With respect to general service incandescent lamps which have 
photometric and electrical characteristics, including lumens per watt, 
which are essentially identical, and which do not have any differing 
physical or functional characteristics that affect energy consumption.
    Batch means a collection of production units of a basic model from 
which a batch sample is selected.
    Batch sample means the collection of units of the same basic model 
from which test units are selected.
    Batch sample size means the number of units in a batch sample.
    Batch size means the number of units in a batch.
    Btu means British thermal unit, which is the quantity of heat 
required to raise the temperature of one pound of water one degree 
Fahrenheit.
    Ceiling electric heater means an electric heater which is intended 
to be recessed in, surface mounted on, or hung from a ceiling, and which 
transfers heat by radiation and/or convection (either natural or 
forced).
    Central air conditioner means a product, other than a packaged 
terminal air conditioner, which is powered by single phase electric 
current, air cooled, rated below 65,000 Btu per hour, not contained 
within the same cabinet as a furnace, the rated capacity of which is 
above 225,000 Btu per hour, and is a heat pump or a cooling unit only.
    Central system humidifier means a class of humidifier designed to 
add moisture into the air stream of a heating system.
    Clothes washer means a consumer product designed to clean clothes, 
utilizing a water solution of soap and/or detergent and mechanical 
agitation or other movement, and must be one of the following classes: 
automatic clothes washers, semi-automatic clothes washers, and other 
clothes washers.
    Coil family means a group of coils with the same basic design 
features that affect the heat exchanger performance. These features are 
the basic configuration, i.e., A-shape, V-shape, slanted or flat top, 
the heat transfer surfaces on refrigerant and air sides (flat tubes vs. 
grooved tubes, fin shapes), the tube and fin materials, and the coil 
circuitry. When a group of coils has all these features in common, it 
constitutes a ``coil family.''
    Cold Temperature Fluorescent Lamp means a fluorescent lamp 
specifically designed to start at -20 deg.F when used

[[Page 97]]

with a ballast conforming to the requirements of American National 
Standards Institute standard C78.1.
    Color Rendering Index or CRI means the measured degree of color 
shift objects undergo when illuminated by a light source as compared 
with the color of those same objects when illuminated by a reference 
source of comparable color temperature.
    Color television set means an electrical device designed to convert 
incoming broadcast signals into color television pictures and associated 
sound.
    Condenser-evaporator coil combination means a condensing unit made 
by one manufacturer and one of several evaporator coils, either 
manufactured by the same manufacturer or another manufacturer, intended 
to be combined with that particular condensing unit.
    Condensing unit means a component of a central air conditioner which 
is designed to remove the heat absorbed by the refrigerant and to 
transfer it to the outside environment, and which consists of an outdoor 
coil, compressor(s), and air moving device.
    Consumer product means any article (other than an automobile, as 
defined in section 501(1) of the Motor Vehicle Information and Cost 
Savings Act) of a type:
    (a) Which in operation consumes, or is designed to consume, energy; 
and
    (b) Which, to any significant extent, is distributed in commerce for 
personal use or consumption by individuals; without regard to whether 
such article or such type is in fact distributed in commerce for 
personal use or consumption by an individual, except that such term 
includes fluorescent lamp ballasts distributed in commerce for personal 
or commercial use or consumption.
    Conventional cooking top means a class of kitchen ranges and ovens 
which is a household cooking appliance consisting of a horizontal 
surface containing one or more surface units which include either a gas 
flame or electric resistance heating.
    Conventional oven means a class of kitchen ranges and ovens which is 
a household cooking appliance consisting of one or more compartments 
intended for the cooking or heating of food by means of either a gas 
flame or electric resistance heating. It does not include portable or 
countertop ovens which use electric resistance heating for the cooking 
or heating of food and are designed for an electrical supply of 
approximately 120 volts.
    Conventional range means a class of kitchen ranges and ovens which 
is a household cooking appliance consisting of a conventional cooking 
top and one or more conventional ovens.
    Convertible cooking appliance means any kitchen range and oven which 
is a household cooking appliance designed by the manufacturer to be 
changed in service from use with natural gas to use with LP-gas, and 
vice versa, by incorporating in the appliance convertible orifices for 
the main gas burners and a convertible gas pressure regulator.
    Covered product means a consumer product of a type specified in 
section 322 of the Act.
    Direct vent system means a system supplied by a manufacturer which 
provides outdoor air or air from an unheated space (such as an attic or 
crawl space) directly to a furnace or vented heater for combustion and 
for draft relief if the unit is equipped with a draft control device.
    Dishwasher means a cabinet-like appliance which with the aid of 
water and detergent, washes, rinses, and dries (when a drying process is 
included) dishware, glassware, eating utensils, and most cooking 
utensils by chemical, mechanical and/or electrical means and discharges 
to the plumbing drainage system.
    DOE means the Department of Energy.
    Electric boiler means an electrically powered furnace designed to 
supply low pressure steam or hot water for space heating application. A 
low pressure steam boiler operates at or below 15 pounds per square inch 
gauge (psig) steam pressure; a hot water boiler operates at or below 160 
psig water pressure and 250 deg. F. water temperature.
    Electric central furnace means a furnace designed to supply heat 
through a system of ducts with air as the heating medium, in which heat 
is generated by one or more electric resistance heating elements and the 
heated air is circulated by means of a fan or blower.

[[Page 98]]

    Electric clothes dryer means a cabinet-like appliance designed to 
dry fabrics in a tumble-type drum with forced air circulation. The heat 
source is electricity and the drum and blower(s) are driven by an 
electric motor(s).
    Electric heater means an electric appliance in which heat is 
generated from electrical energy and dissipated by convection and 
radiation and includes baseboard electric heaters, ceiling electric 
heaters, floor electric heaters, portable electric heaters, and wall 
electric heaters.
    Electric refrigerator means a cabinet designed for the refrigerated 
storage of food at temperatures above 32 deg. F., and having a source of 
refrigeration requiring single phase, alternating current electric 
energy input only. An electric refrigerator may include a compartment 
for the freezing and storage of food at temperatures below 32 deg. F., 
but does not provide a separate low temperature compartment designed for 
the freezing and storage of food at temperatures below 8 deg. F.
    Electric refrigerator-freezer means a cabinet which consists of two 
or more compartments with at least one of the compartments designed for 
the refrigerated storage of food at temperatures above 32 deg. F. and 
with at least one of the compartments designed for the freezing and 
storage of food at temperatures below 8 deg. F. which may be adjusted by 
the user to a temperature of 0 deg. F. or below. The source of 
refrigeration requires single phase, alternating current electric energy 
input only.
    Energy conservation standard means:
    (a) A performance standard which prescribes a minimum level of 
energy efficiency or a maximum quantity of energy use for a covered 
product, determined in accordance with test procedures prescribed under 
section 323; or
    (b) A design requirement for the products specified in paragraphs 
(6), (7), (8), (10), and (13) of section 322(a) of the Act; and includes 
any other requirements which the Secretary may prescribe under section 
325(o) of the Act.
    Evaporator coil means a component of a central air conditioner which 
is designed to absorb heat from an enclosed space and transfer the heat 
to a refrigerant.
    Floor electric heater means an electric heater which is intended to 
be recessed in a floor, and which transfers by radiation and/or 
convection (either natural or forced).
    Fluorescent Lamp means a low pressure mercury electric-discharge 
source in which a fluorescing coating transforms some of the ultraviolet 
energy generated by the mercury discharge into light, including the 
following:
    (1) Any straight-shaped lamp (commonly referred to as 4-foot medium 
bi-pin lamps) with medium bi-pin bases of nominal overall length of 48 
inches and rated wattage of 28 or more.
    (2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped 
lamps) with medium bi-pin bases of nominal overall length between 22 and 
25 inches and rated wattage of 28 or more.
    (3) Any rapid start lamp (commonly referred to as 8-foot high output 
lamps) with recessed double contact bases of nominal overall length of 
96 inches and 0.800 nominal amperes, as defined in ANSI C78.1-1991. (See 
Incorporation by Reference Sec. 430.22(a).)
    (4) Any instant start lamp (commonly referred to as 8-foot slimline 
lamps) with single pin bases of nominal overall length of 96 inches and 
rated wattage of 52 or more, as defined in ANSI C78.3-1991. (See 
Incorporation by Reference Sec. 430.22(a).)
    Fluorescent lamp ballast means a device which is used to start and 
operate fluorescent lamps by providing a starting voltage and current 
and limiting the current during normal operation.
    Forced air central furnace means a gas or oil burning furnace 
designed to supply heat through a system of ducts with air as the 
heating medium. The heat generated by combustion of gas or oil is 
transferred to the air within a casing by conduction through heat 
exchange surfaces and is circulated through the duct system by means of 
a fan or blower.
    Freezer means a cabinet designed as a unit for the freezing and 
storage of food at temperatures of 0 deg. F. or below, and having a 
source of refrigeration requiring single phase, alternating current 
electric energy input only.
    Furnace means a product which utilizes only single-phase electric 
current, or single-phase electric current or DC

[[Page 99]]

current in conjunction with natural gas, propane, or home heating oil, 
and which--
    (a) Is designed to be the principal heating source for the living 
space of a residence;
    (b) Is not contained within the same cabinet with a central air 
conditioner whose rated cooling capacity is above 65,000 Btu per hour;
    (c) Is an electric central furnace, electric boiler, forced-air 
central furnace, gravity central furnace, or low pressure steam or hot 
water boiler; and
    (d) Has a heat input rate of less than 300,000 Btu per hour for 
electric boilers and low pressure steam or hot water boilers and less 
than 225,000 Btu per hour for forced-air central furnaces, gravity 
central furnaces, and electric central furnaces, gravity central 
furnaces, and electric central furnaces.
    Gas means either natural gas or propane.
    Gas clothes dryer means a cabinet-like appliance designed to dry 
fabrics in a tumble-type drum with forced air circulation. The heat 
source is gas and the drum and blower(s) are driven by an electric 
motor(s).
    General Service Fluorescent Lamp means any fluorescent lamp which 
can be used to satisfy the majority of fluorescent lighting 
applications, but does not include any lamp designed and marketed for 
the following nongeneral applications:
    (1) Fluorescent lamps designed to promote plant growth.
    (2) Fluorescent lamps specifically designed for cold temperature 
applications.
    (3) Colored fluorescent lamps.
    (4) Impact-resistant fluorescent lamps.
    (5) Reflectorized or aperture lamps.
    (6) Fluorescent lamps designed for use in reprographic equipment.
    (7) Lamps primarily designed to produce radiation in the ultra-
violet region of the spectrum.
    (8) Lamps with a Color Rendering Index of 82 or greater.
    General Service Incandescent Lamp means any incandescent lamp (other 
than a miniature or photographic lamp) that has an E26 medium screw 
base, a rated voltage range at least partially within 115 to 130 volts, 
and which can be used to satisfy the majority of lighting applications, 
but does not include any lamps specifically designed for:
    (1) Traffic signal, or street lighting service;
    (2) Airway, airport, aircraft, or other aviation service;
    (3) Marine, or marine signal service;
    (4) Photo, projection, sound reproduction, or film viewer service;
    (5) Stage, studio, or television service;
    (6) Mill, saw mill, or other industrial process service;
    (7) Mine service;
    (8) Headlight, locomotive, street railway, or other transportation 
service;
    (9) Heating service;
    (10) Code beacon, marine signal, lighthouse, reprographic, or other 
communication service;
    (11) Medical or dental service;
    (12) Microscope, map, microfilm, or other specialized equipment 
service;
    (13) Swimming pool, or other underwater service;
    (14) Decorative or showcase service;
    (15) Producing colored light;
    (16) Shatter resistance which has an external protective coating; or
    (17) Appliance service.
    Gravity central furnace means a gas fueled furnace which depends 
primarily on natural convection for circulation of heated air and which 
is designed to be used in conjunction with a system of ducts.
    Heat pump means a product, other than a packaged terminal heat pump, 
which consists of one or more assemblies, powered by single phase 
electric current, rated below 65,000 Btu per hour, utilizing an indoor 
conditioning coil, compressor, and refrigerant-to-outdoor air heat 
exchanger to provide air heating, and may also provide air cooling, 
dehumidifying, humidifying circulating, and air cleaning.
    Home heating equipment, not including furnaces means vented home 
heating equipment and unvented home heating equipment.
    Immersed heating element means an electrically powered heating 
device which is designed to operate while totally immersed in water in 
such a manner that the heat generated by the device is imparted directly 
to the water.

[[Page 100]]

    Incandescent Lamp means any lamp in which light is produced by a 
filament heated to incandescence by an electric current, including only 
the following:
    (1) Any lamp (commonly referred to as lower wattage nonreflector 
general service lamps, including any tungsten halogen lamp) that has a 
rated wattage between 30 and 199 watts, has an E26 medium screw base, 
has a rated voltage or voltage range that lies at least partially within 
115 and 130 volts, and is not a reflector lamp.
    (2) Any lamp (commonly referred to as a reflector lamp) which is not 
colored or designed for rough or vibration service applications that 
contains an inner reflective coating on the outer bulb to direct the 
light, an R, PAR or similar bulb shapes (excluding ER or BR) with an E26 
medium screw base, a rated voltage or voltage range that lies at least 
partially within 115 to 130 volts, a diameter which exceeds 2.75 inches, 
and is either--(I) a low(er) wattage reflector lamp which has a rated 
wattage between 40 and 205 watts; or (II) a high(er) wattage reflector 
lamp which has a rated wattage above 205 watts.
    (3) Any general service incandescent lamp (commonly referred to as a 
high- or higher-wattage lamp) that has a rated wattage above 199 watts 
(above 205 watts for a high wattage reflector lamp).
    Kerosene means No. 1 fuel oil with a viscosity meeting the 
specifications as specified in UL-730-1974, section 36.9 and in tables 2 
and 3 of ANSI Standard Z91.1-1972.
    Kitchen ranges and ovens means consumer products that are used as 
the major household cooking appliances. They are designed to cook or 
heat different types of food by one or more of the following sources of 
heat: Gas, electricity, or microwave energy. Each product may consist of 
a horizontal cooking top containing one or more surface units and/or one 
or more heating compartments. They must be one of the following classes: 
Conventional ranges, conventional cooking tops, conventional ovens, 
microwave ovens, microwave/conventional ranges and other kitchen ranges 
and ovens.
    Lamp Efficacy (LE) means the measured lumen output of a lamp in 
lumens divided by the measured lamp electrical power input in watts 
expressed in units of lumens per watt (LPW).
    Low pressure steam or hot water boiler means an electric, gas or oil 
burning furnace designed to supply low pressure steam or hot water for 
space heating application. A low pressure steam boiler operates at or 
below 15 pounds psig steam pressure; a hot water boiler operates at or 
below 160 psig water pressure and 250 deg. F. water temperature.
    LP-gas means liquified petroleum gas, and includes propane, butane, 
and propane/butane mixtures.
    Major cooking component means either a conventional cooking top, a 
conventional oven or a microwave oven.
    Manufacturer means any person who manufactures a consumer product.
    Medium Base Compact Fluorescent Lamp means an integrally ballasted 
fluorescent lamp with a medium screw base, a rated input voltage range 
of 115 to 130 volts and which is designed as a direct replacement for a 
general service incandescent lamp.
    Microwave/conventional range means a class of kitchen ranges and 
ovens which is a household cooking appliance consisting of a microwave 
oven, a conventional oven, and a conventional cooking top.
    Microwave oven means a class of kitchen ranges and ovens which is a 
household cooking appliance consisting of a compartment designed to cook 
or heat food by means of microwave energy.
    Monochrome television set means an electrical device designed to 
convert incoming broadcast signals into monochrome television pictures 
and associated sound.
    Natural gas means natural gas as defined by the Federal Power 
Commission.
    Oil means heating oil grade No. 2 as defined in American Society for 
Testing and Materials (ASTM) D396-71.
    Other clothes washer means a class of clothes washer which is not an 
automatic or semi-automatic clothes washer.
    Other kitchen ranges and ovens means any class of kitchen ranges and 
ovens other than the conventional range,

[[Page 101]]

conventional cooking top, conventional oven, microwave oven, and 
microwave/conventional range classes.
    Outdoor furnace or boiler is a furnace or boiler normally intended 
for installation out-of-doors or in an unheated space (such as an attic 
or a crawl space).
    Packaged terminal air conditioner means a wall sleeve and a separate 
unencased combination of heating and cooling assemblies specified by the 
builder and intended for mounting through the wall. It includes a prime 
source of refrigeration, separable outdoor louvers, forced ventilation, 
and heating availability energy.
    Packaged terminal heat pump means a packaged terminal air 
conditioner that utilizes reverse cycle refrigeration as its prime heat 
source and should have supplementary heating availability by builder's 
choice of energy.
    Person includes any individual, corporation, company, association, 
firm, partnership, society, trust, joint venture or joint stock company, 
the government, and any agency of the United States or any State or 
political subdivision thereof.
    Pool heater means an appliance designed for heating nonpotable water 
contained at atmospheric pressure, including heating water in swimming 
pools, spas, hot tubs and similar applications.
    Portable electric heater means an electric heater which is intended 
to stand unsupported, and can be moved from place to place within a 
structure. It is connected to electric supply by means of a cord and 
plug, and transfers heat by radiation and/or convention (either natural 
or forced).
    Primary heater means a heating device that is the principal source 
of heat for a structure and includes baseboard electric heaters, ceiling 
electric heaters, and wall electric heaters.
    Propane means a hydrocarbon whose chemical composition is 
predominantly C3H8, whether recovered from natural 
gas or crude oil.
    Refrigerator means an electric refrigerator.
    Refrigerator-freezer means an electric refrigerator-freezer.
    Room air conditioner means a consumer product, other than a 
``packaged terminal air conditioner,'' which is powered by a single 
phase electric current and which is an encased assembly designed as a 
unit for mounting in a window or through the wall for the purpose of 
providing delivery of conditioned air to an enclosed space. It includes 
a prime source of refrigeration and may include a means for ventilating 
and heating.
    Secretary means the Secretary of the Department of Energy.
    Semi-automatic clothes washer means a class of clothes washer that 
is the same as an automatic clothes washer except that user intervention 
is required to regulate the water temperature by adjusting the external 
water faucet valves.
    State means a State, the District of Columbia, Puerto Rico, or any 
territory or possession of the United States.
    State regulation means a law or regulation of a State or political 
subdivision thereof.
    Supplementary heater means a heating device that provides heat to a 
space in addition to that which is supplied by a primary heater. 
Supplementary heaters include portable electric heaters.
    Surface unit means either a heating unit mounted in a cooking top, 
or a heating source and its associated heated area of the cooking top, 
on which vessels are placed for the cooking or heating of food.
    Television set means a color television set or a monochrome 
television set.
    Unvented gas heater means an unvented, self-contained, free-
standing, nonrecessed gas-burning appliance which furnishes warm air by 
gravity or fan circulation.
    Unvented home heating equipment means a class of home heating 
equipment, not including furnaces, used for the purpose of furnishing 
heat to a space proximate to such heater directly from the heater and 
without duct connections and includes electric heaters and unvented gas 
and oil heaters.
    Unvented oil heater means an unvented, self-contained, free-
standing, nonrecessed oil-burning appliance which furnishes warm air by 
gravity or fan circulation.
    Vented floor furnace means a self-contained vented heater suspended 
from

[[Page 102]]

the floor of the space being heated, taking air for combustion from 
outside this space. The vented floor furnace supplies heated air 
circulated by gravity or by a fan directly into the space to be heated 
through openings in the casing.
    Vented home heating equipment or vented heater means a class of home 
heating equipment, not including furnaces, designed to furnish warmed 
air to the living space of a residence, directly from the device, 
without duct connections (except that boots not to exceed 10 inches 
beyond the casing may be permitted) and includes: vented wall furnace, 
vented floor furnace, and vented room heater.
    Vented room heater means a self-contained, free standing, 
nonrecessed, vented heater for furnishing warmed air to the space in 
which it is installed. The vented room heater supplies heated air 
circulated by gravity or by a fan directly into the space to be heated 
through openings in the casing.
    Vented wall furnace means a self-contained vented heater complete 
with grilles or the equivalent, designed for incorporation in, or 
permanent attachment to, a wall of a residence and furnishing heated air 
circulated by gravity or by a fan directly into the space to be heated 
through openings in the casing.
    Wall electric heater means an electric heater (excluding baseboard 
electric heaters) which is intended to be recessed in or surface mounted 
on walls, which transfers heat by radiation and/or convection (either 
natural or forced) and which includes forced convectors, natural 
convectors, radiant heaters, high wall or valance heaters.
    Water heater means a product which utilizes oil, gas, or electricity 
to heat potable water for use outside the heater upon demand, 
including--
    (a) Storage type units which heat and store water at a 
thermostatically controlled temperature, including gas storage water 
heaters with an input of 75,000 Btu per hour or less, oil storage water 
heaters with an input of 105,000 Btu per hour or less, and electric 
storage water heaters with an input of 12 kilowatts or less;
    (b) Instantaneous type units which heat water but contain no more 
than one gallon of water per 4,000 Btu per hour of input, including gas 
instantaneous water heaters with an input of 200,000 Btu per hour or 
less, oil instantaneous water heaters with an input of 210,000 Btu per 
hour or less, and electric instantaneous water heaters with an input of 
12 kilowatts or less; and
    (c) Heat pump type units, with a maximum current rating of 24 
amperes at a voltage no greater than 250 volts, which are products 
designed to transfer thermal energy from one temperature level to a 
higher temperature level for the purpose of heating water, including all 
ancillary equipment such as fans, storage tanks, pumps, or controls 
necessary for the device to perform its function.
    Weatherized warm air furnace or boiler means a furnace or boiler 
designed for installation outdoors, approved for resistance to wind, 
rain, and snow, and supplied with its own venting system.

[42 FR 27898, June 1, 1977]

    Editorial Note: For Federal Register citations affecting Sec. 430.2, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.



                       Subpart B--Test Procedures



Sec. 430.21  Purpose and scope.

    This subpart contains test procedures required to be prescribed by 
DOE pursuant to section 323 of the Act.



Sec. 430.22  Reference Sources.

    (a) Materials Incorporated by Reference--(1) General. The following 
standards which are not otherwise set forth in this part 430 are 
incorporated by reference. The material listed in paragraph (a)(3) of 
this section has been approved for incorporation by reference by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. Any subsequent amendment to a standard by the standard-
setting organization will not affect the DOE test procedures unless and 
until amended by DOE. Material is incorporated as it exists on the date 
of the approval and a notice of any change in the material will be 
published in the Federal Register.
    (2) Availability of standards. The standards incorporated by 
reference are available for inspection at:

[[Page 103]]

    (i) Office of the Federal Register Information Center, 800 North 
Capitol Street, NW., Suite 700, Washington, DC.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures for 
Fluorescent and Incandescent Lamps,'' Docket No. EE-RM-94-220-IF, 
Forrestal Building, 1000 Independence Avenue, SW, Washington, DC 20585.
    (3) Standards incorporated by reference may be obtained from the 
following sources:
    (i) American National Standards Institute, 1430 Broadway, New York, 
NY 10018, (212) 642-4900.
    (ii) Illuminating Engineering Society of North America, Publications 
Department, 345 E. 47th Street, New York, NY 10017, (212) 705-7925.
    (iii) International Commission on Illumination, Bureau Central De La 
CIE, 4 AV. Du Recteur-Poincare, 75 782 Paris, Cedex 16, France.
    (4) List of standards incorporated by reference.

1. ANSI C78.1-1991, ``for Fluorescent Lamps--Rapid-Start Types--
          Dimensional and Electrical Characteristics''
2. ANSI C78.2-1991, ``for Fluorescent Lamps--Preheat-Start Types--
          Dimensional and Electrical Characteristics''
3. ANSI C78.3-1991, ``for Fluorescent Lamps--Instant-Start and Cold-
          Cathode Types--Dimensional and Electrical Characteristics''
4. ANSI C78.375-1991, ``for Fluorescent Lamps--Guide for Electrical 
          Measurements''
5. ANSI C82.3-1983 ``for Reference Ballasts for Fluorescent Lamps''
6. International Commission on Illumination (CIE), Publication No. 13.2 
          1974, corrected reprint 1993, ``Method of Measuring and 
          Specifying Color Rendering Properties of Light Sources,'' ISBN 
          3 900 734 39 9
7. Illuminating Engineering Society of North America (IES) LM-9-88, 
          ``IES Approved Method for the Electrical and Photometric 
          Measurements of Fluorescent Lamps''
8. Illuminating Engineering Society of North America LM-16-84, ``IES 
          Practical Guide to Colorimetry of Light Sources''
9. Illuminating Engineering Society of North America LM-20-1982, ``IES 
          Approved Method for Photometric Measuring and Reporting Tests 
          on Reflector Type Lamps''
10. Illuminating Engineering Society of North America LM-45-91, ``IES 
          Approved Method for Electrical and Photometric Measurements of 
          General Service Incandescent Filament Lamps''
11. Illuminating Engineering Society of North America LM-58-83, ``IES 
          Guide to Spectroradiometric Measurements''
12. Illuminating Engineering Society of North America LM-66-1991, ``IES 
          Approved Method for the Electrical and Photometric 
          Measurements of Single-Ended Compact Fluorescent Lamps''

    (b) Reference materials--(1) General. The references listed in 
paragraph (b)(2) of the section are referred to in the DOE test 
procedures and elsewhere in 10 CFR part 430 but are not incorporated by 
reference. These sources are given here for information and guidance.
    (2) List of References.

    1. National Voluntary Laboratory Accreditation Program Handbook 150-
01, ``Energy Efficient Lighting Products, Lamps and Luminaires, August 
1993.'' National Voluntary Laboratory Accreditation Program, NIST, 
Gaithersburg, MD.
    2. ``Illuminating Engineering Society Lighting Handbook,'' 8th 
Edition, New York, NY 1993.

[59 FR 49474, Sept. 28, 1994]



Sec. 430.23  Test procedures for measures of energy consumption.

    (a) Refrigerators and refrigerator-freezers. (1) The estimated 
annual operating cost for electric refrigerators and electric 
refrigerator-freezers without an anti-sweat heater switch shall be the 
product of the following three factors: (i) The representative average-
use cycle of 365 cycles per year, (ii) the average per-cycle energy 
consumption for the standard cycle in kilowatt-hours per cycle, 
determined according to 6.2 of appendix A1 of this subpart, and (iii) 
the representative average unit cost of electricity in dollars per 
kilowatt-hour as provided by the Secretary, the resulting product then 
being rounded off to the nearest dollar per year.
    (2) The estimated annual operating cost for electric refrigerators 
and electric refrigerator-freezers with an anti-sweat heater switch 
shall be the product of the following three factors: (i) The 
representative average-use cycle of 365 cycles per year, (ii) half the 
sum of

[[Page 104]]

the average per-cycle energy consumption for the standard cycle and the 
average per-cycle energy consumption for a test cycle type with the 
anti-sweat heater switch in the position set at the factory just prior 
to shipping, each in kilowatt-hours per cycle, determined according to 
6.2 of appendix A1 of this subpart, and (iii) the representative average 
unit cost of electricity in dollars per kilowatt-hour as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year.
    (3) The estimated annual operating cost for any other specified 
cycle type for electric refrigerators and electric refrigerator-freezers 
shall be the product of the following three factors: (i) The 
representative average-use cycle of 365 cycles per year, (ii) the 
average per-cycle energy consumption for the specified cycle type, 
determined according to 6.2 of appendix A1 to this subpart, and (iii) 
the representative average unit cost of electricity in dollars per 
kilowatt-hour as provided by the Secretary, the resulting product then 
being rounded off to the nearest dollar per year.
    (4) The energy factor for electric refrigerators and electric 
refrigerator-freezers, expressed in cubic feet per kilowatt-hour per 
cycle, shall be--
    (i) For electric refrigerators and electric refrigerator-freezers 
not having an anti-sweat heater switch, the quotient of (A) the adjusted 
total volume in cubic feet, determined according to 6.1 of appendix A1 
of this subpart, divided by (B) the average per-cycle energy consumption 
for the standard cycle in kilowatt-hours per cycle, determined according 
to 6.2 of appendix A1 of this subpart, the resulting quotient then being 
rounded off to the second decimal place, and
    (ii) For electric refrigerators and electric refrigerator-freezers 
having an anti-sweat heater switch, the quotient of (A) the adjusted 
total volume in cubic feet, determined according to 6.1 of appendix A1 
of this subpart, divided by (B) half the sum of the average per-cycle 
energy consumption for the standard cycle and the average per-cycle 
energy consumption for a test cycle type with the anti-sweat heater 
switch in the position set at the factory just prior to shipping, each 
in kilowatt-hours per cycle, determined according to 6.2 of appendix A1 
of this subpart, the resulting quotient then being rounded off to the 
second decimal place.
    (5) The annual energy use of electric refrigerators and electric 
refrigerator-freezers equals the representative average use cycle of 365 
cycles per year times the average per-cycle energy consumption for the 
standard cycle in kilowatt-hours per cycle, determined according to 6.2 
of appendix A1 of this subpart.
    (6) Other useful measures of energy consumption for electric 
refrigerators and electric refrigerator-freezers shall be those measures 
of energy consumption for electric refrigerators and electric 
refrigerator-freezers which the Secretary determines are likely to 
assist consumers in making purchasing decisions which are derived from 
the application of appendix A1 of this subpart.
    (b) Freezers. (1) The estimated annual operating cost for freezers 
without an anti-sweat heater switch shall be the product of the 
following three factors: (i) The representative average-use cycle of 365 
cycles per year, (ii) the average per-cycle energy consumption for the 
standard cycle in kilowatt-hours per cycle, determined according to 6.2 
of appendix B1 of this subpart, and (iii) the representative average 
unit cost of electricity in dollars per kilowatt-hour as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year.
    (2) The estimated annual operating cost for freezers with an anti-
sweat heater switch shall be the product of the following three factors: 
(i) The representative average-use cycle of 365 cycles per year, (ii) 
half the sum of the average per-cycle energy consumption for the 
standard cycle and the average per-cycle energy consumption for a test 
cycle type with the anti-sweat heater switch in the position set at the 
factory just prior to shipping, each in kilowatt-hours per cycle, 
determined according to 6.2 of appendix B1 of this subpart, and (iii) 
the representative average unit cost of electricity in dollars per 
kilowatt-hour as provided by the Secretary, the resulting product then

[[Page 105]]

being rounded off to the nearest dollar per year.
    (3) The estimated annual operating cost for an other specified cycle 
type for freezers shall be the product of the following three factors: 
(i) The representative average-use cycle of 365 cycles per year, (ii) 
the average per-cycle energy consumption for the specified cycle type, 
determined according to 6.2 of appendix B1 of this subpart and (iii) the 
representative average unit cost of electricity in dollars per kilowatt-
hour as provided by the Secretary, the resulting product then being 
rounded off to the nearest dollar per year.
    (4) The energy factor for freezers, expressed in cubic feet per 
kilowatt-hour per cycle, shall be--
    (i) For freezers not having an anti-sweat heater switch, the 
quotient of (A) the adjusted net refrigerated volume in cubic feet, 
determined according to 6.1 of appendix B1 of this subpart, divided by 
(B) the average per-cycle energy consumption for the standard cycle in 
kilowatt-hours per cycle, determined according to or 6.2 of appendix B1 
of this subpart, the resulting quotient then being rounded off to the 
second decimal place, and
    (ii) For freezers having an anti-sweat heater switch, the quotient 
of (A) the adjusted net refrigerated volume in cubic feet, determined 
according to 6.1 of appendix B1 of this subpart, divided by (B) half the 
sum of the average per-cycle energy consumption for the standard cycle 
and the average per-cycle energy consumption for a test cycle type with 
the anti-sweat switch in the position set at the factory just prior to 
shipping, each in kilowatt-hours per cycle, determined according to or 
6.2 of appendix B1 of this subpart, the resulting quotient then being 
rounded off to the second decimal place.
    (5) The annual energy use of all freezers equals the representative 
average-use cycle of 365 cycles per year times the average per-cycle 
energy consumption for the standard cycle in kilowatt-hours per cycle, 
determined according to 6.2 of appendix B1 of this subpart.
    (6) Other useful measures of energy consumption for freezers shall 
be those measures of energy consumption for freezers which the Secretary 
determines are likely to assist consumers in making purchasing decisions 
and which are derived from the application of appendix B1 of this 
subpart.
    (c) Dishwashers. (1) The estimated annual operating cost for 
dishwashers not having a truncated normal cycle as defined in 1.5 of 
appendix C to this subpart shall be--
    (i) When electrically-heated water is used, the product of the 
following three factors: (A) The representative average-use cycle of 322 
cycles per year, (B) the total per-cycle energy consumption for the 
normal cycle as defined in 1.3 of appendix C to this subpart in 
kilowatt-hours per cycle, determined according to 4.4 of appendix C to 
this subpart, and (C) the representative average unit cost in dollars 
per kilowatt-hour as provided by the Secretary, the resulting product 
then being rounded off to the nearest dollar per year, and
    (ii) When gas-heated or oil-heated water is used, the product of: 
The representative average use cycle of 322 cycles per year times the 
sum of (A) the product of the per-cycle machine electrical energy 
consumption for the normal cycle in kilowatt-hours per cycle, determined 
according to 4.3 of appendix C to this subpart, times the representative 
average unit cost in dollars per kilowatt-hours as provided by the 
Secretary plus (B) the product of the per-cycle water energy consumption 
for gas-heated or oil-heated water for the normal cycle, in Btu's per 
cycle, determined according to 4.2 of appendix C to this subpart, times 
the representative average unit cost in dollars per Btu for gas or oil, 
as appropriate, as provided by the Secretary, the resulting product then 
being rounded off to the nearest dollar per year.
    (iii) When cold water (50  deg.F) is used, the product of the 
following three factors:
    (A) The representative average use cycle of 322 cycles per year 
times,
    (B) The product of the per-cycle machine electrical energy 
consumption for the normal cycle in kilowatt-hours per cycle, determined 
according to 4.3 of appendix C to this subpart, and
    (C) The representative average unit cost in dollars per kilowatt-
hours as

[[Page 106]]

provided by the Secretary, the resulting product then being rounded off 
to the nearest dollar per year.
    (2) The estimated annual operating cost for dishwashers having a 
truncated normal cycle as defined in 1.5 of appendix C to this subpart 
shall be--
    (i) When electrically-heated water is used, the product of the 
following three factors: (A) The representative average use cycle of 322 
cycles per year, (B) one-half the sum of (1) the total per-cycle energy 
consumption for the normal cycle as defined in 1.3 of appendix C to this 
subpart plus (2) the total per-cycle energy consumption for the 
truncated normal cycle as defined in 1.5 of appendix C to this subpart, 
each in kilowatt-hours and determined according to 4.4 of appendix C to 
this subpart, and (C) the representative average unit cost in dollars 
per killowatt-hour as provided by the Secretary, the resulting product 
then being rounded off to the nearest dollar per year, and
    (ii) When gas-heated or oil-heated water is used, the product of: 
The representative average use cycle of 322 cycles per year times the 
sum of (A) one-half the product of the per-cycle machine electrical 
energy consumption for the normal cycle as defined in 1.3 of appendix C 
to this subpart, determined according to 4.3 of appendix C to this 
subpart, times the representative average unit cost in dollars per 
kilowatt-hour as provided by the Secretary, plus one-half the product of 
the per-cycle machine electrical energy consumption for the truncated 
normal cycle as defined in 1.5 of appendix C to this subpart, determined 
according to 4.3 of appendix C to this subpart, times the representative 
average unit cost in dollars per kilowatt-hour as provided by the 
Secretary plus (B) one-half the product of the per-cycle water energy 
consumption for gas-heated or oil-heated water for the normal cycle as 
defined in 1.3 of appendix C to this subpart, in Btu's per cycle, 
determined according to 4.2 of appendix C to this subpart, times the 
representative average unit cost in dollars per Btu for gas or oil, as 
appropriate, as provided by the Secretary, plus one-half the product of 
the per-cycle water energy consumption for gas-heated or oil-heated 
water for the truncated normal cycle as defined in 1.5 of appendix C to 
this subpart, in Btu's per cycle, determined according to 4.2 of 
appendix C to this subpart, times the representative average unit cost 
in dollars per Btu for gas or oil, as appropriate, as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year.
    (iii) When cold water (50 deg.F) is used, the product of the 
following three factors:
    (A) The representative average use cycle of 322 cycles per year,
    (B) One-half the sum of (1) the total per-cycle energy consumption 
for the normal cycle as defined in 1.3 of appendix C to this subpart 
plus (2) the truncated normal cycle as defined in 1.5 of appendix C to 
this subpart, each in kilowatt-hours and determined according to 4.4 of 
appendix C to this subpart, and
    (C) The representative average unit cost in dollars per kilowatt-
hour as provided by the Secretary, the resulting product then being 
rounded off to the nearest dollar per year.
    (3) The energy factor for dishwashers, expressed in cycles per 
kilowatt-hour shall be--
    (i) For dishwashers not having a truncated normal cycle, as defined 
in 1.5 of appendix C to this subpart, capable of being preset, the 
reciprocal of the total per cycle energy consumption for the normal 
cycle in kilowatt-hours per cycle, determined according to 4.4 of 
appendix C to this subpart, and
    (ii) For dishwashers having a truncated normal cycle, as defined in 
1.5 of appendix C to this subpart, capable of being preset, the 
reciprocal of one-half the sum of (A) the total per-cycle energy 
consumption for the normal cycle plus (B) the total per-cycle energy 
consumption for the truncated normal cycle, each in kilowatt-hours per 
cycle and determined according to 4.4 of appendix C to this subpart.
    (4) Other useful measures of energy consumption for dishwashers 
shall be those measures of energy consumption for dishwashers which the 
Secretary determines are likely to assist consumers in making purchasing 
decisions and which are derived from the application of appendix C to 
this subpart.

[[Page 107]]

    (d) Clothes dryers. (1) The estimated annual operating cost for 
clothes dryers shall be--
    (i) For an electric clothes dryer, the product of the following 
three factors: (A) The representative average-use cycle of 416 cycles 
per year, (B) the total per-cycle energy consumption in kilowatt-hours 
per-cycle, determined according to 4.1 of appendix D to this subpart, 
and (C) the representative average unit cost in dollars per kilowatt-
hour as provided by the Secretary, the resulting product then being 
rounded off to the nearest dollar per year, and
    (ii) For a gas clothes dryer, the product of the representative 
average-use cycle of 416 cycles per year times the sum of (A) the 
product of the gas dryer electric per-cycle energy consumption in 
kilowatt-hours per cycle, determined according to 4.2 of appendix D to 
this subpart, times the representative average unit cost in dollars per 
kilowatt-hour as provided by the Secretary plus (B) the product of the 
total gas dryer gas energy consumption per cycle, in Btu's per cycle, 
determined according to 4.5 of appendix D of this subpart, times the 
representative average unit cost in dollars per Btu as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year.
    (2) The energy factor, expressed in pounds of clothes per kilowatt-
hour, for clothes dryers shall be either the quotient of a 3-pound bone-
dry test load for compact dryers, as defined by 2.6.1 of appendix D to 
this subpart or the quotient of a 7 pound bone-dry test load for 
standard dryers, as defined by 2.6.2 of appendix D to this subpart, as 
applicable, divided by the clothes dryer energy consumption per cycle, 
as determined according to 4.1 for electric clothes dryers and 4.6 for 
gas clothes dryers of appendix D to this subpart, the resulting quotient 
then being rounded off to the nearest hundredth (.01).
    (3) Other useful measures of energy consumption for clothes dryers 
shall be those measures of energy consumption for clothes dryers which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix D to this subpart.
    (e) Water Heaters. (1) The estimated annual operating cost for water 
heaters shall be--
    (i) For a gas or oil water heater, the product of the annual energy 
consumption, determined according to section 6.1.8 or 6.2.5 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, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (ii) For an electric water heater, the product of the annual energy 
consumption, determined according to section 6.1.8 or 6.2.5 of appendix 
E of this subpart, times the representative average unit cost of 
electricity in dollars per kilowatt-hour as provided by the Secretary, 
divided by 3412 Btu per kilowatt-hour, the resulting quotient then being 
rounded off to the nearest dollar per year.
    (2) The energy factor for the water heaters shall be--
    (i) For a gas or oil water heater, as determined by section 6.1.7 or 
6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.
    (ii) For an electric water heater, as determined by section 6.1.7 or 
6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.
    (3) Other useful measures of energy consumption for water heaters 
shall be those measures of energy consumption for water heaters which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix E of this subpart.
    (4) The alternative uniform test method for measuring the energy 
consumption of untested water heaters shall be that set forth in section 
7.0 of appendix E of this subpart.
    (f) Room air conditioners. (1) The estimated annual operating cost 
for room air conditioners, expressed in dollars per year, shall be 
determined by multiplying the following three factors: (i) Electrical 
input power in kilowatts as determined in accordance with 4.2 of 
appendix F to this subpart, (ii) The representative average-use cycle of 
750 hours of compressor operation per year, and (iii) A representative 
average unit cost of electrical energy in dollars

[[Page 108]]

per kilowatt-hour as provided by the Secretary, the resulting product 
then being rounded off to the nearest dollar per year.
    (2) The energy efficiency ratio for room air conditioners, expressed 
in Btu's per watt-hour, shall be the quotient of: (i) The cooling 
capacity in Btu's per hour as determined in accordance with 4.1 of 
appendix F to this subpart divided by: (ii) The electrical input power 
in watts as determined in accordance with 4.2 of appendix F to this 
subpart the resulting quotient then being rounded off to the nearest 0.1 
Btu per watt-hour.
    (3) The average annual energy consumption for room air conditioners, 
expressed in kilowatt-hours per year, shall be determined by multiplying 
together the following two factors: (i) Electrical input power in 
kilowatts as determined in accordance with 4.2 of appendix F to this 
subpart, and (ii) A representative average use cycle of 750 hours of 
compressor operation per year, the resulting product then being rounded 
off to the nearest kilowatt-hour per year.
    (4) Other useful measures of energy consumption for room air 
conditioners shall be those measures of energy consumption which the 
Secretary determines are likely to assist consumers in making purchasing 
decisions and which are derived from the application of appendix F to 
this subpart.
    (g) Unvented home heating equipment. (1) The estimated annual 
operating cost for primary electric heaters, shall be the product of: 
(i) The average annual electric energy consumption in kilowatt-hours per 
year, determined according to section 3.1 of appendix G of this subpart 
and (ii) the representative average unit cost in dollars per kilowatt-
hour as provided pursuant to section 323(b)(2) of the Act, the resulting 
product then being rounded off to the nearest dollar per year.
    (2) The estimated regional annual operating cost for primary 
electric heaters, shall be the product of: (i) The regional annual 
electric energy consumption in kilowatt-hours per year for primary 
heaters determined according to section 3.2 of appendix G of this 
subpart and (ii) the representative average unit cost in dollars per 
kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the 
resulting product then being rounded off to the nearest dollar per year.
    (3) The estimated operating cost per million Btu output shall be--
    (i) For primary and supplementary electric heaters and unvented gas 
and oil heaters without an auxiliary electric system, the product of: 
(A) One million; and (B) the representative unit cost in dollars per Btu 
for natural gas, propane, or oil, as provided pursuant to section 
323(b)(2) of the Act as appropriate, or the quotient of the 
representative unit cost in dollars per kilowatt-hour, as provided 
pursuant to section 323(b)(2) of the Act, divided by 3,412 Btu per 
kilowatt hour, the resulting product then being rounded off to the 
nearest 0.01 dollar per million Btu output; and
    (ii) For unvented gas and oil heaters with an auxiliary electric 
system, the product of: (A) The quotient of one million divided by the 
rated output in Btu's per hour as determined in 3.4 of appendix G of 
this subpart; and (B) the sum of: (1) The product of the maximum fuel 
input in Btu's per hour as determined in 2.2. of this appendix times the 
representative unit cost in dollars per Btu for natural gas, propane, or 
oil, as appropriate, as provided pursuant to section 323(b)(2) of the 
Act, plus (2) the product of the maximum auxiliary electric power in 
kilowatts as determined in 2.1 of appendix G of this subpart times the 
representative unit cost in dollars per kilowatt-hour as provided 
pursuant to section 323(b)(2) of the Act, the resulting quantity shall 
be rounded off to the nearest 0.01 dollar per million Btu output.
    (4) The rated output for unvented heaters is the rated output as 
determined according to either sections 3.3 or 3.4 of appendix G of this 
subpart, as appropriate, with the result being rounded to the nearest 
100 Btu per hour.
    (5) Other useful measures of energy consumption for unvented home 
heating equipment shall be those measures of energy consumption for 
unvented home heating equipment which the Secretary determines are 
likely to assist consumers in making purchasing decisions and which are 
derived from

[[Page 109]]

the application of appendix G of this subpart.
    (h) Television sets. (1) The estimated average annual operating cost 
for television sets shall be the product of:
    (i) The average annual energy consumed by the television set in 
kilowatt-hours per year, determined according to 3.0 of appendix H of 
this subpart, and
    (ii) The representative average unit cost of energy in dollars per 
kilowatt-hour as provided by the Secretary, the resulting product then 
being rounded off to the nearest dollar per year.
    (2) The receiver energy efficiency factor for television sets shall 
be:
    (i) For color television sets, the product of the estimated minimum 
power requirement (.130 kilowatts) and the average annual hours of use 
(2,200 hr/yr.), divided by the average annual energy consumed by the 
television set in kilowatt-hours per year, determined according to 3.0 
of appendix H to this subpart. The resultant is then multiplied by 100 
and expressed as a percent.
    (ii) For monochrome television sets, the product of the estimated 
minimum power requirement (.040 kilowatts) and the average annual hours 
of use (2,200 hr/yr.), divided by the average annual energy consumed by 
the television set in kilowatt-hours per year determined according to 
3.0 of appendix H of this subpart. The result is then multiplied by 100 
and expressed as a percent.
    (3) Other useful measures of energy consumption for televison sets 
shall be those measures of energy consumption for television sets which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix H of this subpart.
    (i) Kitchen ranges and ovens. (1) The estimated annual operating 
cost for conventional ranges, conventional cooking tops, conventional 
ovens, microwave ovens, and microwave/conventional ranges shall be the 
sum of the following products: (i) The total annual electrical energy 
consumption for any electrical energy usage, in kilowatt-hours (kWh's) 
per year, times the representative average unit cost for electricity, in 
dollars per kWh, as provided pursuant to section 323(b)(2) of the Act; 
plus (ii) the total annual gas energy consumption for any natural gas 
usage, in British thermal units (Btu's) per year, times the 
representative average unit cost for natural gas, in dollars per Btu, as 
provided pursuant to section 323(b)(2) of the Act; plus (iii) the total 
annual gas energy consumption for any propane usage, in Btu's per year, 
times the representative average unit cost for propane, in dollars per 
Btu, as provided pursuant to section 323(b)(2) of the Act. The total 
annual energy consumption for conventional ranges, conventional cooking 
tops, conventional ovens, microwave ovens, and microwave/conventional 
ranges shall be as determined according to 4.3.1, 4.2.2, 4.1.2.5 or 
4.1.2.6, 4.4.3, and 4.5.1.3, respectively, of appendix I to this 
subpart. The estimated annual operating cost shall be rounded off to the 
nearest dollar per year, except for microwave ovens, for which the 
estimated annual operating cost shall be rounded off to the nearest one-
quarter of a dollar per year.
    (2) The cooking efficiency for conventional cooking tops, 
conventional ovens, and microwave ovens shall be the ratio of the 
cooking energy output for the test to the cooking energy input for the 
test, as determined according to 4.2.1.3, 4.1.3 and 4.4.2, respectively, 
of appendix I to this subpart. The final cooking efficiency values shall 
be rounded off to three significant digits.
    (3) The cooking efficiency for conventional ranges, and microwave/
conventional ranges shall be determined according to 4.3.2 and 4.5.2, 
respectively, of appendix I to this subpart, which weights the cooking 
efficiencies of the major cooking components of the range. The final 
cooking efficiency values shall be rounded off to three significant 
digits.
    (4) The energy factor for conventional ranges, conventional cooking 
tops, conventional ovens, microwave ovens, and microwave/conventional 
ranges shall be the ratio of the annual useful cooking energy output to 
the total annual energy input, as determined according to 4.3.3, 4.2.3, 
4.1.4, 4.4.4 and 4.5.3, respectively, of Appendix I to this subpart. The 
final energy factor values shall be rounded off to three significant 
digits.

[[Page 110]]

    (5) There shall be two estimated annual operating costs, two cooking 
efficiencies, and two energy factors for convertible cooking 
appliances--(i) an estimated annual operating cost, a cooking efficiency 
and an energy factor which represent values for those three measures of 
energy consumption for the operation of the appliance with natural gas; 
and (ii) an estimated annual operating cost, a cooking efficiency and an 
energy factor which represent values for those three measures of energy 
consumption for the operation of the appliance with LP-gas.
    (6) The estimated annual operating cost for convertible cooking 
appliances which represents natural gas usage, as described in paragraph 
(i)(5)(i) of this section, shall be determined according to paragraph 
(i)(1) of this section using the total annual gas energy consumption for 
natural gas times the representative average unit cost for natural gas.
    (7) The estimated annual operating cost for convertible cooking 
appliances which represents LP-gas usage, as described in paragraph 
(i)(5)(ii) of this section, shall be determined according to paragraph 
(i)(1) of this section using the representative average unit cost for 
propane times the total annual energy consumption of the test gas, 
either propane or natural gas.
    (8) The cooking efficiency for convertible cooking appliances which 
represents natural gas usage, as described in paragraph (i)(5)(i) of 
this section, shall be determined according to paragraphs (i)(2) and 
(i)(3) of this section when the appliance is tested with natural gas.
    (9) The cooking efficiency for convertible cooking appliances which 
represents LP-gas usage, as described in paragraph (i)(5)(ii) of this 
section, shall be determined according to paragraphs (i)(2) and (i)(3) 
of this section, when the appliance is tested with either natural gas or 
propane.
    (10) The energy factor for convertible cooking appliances which 
represents natural gas usage, as described in paragraph (i)(5)(i) of 
this section, shall be determined according to paragraph (i)(4) of this 
section when the appliance is tested with natural gas.
    (11) The energy factor for convertible cooking appliances which 
represents LP-gas usage, as described in paragraph (i)(5)(ii) of this 
section, shall be determined according to paragraph (i)(4) of this 
section when the appliance is tested with either natural gas or propane.
    (12) Other useful measures of energy consumption for conventional 
ranges, conventional cooking tops, conventional ovens, microwave ovens 
and microwave/conventional ranges shall be those measures of energy 
consumption which the Secretary determines are likely to assist 
consumers in making purchasing decisions and which are derived from the 
application of appendix I to this subpart.
    (j) Clothes washers. (1) The estimated annual operating cost for 
automatic and semi-automatic clothes washers shall be--
    (i) When electrically heated water is used, the product of the 
following three factors: (A) The representative average-use cycle of 416 
cycles per year, (B) the total per-cycle energy consumption for the 
normal cycle in kilowatt-hours per cycle determined according to 4.6 of 
appendix J to this subpart, and (C) the representative average unit cost 
in dollars per kilowatt-hour as provided by the Secretary, the resulting 
product then being rounded off to the nearest dollar per year, and
    (ii) When gas-heated or oil-heated water is used, the product of: 
the representative average-use cycle of 416 cycles per year and the sum 
of both (A) the product of the per-cycle machine electrical energy 
consumption for the normal cycle in kilowatt-hours per cycle, determined 
according to 4.4 of appendix J to this subpart, and the representative 
average unit cost in dollars per kilowatt-hour as provided by the 
Secretary and (B) the product of the per-cycle water energy consumption 
for gas-heated or oil-heated water for the normal cycle, in Btu per 
cycle, determined according to 4.5 of appendix J to this subpart, and 
the representative average unit cost in dollars per Btu for oil or gas, 
as appropriate, as provided by the Secretary, the resulting product then 
being rounded off to the nearest dollar per year.

[[Page 111]]

    (2) The energy factor for automatic and semi-automatic clothes 
washers shall be the quotient of the cubic foot capacity of the clothes 
container as determined in 3.1 of appendix J to this subpart divided by 
the clothes washer energy consumption per cycle, expressed as the sum of 
the machine electrical energy consumption and the maximum normal water 
energy consumption as determined in 4.4 and 4.3, respectively, of 
appendix J to this subpart. The resulting be rounded off to the nearest 
0.01 cubic foot per kilowatt-hour.
    (3) Other useful measures of energy consumption for automatic or 
semi-automatic clothes washers shall be those measures of energy 
consumption which the Secretary determines are likely to assist 
consumers in making purchasing decisions and which are derived from the 
application of appendix J to this subpart.
    (k)--(l) [Reserved]
    (m) Central Air Conditioners. (1) The estimated annual operating 
cost for cooling-only units and air-source heat pumps shall be one of 
the following:
    (i) For cooling-only units or the cooling portion of the estimated 
annual operating cost for air-source heat pumps which provide both 
heating and cooling, the product of: (A) The quotient of the cooling 
capacity, in Btu's per hour, determined from the steady-state wet-coil 
test (Test A) measured at the highest compressor speed, as described in 
section 3.1 of appendix M to this subpart, divided by the seasonal 
energy efficiency ratio, in Btu's per watt-hour, determined from section 
5.1 of appendix M to this subpart; (B) the representative average use 
cycle for cooling of 1,000 hours per year; (C) a conversion factor of 
0.001 kilowatt per watt; and (D) the representative average unit cost of 
electricity in dollars per kilowatt-hour as provided pursuant to section 
323(b)(2) of the Act, the resulting product then being rounded off to 
the nearest dollar per year;
    (ii) For air-source heat pumps which provide only heating or the 
heating portion of the estimated annual operating cost for air-source 
heat pumps which provide both heating and cooling, the product of: (A) 
The quotient of the standardized design heating requirement, in Btu's 
per hour, nearest to the capacity measured in the high temperature test, 
determined in sections 5.2 and 6.2.6 of appendix M to this subpart, 
divided by the heating seasonal performance factor, in Btu's per watt-
hour, calculated for heating region IV corresponding to the above 
mentioned standardized design heating requirement determined from 
section 5.2 of appendix M to this subpart; (B) the representative 
average use cycle for heating of 2,080 hours per year; (C) the 
adjustment factor of 0.77 which serves to adjust the calculated design 
heating requirement and heating load hours to the actual load 
experienced by a heating system; (D) a conversion factor of 0.001 
kilowatt per watt; and (E) the representative average unit cost of 
electricity in dollars per kilowatt-hour as provided pursuant to section 
323(b)(2) of the Act, the resulting product then being rounded off to 
the nearest dollar per year; or
    (iii) For air-source heat pumps which provide both heating and 
cooling, the estimated annual operating cost is the sum of the quantity 
determined in paragraph (m)(1)(i) of this section added to the quantity 
determined in paragraph (m)(1)(ii) of this section.
    (2) The estimated regional annual operating cost for cooling-only 
units and for air-source heat pumps shall be one of the following:
    (i) For cooling-only units or the cooling portion of the estimated 
regional annual operating cost for air-source heat pumps which provide 
both heating and cooling, the product of: (A) The quotient of the 
cooling capacity, in Btu's per hour, determined from the steady-state 
wet-coil test (Test A) measured at the highest compressor speed, as 
described in section 3.1 of appendix M to this subpart, divided by the 
seasonal energy efficiency ratio, in Btu's per watt-hour, determined 
from section 5.1 of appendix M to this subpart; (B) the estimated number 
of regional cooling load hours per year determined from section 6.1.3 of 
appendix M to this subpart; (C) a conversion factor of 0.001 kilowatts 
per watt; and (D) the representative average unit cost of electricity in 
dollars per kilowatt-hour as provided pursuant to section

[[Page 112]]

323(b)(2) of the Act, the resulting product then being rounded off to 
the nearest dollar per year;
    (ii) For air-source heat pumps which provide only heating or the 
heating portion of the estimated regional annual operating cost for air-
source heat pumps which provide both heating and cooling, the product 
of: (A) The quotient of the standardized design heating requirement, in 
Btu's per hour, nearest to the capacity measured in the high temperature 
test (Test A), determined in sections 5.2 and 6.2.6 of appendix M to 
this subpart, divided by the heating seasonal performance factor, in 
Btu's per watt-hour, calculated for the appropriate region of interest 
and corresponding to the above mentioned standardized design heating 
requirement determined from section 5.2 of appendix M to this subpart; 
(B) the estimated number of regional heating load hours per year 
determined from section 6.2.5 of appendix M to this subpart; (C) the 
adjustment factor of 0.77 which serves to adjust the calculated design 
heating requirement and heating load hours to the actual load 
experienced by a heating system; (D) a conversion factor of 0.001 
kilowatts per watt; and (E) the representative average unit cost of 
electricity in dollars per kilowatt-hour as provided pursuant to section 
323(b)(2) of the Act, the resulting product then being rounded off to 
the nearest dollar per year; or
    (iii) For air-source heat pumps which provide both heating and 
cooling, the estimated regional annual operating cost is the sum of the 
quantity determined in paragraph (m)(3)(i) of this section added to the 
quantity determined in paragraph (m)(3)(ii) of this section.
    (3) The measure(s) of efficiency for cooling-only units and air-
source heat pumps shall be one or more of the following:
    (i) The seasonal energy efficiency ratio for cooling-only units and 
air-source heat pumps which provide cooling shall be the seasonal energy 
efficiency ratio, in Btu's per watt-hour, determined according to 
section 5.1 of appendix M to this subpart, rounded off to the nearest 
0.05.
    (ii) The heating seasonal performance factors for air-source heat 
pumps shall be the heating seasonal performance factors, in Btu's per 
watt-hour, determined according to section 5.2 of appendix M to this 
subpart for each applicable standardized design heating requirement 
within each climatic region, rounded off to the nearest 0.05.
    (iii) The annual performance factors for air-source heat pumps which 
provide heating and cooling, shall be the annual performance factors, in 
Btu's per watt-hour, determined according to section 5.3 of appendix M 
to this subpart for each standardized design heating requirement within 
each climatic region, rounded off to the nearest 0.05.
    (4) Other useful measures of energy consumption for central air 
conditioners shall be those measures of energy consumption which the 
Secretary of Energy determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix M to this subpart.
    (5) After September 12, 1988, all measures of energy consumption 
shall be determined by the test method as set forth in appendix M to 
this subpart; or by an alternate rating method set forth in 
Sec. 430.23(m)(4) as approved by the Assistant Secretary for 
Conservation and Renewable Energy in accordance with Sec. 430.23(m)(5).
    (n) Furnaces. (1) The estimated annual operating cost for furnaces 
is the sum of: (i) The product of the average annual fuel energy 
consumption, in Btu's per year for gas or oil furnaces or in kilowatt-
hours per year for electric furnaces, determined according to section 
4.8 or 4.10 of appendix N of this subpart, respectively, and the 
representative average unit cost in dollars per Btu for gas or oil, or 
dollars per kilowatt-hour for electric, as appropriate, as provided 
pursuant to section 323(b)(2) of the Act, plus (ii) the product of the 
average annual auxiliary electric energy consumption in kilowatt-hours 
per year determined according to section 4.9 of appendix N of this 
subpart, and the representative average unit cost in dollars per 
kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the 
resulting sum then being rounded off to the nearest

[[Page 113]]

dollar per year. (For furnaces which operate with variable inputs, an 
estimated annual operating cost is to be calculated for each degree of 
oversizing specified in section 4 of appendix N of this subpart.)
    (2) The annual fuel utilization efficiency for furnaces, expressed 
in percent, is the ratio of annual fuel output of useful energy 
delivered to the heated space to the annual fuel energy input to the 
furnace determined according to section 4.6 of appendix N of this 
subpart for gas and oil furnaces and determined in accordance with 
section 4.1 of appendix N of this subpart for electric furnaces.
    (3) The estimated regional annual operating cost for furnaces is the 
sum of: (i) The product of the regional annual fuel energy consumption 
in Btu's per year for gas or oil furnaces or in kilowatt-hours per year 
for electric furnaces, determined according to section 4.11 or 4.13 of 
appendix N of this subpart, respectively, and the representative average 
unit cost in dollars per Btu for gas or oil, or dollars per kilowatt-
hour for electric, as appropriate, as provided pursuant to section 
323(b)(2) of the Act, plus (ii) the product of the regional annual 
auxiliary electrical energy consumption in kilowatt-hours per year, 
determined according to section 4.12 of appendix N of this subpart, and 
the representative average unit cost in dollars per kilowatt-hour as 
provided pursuant to section 323(b)(2) of the Act, the resulting sum 
then being rounded off to the nearest dollar per year.
    (4) The energy factor for furnaces, expressed in percent, is the 
ratio of annual fuel output of useful energy delivered to the heated 
space to the total annual energy input to the furnace determined 
according to section 4.14 of appendix N of this subpart.
    (5) Other useful measures of energy consumption for furnaces shall 
be those measures of energy consumption which the Secretary determines 
are likely to assist consumers in making purchasing decisions and which 
are derived from the application of appendix N of this subpart.
    (o) Vented home heating equipment.
    (1) The annual fuel utilization efficiency for vented home heating 
equipment, expressed in percent, which is the ratio of the annual fuel 
output of useful energy delivered to the heated space to the annual fuel 
energy input to the vented heater, shall be determined either according 
to section 4.1.17 of appendix O of this subpart for vented heaters 
without either manual controls or thermal stack dampers; according to 
section 4.2.6 of appendix O of this subpart for vented heaters equipped 
with manual controls; or according to section 4.3.7 of appendix O of 
this subpart for vented heaters equipped with thermal stack dampers.
    (2) The estimated operating cost per million Btu output for vented 
heaters without an auxiliary electric system shall be the product of: 
(i) One hundred; (ii) the quotient of one million Btu output divided by 
the annual fuel utilization efficiency as determined in paragraph (o) 
(1) and (iii) the representative unit cost in dollars per Btu for 
natural gas, propane, or oil, as appropriate, as provided pursuant to 
section 323(b)(2) of the Act, the resulting product shall be rounded to 
the nearest 0.01 dollar per million Btu output.
    (3) The estimated operating cost per million Btu output for gas or 
oil vented home heating equipment with an auxiliary electric system 
shall be the product of: (A) The quotient of one million Btu divided by 
the sum of: (1) The product of the maximum fuel input in Btu's per hour 
as determined in 3.1.1 or 3.1.2 of appendix 0 of this subpart times the 
annual fuel utilization efficiency in percent as determined in 4.1.17, 
4.2.6, or 4.3.7 of this appendix as appropriate divided by 100, plus (2) 
the product of the maximum electric power in watts as determined in 
3.1.3 of appendix 0 of this subpart times the quantity 3.412; and (B) of 
the sum of: (1) the product of the maximum fuel input in Btu's per hour 
as determined in 3.1.1 of this appendix times the representative unit 
cost in dollars per Btu for natural gas, propane, or oil, as 
appropriate, as provided pursuant to section 323(b)(2) of the Act; plus 
(2) the product of the maximum auxiliary electric power in kilowatts as 
determined in 3.1.3 of appendix O of this subpart times the 
representative unit cost in dollars per kilowatt-hour as provided 
pursuant to section

[[Page 114]]

323(b)(2) of the Act, the resulting quantity shall be rounded off to the 
nearest 0.01 dollar per million Btu output.
    (4) Other useful measures of energy consumption for vented home 
heating equipment shall be those measures of energy consumption which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix O of this subpart.
    (p) Pool heaters. (1) The estimated annual operating cost (space 
reserved).
    (2) The thermal efficiency of pool heaters, expressed as a percent, 
shall be determined in accordance with section 4 of appendix P to this 
subpart.
    (q) Fluorescent Lamp Ballasts. (1) The Estimated Annual Energy 
Consumption (EAEC) for fluorescent lamp ballasts, expressed in kilowatt-
hours per year, shall be the product of: (i) The input power in 
kilowatts as determined in accordance with section 3.3.1 of appendix Q 
to this subpart and (ii) the representative average use cycle of 1,000 
hours per year, the resulting product then being rounded off to the 
nearest kilowatt-hour per year.
    (2) Ballast Efficacy Factor (BEF) shall be as determined in section 
4.2 of appendix Q of this subpart.
    (3) The Estimated Annual Operating Cost (EAOC) for fluorescent lamp 
ballasts, expressed in dollars per year, shall be the product of: (i) 
The representative average unit energy cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary, (ii) the representative 
average use cycle of 1,000 hours per year, and (iii) the input power in 
kilowatts as determined in accordance with section 3.3.1 of appendix Q 
to this subpart, the resulting product then being rounded off to the 
nearest dollar per year.
    (4) Other useful measures which may be applicable. [Reserved]
    (r) General Service Fluorescent Lamps and General Service 
Incandescent Lamps. (1) The Estimated Annual Energy Consumption for 
lamps defined in Sec. 430.2, expressed in kilowatt-hours per year, shall 
be the product of:
    (i) The input power in kilowatts as determined in accordance with 
section 4 of Appendix R to this subpart and
    (ii) The representative average use cycle of 1,000 hours per year, 
the resulting product then being rounded off to the nearest kilowatt-
hour per year.
    (2) The Lamp Efficacy for general service fluorescent lamps and 
medium base compact fluorescent lamps defined in section 430.2 shall be 
the quotient of the average lumen output and the average lamp wattage as 
determined in section 4 of Appendix R of this subpart with the resulting 
quotient rounded off to the nearest lumen per watt.
    (3) The Lamp Efficacy for general service incandescent lamps and 
incandescent reflector lamps shall be the quotient of the average lumen 
output and the average lamp wattage as determined in section 4 of 
Appendix R of this subpart with the resulting quotient rounded off to 
the nearest tenth of a lumen per watt.
    (4) The Estimated Annual Operating Cost for lamps defined in 
Sec. 430.2, expressed in dollars per year, shall be the product of: (i) 
The representative average unit energy cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary, (ii) The representative 
average use cycle of 1,000 hours per year, and (iii) The input power in 
kilowatts as determined in accordance with section 4 of Appendix R to 
this subpart, the resulting product then being rounded off to the 
nearest dollar per year.
    (5) The Color Rendering Index of a general service fluorescent lamp 
shall be tested and determined in accordance with section 4.5 of 
Appendix R of this subpart and rounded off to the nearest unit.

[42 FR 27898, June 1, 1977]

    Editorial Note: For Federal Register citations affecting 
Sec. 430.23, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 430.24  Units to be tested.

    When testing of a covered product is required to comply with section 
323(c) of the Act, or to comply with rules prescribed under sections 324 
or 325 of the Act, a sample shall be selected and tested comprised of 
units which are production units, or are representative of production 
units of the basic model being tested, and shall meet the following 
applicable criteria.

[[Page 115]]

    (a)(1) For each basic model 1 of electric refrigerators 
and electric refrigerator-freezers, a sample of sufficient size shall be 
tested to insure that--
---------------------------------------------------------------------------

    1 Components of similar design may be substituted without 
requiring additional testing if the represented measures of energy 
consumption continue to satisfy the applicable sampling provision.
---------------------------------------------------------------------------

    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 95 percent 
confidence limit of the true mean divided by 1.10, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumer would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 95 percent confidence limit of the true mean 
divided by .90.
    (b)(1) For each basic model 1 of freezers, a sample of 
sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 95 percent 
confidence limit of the true mean divided by 1.10, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 95 percent confidence limit of the true mean 
divided by .90.
    (c)(1) For each basic model 1 of dishwashers, a sample of 
sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (d)(1) For each basic model 1 of clothes dryers a sample 
of sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (e)(1) For each basic model 1 of water heaters, a sample 
of sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 95 percent 
confidence limit of the true mean divided by 1.10, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 95 percent confidence limit of the true mean 
divided by .90.
    (f)(1) For each basic model 1 of room air conditioners, a 
sample of sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B)

[[Page 116]]

the upper 97\1/2\ percent confidence limit of the true mean divided by 
1.05, and
    (ii) Any represented value of the energy efficiency ratio or other 
measure of energy consumption of a basic model for which consumers would 
favor higher values shall be no greater than the lower of (A) the mean 
of the sample or (B) the lower 97\1/2\ percent confidence limit of the 
true mean divided by .95.
    (g)(1) For each basic model 1 of unvented home heating 
equipment (not including furnaces), a sample of sufficient size shall be 
tested to insure that--
---------------------------------------------------------------------------

    1 Components of similar design may be substituted without 
requiring additional testing if the represented measures of energy 
consumption continue to satisfy the applicable sampling provision.
---------------------------------------------------------------------------

    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.075, and
    (ii) Any represented value of the annual fuel utilization efficiency 
or other measure of energy consumption of a basic model for which 
consumers would favor higher values shall be not greater than the lower 
of (A) the mean of the sample or (B) the lower 97\1/2\ percent 
confidence limit of the true mean divided by .925.
    (h)(1) For each basic model 1 of television sets, a 
sample of sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (i)(1) Except as provided in paragraph (i)(2) of this section, for 
each basic model 1 of conventional cooking tops, conventional 
ovens and microwave ovens a sample of sufficient size shall be tested to 
insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (2) Basic models need not be tested which differ from other tested 
basic models by only the design of oven doors the use of which leads to 
improved efficiency and decreased energy consumption and estimated 
annual operating cost. Any represented values of measures of energy 
consumption for basic models not tested shall be the same as for the 
tested basic model.
    (j)(1) For each basic model 1 of clothes washers, a 
sample of sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (k)--(l) [Reserved]
    (m)(1) For central air conditioners, each condensing unit shall have 
a condenser-evaporator coil combination selected and a sample of 
sufficient size

[[Page 117]]

tested in accordance with applicable provisions of this subpart such 
that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of the condenser-
evaporator coil combination for which consumers would favor lower values 
shall be no less than the higher of (A) the mean of the sample or (B) 
the upper 90 percent confidence limit of the true mean divided by 1.05, 
and
    (ii) Any represented value of the energy efficiency or other measure 
of energy consumption of the condenser-evaporator coil combination for 
which consumers would favor higher values shall be no greater than the 
lower of (A) the mean of the sample or (B) the lower 90 percent 
confidence limit of the true mean divided by 0.95.
    (2) The condenser-evaporator coil combination selected for tests 
pursuant to paragraph (m)(1) of this section shall be that combination 
manufactured by the condensing unit manufacturer likely to have the 
largest volume of retail sales. Components of similar design may be 
substituted without requiring additional testing if the represented 
measures of energy consumption continue to satisfy the applicable 
sampling provisions of paragraphs (m)(1)(i) and (m)(1)(ii) of this 
section. For every other condenser-evaporator coil combination 
manufactured by the same manufacturer or in part by a component 
manufacturer using that same condensing unit, either--
    (i) A sample of sufficient size, comprised of production units or 
representing production units, shall be tested to ensure that the 
requirements of paragraphs (m)(1)(i) and (m)(1)(ii) of this section are 
met for such other condenser-evaporator coil combinations; or
    (ii) The representative values of the measures of energy consumption 
shall be based on an alternative rating method that has been approved by 
DOE in accordance with the provisions of paragraphs (m)(4) and (m)(5) of 
this section.
    (3) Whenever the representative values of the measures of energy 
consumption, as determined by the provisions of paragraph (m)(2)(ii) of 
this section, do not agree within five percent of the representative 
values of the measures of energy consumption as determined by actual 
testing, the representative values determined by actual testing shall be 
used to comply with section 323(c) of the Act, or to comply with rules 
prescribed under section 324 of the Act.
    (4) The basis of the alternative rating method referred to in 
paragraph (m)(2)(ii) of this section shall be a representation of the 
test data and calculations of a mechanical vapor compression 
refrigeration cycle. The major components in the refrigeration cycle 
shall be modeled as ``fits'' to manufacturer performance data or by 
graphic or tabular performance data. Heat transfer characteristics of 
coils may be modeled as a function of face area, number of rows, fins 
per inch, refrigerant circuitry, air flow rate and entering air 
enthalpy. Additional performance-related characteristics to be 
considered may include type of expansion device, refrigerant flow rate 
through the expansion device, power of the indoor fan and degradation 
coefficient.
    (5) Manufacturers who elect to use an alternative rating method for 
determining measures of energy consumption under paragraphs (m)(2)(ii) 
and (m)(4) of this section must submit a request to DOE for reviewing 
the alternative rating method to the Assistant Secretary of Conservation 
and Renewable Energy, 1000 Independence Avenue, SW., Washington, DC 
20585, and receive approval to use the alternative method by the 
Assistant Secretary before the alternative method may be used for rating 
central air conditioners.
    (6) Each request to DOE for reviewing an alternative rating method 
shall include:
    (i) The name, address and telephone number of the official 
representing the manufacturer.
    (ii) Complete documentation of the alternative rating procedure, 
including the computer code when a computer model is used.
    (iii) Test data for two coils from two different coil families for 
two different condensing units. The tested capacities for the matched 
systems for the two condensing units shall differ by at least a factor 
of two. Rating information for the mixed systems shall include the

[[Page 118]]

ratings from testing, and from the alternative rating method.
    (iv) Complete test data, product information, and related 
information to allow DOE to verify the rating information submitted by 
the manufacturer.
    (7) Manufacturers that elect to use an alternative rating method for 
determining measures of energy consumption under paragraphs (m)(2)(ii) 
and (m)(4) of this section must either subject a sample of their units 
to independent testing on a regular basis, e.g., voluntary certification 
program, or have the representations reviewed and certified by an 
independent state-registered professional engineer who is not an 
employee of the manufacturer. The registered professional engineer is to 
certify that the results of the alternative rating procedure accurately 
represent the energy consumption of the unit(s). The manufacturer is to 
keep the registered professional engineer's certifications on file for 
review by DOE for as long as said combination is made available for sale 
by the manufacturer. Any change to be made to the alternative rating 
method, must be approved by DOE prior to its use for rating.
    (8) Manufacturers who choose to use computer simulation or 
engineering analysis for determining measures of energy consumption 
under paragraphs (m)(2)(ii) and (m)(5) of this section shall permit 
representatives of the Department of Energy to inspect for verification 
purposes the simulation method or methods used. This inspection may 
include conducting simulations to predict the performance of particular 
condenser-evaporator coil combinations specified by DOE, analysis of 
previous simulations conducted by a manufacturer, or both.
    (n)(1) For each basic model1 of furnaces, other than 
basic models of those sectional cast-iron boilers which may be 
aggregated into groups having identical intermediate sections and 
combustion chambers, a sample of sufficient size shall be tested to 
insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample, or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the annual fuel utilization efficiency 
or other measure of energy consumption of a basic model for which 
consumers would favor higher values shall be no greater than the lower 
of (A) the mean of the sample, or (B) the lower 97\1/2\ percent 
confidence limit of the true mean divided by .95.
    (2) For the lowest capacity basic model \1\ of a group of basic 
models of those sectional cast-iron boilers having identical 
intermediate sections and combustion chambers, a sample of sufficient 
size shall be tested to insure that--
---------------------------------------------------------------------------

    \1\ Components of similar design may be substituted without 
requiring additional testing if the represented measures of energy 
consumption continue to satisfy the applicable sampling provision.
---------------------------------------------------------------------------

    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample, or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be no greater than the lower of (A) the 
mean of the sample, or (B) the lower 97\1/2\ percent confidence limit of 
the true mean divided by .95.
    (3) For the highest capacity basic model1 of a group of 
basic models of those sectional cast-iron boilers having identical 
intermediate sections and combustion chambers, a sample of sufficient 
size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values be no less than the higher of 
(A) the mean of the sample, or (B) the upper 97\1/2\ percent confidence 
limit of the true mean divided by 1.05, and

[[Page 119]]

    (ii) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be no greater than the lower of (A) the 
mean of the sample, or (B) the lower 97\1/2\ percent confidence limit of 
the true mean divided by .05.
    (4) For basic model1 or capacity other than the highest 
or lowest of the group of basic models1 of sectional cast-
iron boilers having identical intermediate sections and combustion 
chambers, represented values of measures of energy consumption shall be 
determined by either--
    (i) A linear interpolation of data obtained for the smallest and 
largest capacity units of the family, or
    (ii) Testing a sample of sufficient size to insure that (A) any 
represented value of estimated annual operating cost, energy consumption 
or other measure of energy consumption of a basic model for which 
consumers would favor lower values shall be no less than the higher of 
(1) the mean of the sample, or (2) the upper 97\1/2\ percent confidence 
limit of the true mean divided by 1.05, and (B) any represented value of 
the energy factor or other measure of energy consumption of a basic 
model for which consumers would favor higher values shall be no greater 
than the lower of (1) the mean of the sample, or (2) the lower 97\1/2\ 
percent confidence limit of the true mean divided by .95.
    (5) Whenever measures of energy consumption determined by linear 
interpolation do not agree with measures of energy consumption 
determined by actual testing, the values determined by testing will be 
assumed to be the more reliable values.
    (6) In calculating the measures of energy consumption for each unit 
tested, use the design heating requirement corresponding to the mean of 
the capacities of the units of the sample.
    (o)(1) For each basic model 1 of vented home heating 
equipment (not including furnaces) a sample of sufficient size shall be 
tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be no greater than the lower of (A) the 
mean of the sample or (B) the lower 97\1/2\ percent confidence limit of 
the true mean divided by .95.
    (2) In calculating the measures of energy consumption for each unit 
tested use the design heating requirement corresponding to the mean of 
the capacities of the units of the sample.
    (p)(1) For each basic model\1\ of pool heater a sample of sufficient 
size shall be tested to insure that--
---------------------------------------------------------------------------

    \1\ Components of similar design may be substituted without 
requiring additional testing if the represented measures of energy 
consumption continue to satisfy the applicable sampling provision.
---------------------------------------------------------------------------

    (i) [Reserved]
    (ii) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be no greater than the lower of (A) the 
mean of the sample or (B) the lower 97\1/2\ percent confidence limit of 
the true mean divided by .95.
    (q)(1) For each basic model of fluorescent lamp ballasts, as defined 
in paragraph (14) of Sec. 430.2, a sample of sufficient size, no less 
than four, shall be tested to insure that--
    (i) Any represented value of estimated annual energy operating 
costs, energy consumption, or other measure of energy consumption of a 
basic model for which consumers would favor lower values shall be no 
less than the higher of (A) the mean of the sample or (B) the upper 99 
percent confidence limit of the true mean divided by 1.01, and
    (ii) Any represented value of the ballast efficacy factor or other 
measure of the energy consumption of a basic model for which consumers 
would favor a higher value shall be no greater than the lower of (A) the 
mean of the sample or (B) the lower 99 percent confidence limit of the 
true mean divided by 0.99.
    (r)(1) For each basic model of general service fluorescent lamp and 
general service incandescent lamp as those terms are defined in 
paragraphs (15)

[[Page 120]]

and (16) of the definition for ``basic model'' in Sec. 430.2, samples of 
production lamps shall be tested and the results for all samples shall 
be averaged for a 12-month period. A minimum sample of 20 lamps shall be 
tested. The manufacturer shall randomly select 3 lamps from each month 
of production for 7 out of the 12 months required for the average. In 
the instance where a basic model of general service fluorescent lamp or 
general service incandescent lamp has been manufactured for less than 7 
of the preceding 12 months, the number of lamps selected shall be 
divided as evenly as possible among the months of production to attain a 
minimum sample of 20 lamps. The lamp efficacy of the sample lamps shall 
be the quotient of the average of the lumen output and watts input 
measurements to insure that any represented value of lamp efficacy or 
other measure of the energy consumption of a basic model for which 
consumers would favor a higher value shall be no greater than the lower 
of (i) The mean of the sample or (ii) The lower 99 percent confidence 
limit of the true mean divided by 0.99.
    (2) For each basic model of general service fluorescent lamp except 
for medium base compact fluorescent lamps, as defined in paragraph (15) 
of Sec. 430.2, random samples of production lamps from 12 months of 
production shall be selected for testing the Color Rendering Index 
(CRI). The CRI shall be represented as the average of a minimum sample 
of 20 lamps from the same production lots which were chosen for 
measurement in Sec. 430.24(r)(1), i.e., the manufacturer shall measure 
all lamps for lumens, watts input, and CRI. The 20 CRI measurements 
shall be averaged to insure that any represented value of CRI of a basic 
model for which consumers would favor a higher value shall be no greater 
than the lower of (i) The mean of the sample or (ii) The lower 99 
percent confidence limit of the true mean divided by 0.99.

(Energy Policy and Conservation Act, Pub. L. 94-163, as amended by Pub. 
L. 95-619; Department of Energy Organization Act, Pub. L. 95-91)

[44 FR 22416, Apr. 13, 1979, as amended at 44 FR 39153, July 5, 1979; 44 
FR 76706, Dec. 27, 1979; 45 FR 53719, Aug. 12, 1980; 53 FR 8312, Mar. 
14, 1988; 54 FR 6075, Feb. 7, 1989; 56 FR 18682, April 24, 1991. 
Redesignated and amended at 59 FR 49474, 49475, Sept. 28, 1994]



Sec. 430.25  Laboratory Accreditation Program.

    (a) To comply with the testing requirements in section 323(b) of the 
Act, test procedures for certain products given below shall be carried 
out by accredited test laboratories. The accrediting body shall be the 
National Voluntary Laboratory Accreditation Program (NVLAP) or a foreign 
organization recognized by NVLAP. NVLAP is under the auspices of the 
National Institute of Standards and Technology which is part of the U.S. 
Department of Commerce. NVLAP accreditation is granted on the basis of 
conformance with criteria published in 15 CFR part 285 ``The National 
Voluntary Laboratory Accreditation Program Procedures and General 
Requirements.''
    (b) The test procedures for general service fluorescent lamps, 
general service incandescent lamps, incandescent reflector lamps, and 
medium base compact fluorescent lamps, as specified in Appendix R to 
this subpart, shall be conducted by test laboratories accredited by 
NVLAP or an accrediting organization recognized by NVLAP. NVLAP 
standards for lamps and luminaires are given in handbook 150-01, 
``Energy Efficient Lighting Products, Lamps and Luminaires,'' August 
1993. A manufacturer's or importer's own laboratory, if accredited, may 
conduct the applicable test procedures.

[59 FR 49475, Sept. 28, 1994]

[[Page 121]]



Sec. 430.27  Petitions for waiver and applications for interim waiver.

    (a)(1) Any interested person may submit a petition to waive for a 
particular basic model any requirements of Sec. 430.22, or of any 
appendix to this subpart, 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 the 
prescribed test procedures may evaluate the basic model in a manner so 
unrepresentative of its true energy consumption characteristics as to 
provide materially inaccurate comparative data.
    (2) Any interested person who has submitted a Petition for Waiver as 
provided in this subpart may also file an Application for Interim Waiver 
of the applicable test procedure requirements.
    (b)(1) A Petition for Waiver shall be submitted, in triplicate, to 
the Assistant Secretary for Conservation and Renewable Energy, United 
States Department of Energy. Each Petition for Waiver shall:
    (i) Identify the particular basic model(s) for which a waiver is 
requested, the design characteristic(s) constituting the grounds for the 
petition, and the specific requirements sought to be waived and shall 
discuss in detail the need for the requested waiver;
    (ii) Identify manufacturers of all other basic models marketed in 
the United States and known to the petitioner to incorporate similar 
design characteristic(s);
    (iii) Include any alternate test procedures known to the petitioner 
to evaluate in a manner representative of the energy consumption 
characteristics of the basic model; and
    (iv) Be signed by the petitioner or by an authorized representative. 
In accordance with the provisions set forth in 10 CFR 1004.11, any 
request for confidential treatment of any information contained in a 
Petition for Waiver or in supporting documentation must be accompanied 
by a copy of the petition, application or supporting documentation from 
which the information claimed to be confidential has been deleted. DOE 
shall publish in the Federal Register the petition and supporting 
documents from which confidential information, as determined by DOE, has 
been deleted in accordance with 10 CFR 1004.11 and shall solicit 
comments, data and information with respect to the determination of the 
petition. Any person submitting written comments to DOE with the respect 
to a Petition for Waiver shall also send a copy of such comments to the 
petitioner. In accordance with paragraph (i) of this section, a 
petitioner may submit a rebuttal statement to the Assistant Secretary 
for Conservation and Renewable Energy.
    (2) An Application for Interim Waiver shall be submitted in 
triplicate, with the required three copies of the Petition for Waiver, 
to the Assistant Secretary for Conservation and Renewable Energy, U.S. 
Department of Energy. Each Application for Interim Waiver shall 
reference the Petition for Waiver by identifying the particular basic 
model(s) for which a waiver and temporary exception are being sought. 
Each Application for Interim Waiver shall demonstrate likely success of 
the Petition for Waiver and shall address what economic hardship and/or 
competitive disadvantage is likely to result absent a favorable 
determination on the Application for Interim Waiver. Each Application 
for Interim Waiver shall be signed by the applicant or by an authorized 
representative.
    (c)(1) Each petitioner, after filing a Petition for Waiver with DOE, 
and after the Petition for Waiver has been published in the Federal 
Register, shall, within five working days of such publication, notify in 
writing all known manufacturers of domestically marketed units of the 
same product type (as listed in section 322(a) of the Act) and shall 
include in the notice a statement that DOE has published in the Federal 
Register  on a certain date the Petition for Waiver and supporting 
documents from which confidential information, if any, as determined by 
DOE, has been deleted in accordance with 10 CFR 1004.11. Each 
petitioner, in complying with the requirements of this paragraph, shall 
file with DOE a statement certifying the names and addresses of each 
person to

[[Page 122]]

whom a notice of the Petition for Waiver has been sent.
    (2) Each applicant for Interim Waiver, whether filing jointly with, 
or subsequent to, a Petition for Waiver with DOE, shall concurrently 
notify in writing all known manufacturers of domestically marketed units 
of the same product type (as listed in Section 322(a) of the Act) and 
shall include in the notice a copy of the Petition for Waiver and a copy 
of the Application for Interim Waiver. In complying with this section, 
each applicant shall in the written notification include a statement 
that the Assistant Secretary for Conservation and Renewable Energy will 
receive and consider timely written comments on the Application for 
Interim Waiver. Each applicant, upon filing an Application for Interim 
Waiver, shall in complying with the requirements of this paragraph 
certify to DOE that a copy of these documents have been sent to all 
known manufacturers of domestically marked units of the same product 
type (as listed in section 322(a) of the Act). Such certification shall 
include the names and addresses of such persons. Each applicant also 
shall comply with the provisions of paragraph (c)(1) of this section 
with respect to the petition for waiver.
    (d) Any person submitting written comments to DOE with respect to an 
Application for Interim Waiver shall also send a copy of the comments to 
the applicant.
    (e) If administratively feasible, applicant shall be notified in 
writing of the disposition of the Application for Interim Waiver within 
15 business days of receipt of the application. Notice of DOE's 
determination on the Application for Interim Waiver shall be published 
in the Federal Register.
    (f) The filing of an Application for Interim Waiver shall not 
constitute grounds for noncompliance with any requirements of this 
subpart, until an Interim Waiver has been granted.
    (g) An Interim Waiver from test procedure requirements will be 
granted by the Assistant Secretary for Conservation and Renewable Energy 
if it is determined that the applicant will experience economic hardship 
if the Application for Interim Waiver is denied, if it appears likely 
that the Petition for Waiver will be granted, and/or the Assistant 
Secretary determines that it would be desirable for public policy 
reasons to grant immediate relief pending a determination on the 
Petition for Waiver.
    (h) An interim waiver will terminate 180 days after issuance or upon 
the determination on the Petition for Waiver, whichever occurs first. An 
interim waiver may be extended by DOE for 180 days. Notice of such 
extension and/or any modification of the terms or duration of the 
interim waiver shall be published in the Federal Register, and shall be 
based on relevant information contained in the record and any comments 
received subsequent to issuance of the interim waiver.
    (i) Following publication of the Petition for Waiver in the Federal 
Register, a petitioner may, within 10 working days of receipt of a copy 
of any comments submitted in accordance with paragraph (b)(1) of this 
section, submit a rebuttal statement to the Assistant Secretary for 
Conservation and Renewable Energy. A petitioner may rebut more than one 
response in a single rebuttal statement.
    (j) The petitioner shall be notified in writing as soon as 
practicable of the disposition of each Petition for Waiver. The 
Assistant Secretary for Conservation and Renewable Energy shall issue a 
decision on the petition as soon as is practicable following receipt and 
review of the Petition for Waiver and other applicable documents, 
including, but not limited to, comments and rebuttal statements.
    (k) The filing of a Petition for Waiver shall not constitute grounds 
for noncompliance with any requirements of this subpart, until a waiver 
or interim waiver has been granted.
    (l) Waivers will be granted by the Assistant Secretary for 
Conservation and Renewable Energy, if it is determined that the basic 
model for which the waiver was requested contains a design 
characteristic which either prevents testing of the basic model 
according to the prescribed test procedures, or the prescribed test 
procedures may evaluate the basic model in a manner so unrepresentative 
of its true energy consumption characteristics as to provide materially 
inaccurate comparative

[[Page 123]]

data. Waivers may be granted subject to conditions, which may include 
adherence to alternate test procedures specified by the Assistant 
Secretary for Conservation and Renewable Energy. The Assistant Secretary 
shall consult with the Federal Trade Commission prior to granting any 
waiver, and shall promptly publish in the Federal Register  notice of 
each waiver granted or denied, and any limiting conditions of each 
waiver granted.
    (m) Within one year of the granting of any waiver, the Department of 
Energy will publish in the Federal Register a notice of proposed 
rulemaking to amend its regulations so as to eliminate any need for the 
continuation of such waiver. As soon thereafter as practicable, the 
Department of Energy will publish in the Federal Register  a final rule. 
Such waiver will terminate on the effective date of such final rule.
    (n) In order to exhaust administrative remedies, any person 
aggrieved by an action under this section must file an appeal with the 
DOE's Office of Hearings and Appeals as provided in 10 CFR part 1003, 
subpart C.

[51 FR 42826, Nov. 26, 1986, as amended at 60 FR 15017, Mar. 21, 1995]

Appendix A1 To Subpart B of Part 430--Uniform Test Method for Measuring 
     the Energy Consumption of Electric Refrigerators and Electric 
                          Refrigerator-Freezers

                             1. Definitions

    1.1  ``HRF-1-1979'' means the Association of Home Appliance 
Manufacturers standard for household refrigerators, combination 
refrigerator-freezers, and household freezers, also approved as an 
American National Standard as a revision of ANSI B 38.1-1970.
    1.2  ``Adjusted total volume'' means the sum of (i) the fresh food 
compartment volume as defined in HRF-1-1979 in cubic feet, and (ii) the 
product of an adjustment factor and the net freezer compartment volume 
as defined in HRF-1-1979, in cubic feet.
    1.3  ``Anti-sweat heater'' means a device incorporated into the 
design of a refrigerator or refrigerator-freezer to prevent the 
accumulation of moisture on exterior surfaces of the cabinet under 
conditions of high ambient humidity.
    1.4  ``All-refrigerator'' means an electric refrigerator which does 
not include a compartment for the freezing and long time storage of food 
at temperatures below 32 deg. F. (0.0 deg. C.). It may include a 
compartment of 0.50 cubic feet capacity (14.2 liters) or less for the 
freezing and storage of ice.
    1.5  ``Cycle'' means the period of 24 hours for which the energy use 
of an electric refrigerator or electric refrigerator-freezer is 
calculated as though the consumer activated compartment temperature 
controls were set so that the desired compartment temperatures were 
maintained.
    1.6  ``Cycle type'' means the set of test conditions having the 
calculated effect of operating an electric refrigerator or electric 
refrigerator-freezer for a period of 24 hours, with the consumer 
activated controls other than those that control compartment 
temperatures set to establish various operating characteristics.
    1.7  ``Standard cycle'' means the cycle type in which the anti-sweat 
heater control, when provided, is set in the highest energy consuming 
position.
    1.8  ``Automatic defrost'' means a system in which the defrost cycle 
is automatically initiated and terminated, with resumption of normal 
refrigeration at the conclusion of the defrost operation. The system 
automatically prevents the permanent formation of frost on all 
refrigerated surfaces. Nominal refrigerated food temperatures are 
maintained during the operation of the automatic defrost system.
    1.9  ``Long-time Automatic Defrost'' means an automatic defrost 
system where successive defrost cycles are separated by 14 hours or more 
of compressor-operating time.
    1.10  ``Stabilization Period'' means the total period of time during 
which steady-state conditions are being attained or evaluated.
    1.11  ``Variable defrost control'' means a long-time automatic 
defrost system (except the 14-hour defrost qualification does not apply) 
where successive defrost cycles are determined by an operating condition 
variable or variables other than solely compressor operating time. This 
includes any electrical or mechanical device. Demand defrost is a type 
of variable defrost control.

                           2. Test Conditions

    2.1  Ambient temperature. The ambient temperature shall be 90.0 
 1 deg. F. (32.30.6 deg. C.) during the 
stabilization period and during the test period. The ambient temperature 
shall be 802 deg.F dry bulb and 67 deg.F wet bulb during the 
stabilization period and during the test period when the unit is tested 
in accordance with section 3.3.
    2.2  Operational conditions. The electric refrigerator or electric 
refrigerator-freezer shall be installed and its operating conditions 
maintained in accordance with HRF-1-1979, section 7.2 through section 
7.4.3.3, except that the vertical ambient temperature gradient at 
locations 10 inches (25.4 cm) out from the centers of the two sides of 
the unit

[[Page 124]]

being tested is to be maintained during the test. Unless the area is 
obstructed by shields or baffles, the gradient is to be maintained from 
2 inches (5.1 cm) above the floor or supporting platform to a height one 
foot (30.5 cm) above the unit under test. Defrost controls are to be 
operative and the anti-sweat heater switch is to be ``on'' during one 
test and ``off'' during a second test. Other exceptions are noted in 
2.3, 2.4, and 5.1 below.
    2.3  Conditions for automatic defrost refrigerator-freezers. For 
automatic defrost refrigerator-freezers, the freezer compartments shall 
not be loaded with any frozen food packages. Cylindrical metallic masses 
of dimensions 1.12\\\\\\0.25 inches (2.90.6 cm) 
in diameter and height shall be attached in good thermal contact with 
each temperature sensor within the refrigerated compartments. All 
temperature measuring sensor masses shall be supported by nonthermally 
conductive supports in such a manner that there will be at least one 
inch (2.5 cm) of air space separating the thermal mass from contact with 
any surface. In case of interference with hardware at the sensor 
locations specified in section 5.1, the sensors shall be placed at the 
nearest adjacent location such that there will be a one inch air space 
separating the sensor mass from the hardware.
    2.4  Conditions for all-refrigerators. There shall be no load in the 
freezer compartment during the test.
    2.5  Steady State Condition. Steady state conditions exist if the 
temperature measurements in all measured compartments taken at four 
minute intervals or less during a stabilization period are not changing 
at a rate greater than 0.042 deg. F. (0.023 deg. C.) per hour as 
determined by the applicable condition of A or B.
    A. The average of the measurements during a two hour period if no 
cycling occurs or during a number of complete repetitive compressor 
cycles through a period of no less than two hours is compare to the 
average over an equivalent time period with three hours elapsed between 
the two measurement periods.
    B. If A above cannot be used, the average of the measurements during 
a number of complete repetitive compressor cycles through a period of no 
less than two hours and including the last complete cycle prior to a 
defrost period, or if no cycling occurs, the average of the measurements 
during the last two hours prior to a defrost period; are compared to the 
same averaging period prior to the following defrost period.

                        3. Test Control Settings

    3.1  Model with no user operable temperature control. A test shall 
be performed during which the compartment temperatures and energy use 
shall be measured. A second test shall be performed with the temperature 
control electrically short circuited to cause the compressor to run 
continuously.
    3.2  Model with user operable temperature control. Testing shall be 
performed in accordance with one of the following sections using the 
standardized temperatures of:

All-refrigerator: 38 deg. F. (3.3 deg. C.) fresh food compartment 
temperature
Refrigerator: 15 deg. F. (-9.4 deg. C.) freezer compartment temperature
Refrigerator-freezer: 5 deg. F. (-15 deg. C.) freezer compartment 
temperature
    Variable defrost control models: 5 deg.F (-15 deg.C) freezer 
compartment temperature and 382 deg.F fresh food compartment 
temperature during steady-state conditions with no door-openings. If 
both settings cannot be obtained, then test with the fresh food 
compartment temperature at 382 deg.F and the freezer 
compartment as close to 5 deg.F as possible.

    3.2.1  A first test shall be performed with all compartment 
temperature controls set at their median position midway between their 
warmest and coldest settings. Knob detents shall be mechanically 
defeated if necessary to attain a median setting. A second test shall be 
performed with all controls set at either their warmest or their coldest 
setting (not electrically or mechanically bypassed), whichever is 
appropriate, to attempt to achieve compartment temperatures measured 
during the two tests which bound (i.e., one is above and one is below) 
the standardized temperature for the type of product being tested. If 
the compartment temperatures measured during these two tests bound the 
appropriate standardized temperature, then these test results shall be 
used to determine energy consumption. If the compartment temperature 
measured with all controls set at their coldest setting is above the 
standardized temperature, a third test shall be performed with all 
controls set at their warmest setting and the result of this test shall 
be used with the result of the test performed with all controls set at 
their coldest setting to determine energy consumption. If the 
compartment temperature measured with all controls set at their warmest 
setting is below the standardized temperature; and the fresh food 
compartment temperature is below 45 deg. F. (7.22 deg. C.) in the case 
of a refrigerator or a refrigerator-freezer, excluding an all-
refrigerator, then the result of this test alone will be used to 
determine energy consumption.
    3.2.2  Alternatively, a first test may be performed with all 
temperature controls set at their warmest setting. If the compartment 
temperature is below the appropriate standardized temperature, and the 
fresh food compartment temperature is below 45 deg. F. (7.22 deg. C.) in 
the case of a refrigerator or a refrigerator-freezer, excluding an all-
refrigerator, then the result of this test alone will

[[Page 125]]

be used to determine energy consumption. If the above conditions are not 
met, then the unit shall be tested in accordance with 3.2.1 above.
    3.2.3  Alternatively, a first test may be performed with all 
temperature controls set at their coldest setting. If the compartment 
temperature is above the appropriate standardized temperature, a second 
test shall be performed with all controls set at their warmest control 
setting and the results of these two tests shall be used to determine 
energy consumption. If the above condition is not met, then the unit 
shall be tested in accordance with 3.2.1 above.
    3.3  Variable defrost control optional test. After a steady-state 
condition is achieved, the optional test requires door-openings for 
122 seconds every 60 minutes on the fresh food compartment 
door and a simultaneous 122 second freezer compartment door-
opening occurring every 4th time, to obtain 24 fresh food and six 
freezer compartment door-openings per 24-hour period. The first freezer 
door-opening shall be simultaneous with the fourth fresh food door-
opening. The doors are to be opened 60 deg. to 90 deg. with an average 
velocity for the leading edge of the door of approximately 2 ft./sec. 
Prior to the initiation of the door-opening sequence, the refrigerator 
defrost control mechanism may be re-initiated in order to minimize the 
test duration.

                             4. Test Period

    4.1  Test Period. Tests shall be performed by establishing the 
conditions set forth in Section 2, and using control settings as set 
forth in Section 3, above.
    4.1.1  Nonautomatic Defrost. If the model being tested has no 
automatic defrost system, the test time period shall start after steady 
state conditions have been achieved and be of not less than three hours 
in duration. During the test period, the compressor motor shall complete 
two or more whole compressor cycles (a compressor cycle is a complete 
``on'' and a complete ``off'' period of the motor). If no ``off'' 
cycling will occur, as determined during the stabilization period, the 
test period shall be three hours. If incomplete cycling (less than two 
compressor cycles) occurs during a 24 hour period, the results of the 24 
hour period shall be used.
    4.1.2  Automatic Defrost. If the model being tested has an automatic 
defrost system, the test time period shall start after steady state 
conditions have been achieved and be from one point during a defrost 
period to the same point during the next defrost period. If the model 
being tested has a long-time automatic defrost system, the alternative 
provisions of 4.1.2.1 may be used.If the model being tested has a 
variable defrost control, the provisions of section 4.1.2.2 or 4.1.2.3 
shall apply. If the model has a dual compressor system the provisions of 
4.1.2.4 shall apply.
    4.1.2.1   Long-time Automatic Defrost. If the model being tested has 
a long-time automatic defrost system, the test time period may consist 
of two parts. A first part would be the same as the test for a unit 
having no defrost provisions (section 4.1.1). The second part would 
start when a defrost period is initiated during a compressor ``on'' 
cycle and terminate at the second turn ``on'' of the compressor motor or 
after four hours, whichever comes first.
    4.1.2.2  Variable defrost control. If the model being tested has a 
variable defrost control system, the test shall consist of three parts. 
Two parts shall be the same as the test for long-time automatic defrost 
(section 4.1.2.1). The third part is the optional test to determine the 
time between defrosts (section 5.2.1.3). The third part is used by 
manufacturers that choose not to accept the default value of F of 0.20, 
to calculate CT.
    4.1.2.3  Variable defrost control optional test. After steady-state 
conditions with no door openings are achieved in accordance with section 
3.3 above, the test is continued using the above daily door-opening 
sequence until stabilized operation is achieved. Stabilization is 
defined as a minimum of three consecutive defrost cycles with times 
between defrosts that will allow the calculation of a Mean Time Between 
Defrosts (MTBD1) that satisfies the statistical relationship of 90 
percent confidence. The test is repeated on at least one more unit of 
the model and until the Mean Time Between Defrosts for the multiple unit 
tests (MTBD2) satisfies the statistical relationship. If the time 
between defrosts is greater than 96 hours (compressor ``on'' time) and 
this defrost period can be repeated on a second unit, the test may be 
terminated at 96 hours (CT) and the absolute time value used for MTBD 
for each unit.
    4.1.2.4  Dual compressor systems with automatic defrost. If the 
model being tested has separate compressor systems for the refrigerator 
and freezer sections, each with its own automatic defrost system, then 
the two-part method in 4.1.2.1 shall be used. The second part of the 
method will be conducted separately for each automatic defrost system. 
The auxiliary components (fan motors, anti-sweat heaters, etc.) will be 
identified for each system and the energy consumption measured during 
each test.

                          5. Test Measurements

    5.1  Temperature Measurements. Temperature measurements shall be 
made at the locations prescribed in Figures 7.1 and 7.2 of HRF-1-1979 
and shall be accurate to within  0.5 deg. F. (0.3 deg. C.) 
of true value. No freezer temperature measurements need be taken in an 
all-refrigerator model.

[[Page 126]]

    If the interior arrangements of the cabinet do not conform with 
those shown in Figure 7.1 and 7.2 of HRF-1-1979, measurements shall be 
taken at selected locations chosen to represent approximately the entire 
refrigerated compartment. The locations selected shall be a matter of 
record.
    5.1.1  Measured Temperature. The measured temperature of a 
compartment is to be the average of all sensor temperature readings 
taken in that compartment at a particular time. Measurements shall be 
taken at regular intervals not to exceed four minutes.
    5.1.2  Compartment Temperature. The compartment temperature for each 
test period shall be an average of the measured temperatures taken in a 
compartment during a complete cycle or several complete cycles of the 
compressor motor (one compressor cycle is one complete motor ``on'' and 
one complete motor ``off'' period). For long-time automatic defrost 
models, compartment temperatures shall be those measured in the first 
part of the test period specified in 4.1.1. For models equipped with 
variable defrost controls, compartment temperatures shall be those 
measured in the first part of the test period specified in 4.1.2.2 
above.
    5.1.2.1  The number of complete compressor motor cycles over which 
the measured temperatures in a compartment are to be averaged to 
determine compartment temperature shall be equal to the number of 
minutes between measured temperature readings, rounded up to the next 
whole minute or a number of complete cycles over a time period exceeding 
one hour. One of the cycles shall be the last complete compressor motor 
cycle during the test period.
    5.1.2.2  If no compressor motor cycling occurs, the compartment 
temperature shall be the average of the measured temperatures taken 
during the last thirty-two minutes of the test period.
    5.1.2.3  If incomplete cycling occurs, the compartment temperatures 
shall be the average of the measured temperatures taken during the last 
three hours of the last complete ``on'' period.
    5.2  Energy Measurements
    5.2.1  Per-day Energy Consumption. The energy consumption in 
kilowatt-hours per day for each test period shall be the energy expended 
during the test period as specified in section 4.1 adjusted to a 24 hour 
period. The adjustment shall be determined as follows:
    5.2.1.1  Nonautomatic and automatic defrost models. The energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=EP x 1440/T
where
ET=test cycle energy expended in kilowatt-hours per day,
EP=energy expended in kilowatt-hours during the test period,
T=length of time of the test period in minutes, and
1440=conversion factor to adjust to a 24 hour period in minutes per day.

    5.2.1.2  Long-time Automatic Defrost. If the two part test method is 
used, the energy consumption in kilowatt-hours per day shall be 
calculated equivalent to:

ET=(1440 x EP1/T1)+((EP2-(EP1 x T2/T1)) x 12/CT)
where
ET and 1440 are defined in 5.2.1.1,
EP1=energy expended in kilowatt-hours during the first part of the test,
EP2=energy expended in kilowatt-hours during the second part of the 
          test,
T1 and T2=length of time in minutes of the first and second test parts 
          respectively,
CT=Defrost timer run time in hours required to cause it to go through a 
          complete cycle, to the nearest tenth hour per cycle, and
12=factor to adjust for a 50% run time of the compressor in hours per 
          day.
    5.2.1.3  Variable defrost control. The energy consumption in 
kilowatt-hours per day shall be calculated equivalent to:

ET=(1440 x EP1/T1)+(EP2-(EP1 x T2/T1)) x (12/CT) where 1440 is defined 
          in 5.2.1.1 and EP1, EP2, T1, T2 and 12 are defined in 5.2.1.2.
CT=CTL x CTM)/
          (F x (CTM-CTL)+CTL)
CTL=least or shortest time between defrosts in tenths of an 
          hour (greater than or equal to six but less than or equal to 
          12 hours)
CTM=maximum time between defrost cycles in tenths of an hour 
          (greater than CTL but not more than 96 hours)
F=ratio of per day energy consumption in excess of the least energy and 
          the maximum difference in per day energy consumption and is 
          equal to
F = (1/CT - 1/CTM)/(1/CTL - 1/CTM = 
          (ET-ETL)/ETM - ETL) or 0.20 
          in lieu of testing to find CT.
ETL = least electrical energy used (kilowatt hours)
ETM=maximum electrical energy used (kilowatt hours). For 
          demand defrost models with no values for CTL and 
          CTM in the algorithm the default values of 12 and 
          84 shall be used, respectively.

    5.2.1.4  Optional test method for variable defrost controls.
CT = MTBD x 0.5
where:

MTBD = mean time between defrosts

                                                                        
                                                       X       
          MTBD                     =         ---------------------------
                                                           N            
                                                                        


where:


[[Page 127]]


X=in time between defrost cycles
N=number of defrost cycles

    5.2.1.5  Dual compressor systems with dual automatic defrost. The 
two-part test method in section 4.1.2.2 must be used, the energy 
consumption in kilowatt per day shall be calculated equivalent to:

ET=(1440  x  EP1/T1) + (EP2F - (EPF  x  T2/T1)) 
          x  12/CTF + (EP2R - (EPR  x  
          T3/T1))  x  12/CTR

Where 1440, EP1, T1, EP2, 12, and CT are defined in 5.2.1.2
EPF = energy expended in kilowatt-hours during the second 
          part of the test for the freezer system by the freezer system.
EP2F = total energy expended during the second part of the 
          test for the freezer system.
EPR = energy expended in kilowatt-hours during the second 
          part of the test for the refrigerator system by the 
          refrigerator system.
EP2R = total energy expended during the second part of the 
          test for the refrigerator system.
T2 and T3 = length of time in minutes of the second test part for the 
          freezer and refrigerator systems respectively.
CTF = compressor ``on'' time between freezer defrosts (tenths 
          of an hour).
CTR = compressor ``on'' time between refrigerator defrosts 
          (tenths of an hour).

    5.3  Volume measurements. The electric refrigerator or electric 
refrigerator-freezer total refrigerated volume, VT, shall be measured in 
accordance with HRF-1-1979, section 3.20 and sections 4.2 through 4.3 
and be calculated equivalent to:

VT=VF+VFF
where
VT=total refrigerated volume in cubic feet,
VF=freezer compartment volume in cubic feet, and
VFF=fresh food compartment volume in cubic feet.

        6. Calculation of Derived Results from Test Measurements

    6.1  Adjusted Total Volume.
    6.1.1  Electric refrigerators. The adjusted total volume, VA, for 
electric refrigerators under test shall be defined as:

VA=(VF x CR)+VFF
where
VA=adjusted total volume in cubic feet,
VF and VFF are defined in 5.3, and
CR=adjustment factor of 1.44 for refrigerators other than all-
          refrigerators, or 1.0 for all-refrigerators, dimensionless,

    6.1.2  Electric refrigerator-freezers. The adjusted total volume, 
VA, for electric refrigerator-freezers under test shall be calculated as 
follows:

VA=(VF x CRF)+VFF
where
VF and VFF are defined in 5.3 and VA is defined in 6.1.1,
CRF=adjustment factor of 1.63, dimensionless,

    6.2  Average Per-Cycle Energy consumption.
    6.2.1  All-refrigerator Models. The average per-cycle energy 
consumption for a cycle type is expressed in kilowatt-hours per cycle to 
the nearest one hundredth (0.01) kilowatt-hour and shall depend upon the 
temperature attainable in the fresh food compartment as shown below.
    6.2.1.1  If the fresh food compartment temperature is always below 
38.0 deg. F. (3.3 deg. C.), the average per-cycle energy consumption 
shall be equivalent to:

E=ET1
where
E=Total per-cycle energy consumption in kilowatt-hours per day,
ET is defined in 5.2.1, and Number 1 indicates the test period during 
          which the highest fresh food compartment temperature is 
          measured.

    6.2.1.2  If one of the fresh food compartment temperatures measured 
for a test period is greater than 38.0 deg. F. (3.3 deg. C.), the 
average per-cycle energy consumption shall be equivalent to:

E=ET1+((ET2-ET1) x (38.0-TR1)/(TR2-TR1))
where
E is defined in 6.2.1.1,
ET is defined in 5.2.1,
TR=Fresh food compartment temperature determined according to 5.1.2 in 
          degrees F,
Number 1 and 2 indicates measurements taken during the first and second 
          test period as appropriate, and
38.0=Standardized fresh food compartment temperature in degrees F.

    6.2.2  Refrigerators and refrigerator-freezers. The average per-
cycle energy consumption for a cycle type is expressed in kilowatt-hours 
per-cycle to the nearest one hundredth (0.01) kilowatt-hour and shall be 
defined in the applicable following manner.
    6.2.2.1  If the fresh food compartment temperature is always at or 
below 45 deg. F. (7.2 deg. C.) in both of the tests and the freezer 
compartment temperature is always at or below 15 deg. F. (-9.4 deg. C.) 
in both tests of a refrigerator or at or below 5 deg. F. (-15 deg. C.) 
in both tests of a refrigerator-freezer, the per-cycle energy 
consumption shall be:

E=ET1
where
E is defined in 6.2.1.1,
ET is defined in 5.2.1, and
Number 1 indicates the test period during which the highest freezer 
          compartment temperature was measured.

    6.2.2.2  If the conditions of 6.2.2.1 do not exist, the per-cycle 
energy consumption

[[Page 128]]

shall be defined by the higher of the two values calculated by the 
following two formulas:

E=ET1+((ET2-ET1) x (45.0-TR1)/(TR2-TR1))
and
E=ET1+((ET2-ET1) x (k-TF1)/(TF2-TF1))
where
E is defined in 6.2.1.1,
ET is defined in 5.2.1,
TR and number 1 and 2 are defined in 6.2.1.2,
TF=Freezer compartment temperature determined according to 5.1.2 in 
          degrees F,
45.0 is a specified fresh food compartment temperature in degree F, and
k is a constant 15.0 for refrigerators or 5.0 for refrigerator-freezers 
          each being standardized freezer compartment temperature in 
          degrees F.

[47 FR 34526, Aug. 10, 1982; 48 FR 13013, Mar. 29, 1983, as amended at 
54 FR 36240, Aug. 31, 1989; 54 FR 38788, Sept. 20, 1989]

Appendix B1 to Subpart B of Part 430--Uniform Test Method for Measuring 
                   the Energy Consumption of Freezers

                             1. Definitions.

    1.1  ``HRF-1-1979'' means the Association of Home Appliance 
Manufacturers standard for household refrigerators, combination 
refrigerators-freezers, and household freezers, also approved as an 
American National Standard as a revision of ANSI B38.1-1970.
    1.2  ``Anti-sweat heater'' means a device incorporated into the 
design of a freezer to prevent the accumulation of moisture on exterior 
surfaces of the cabinet under conditions of high ambient humidity.
    1.3  ``Cycle'' means the period of 24 hours for which the energy use 
of a freezer is calculated as though the consumer-activated compartment 
temperature controls were preset so that the desired compartment 
temperatures were maintained.
    1.4  ``Cycle type'' means the set of test conditions having the 
calculated effect of operating a freezer for a period of 24 hours with 
the consumer-activated controls other than the compartment temperature 
control set to establish various operating characteristics.
    1.5  ``Standard cycle'' means the cycle type in which the anti-sweat 
heater switch, when provided, is set in the highest energy consuming 
position.
    1.6  ``Adjusted total volume'' means the product of, (1) the freezer 
volume as defined in HRF-1-1979 in cubic feet, times (2) an adjustment 
factor.
    1.7  ``Automatic Defrost'' means a system in which the defrost cycle 
is automatically initiated and terminated, with resumption of normal 
refrigeration at the conclusion of defrost operation. The system 
automatically prevents the permanent formation of frost on all 
refrigerated surfaces. Nominal refrigerated food temperatures are 
maintained during the operation of the automatic defrost system.
    1.8  ``Long-time Automatic Defrost'' means an automatic defrost 
system where successive defrost cycles are separated by 14 hours or more 
of compressor-operating time.
    1.9  ``Stabilization Period'' means the total period of time during 
which steady-state conditions are being attained or evaluated.
    1.10  ``Variable defrost control'' means a long-time automatic 
defrost system (except the 14-hour defrost qualification does not apply) 
where successive defrost cycles are determined by an operating condition 
variable or variables other than solely compressor operating time. This 
includes any electrical or mechanical device. Demand defrost is a type 
of variable defrost control.
    1.11  ``Quick freeze'' means an optional feature on freezers which 
is initiated manually and shut off manually. It bypasses the thermostat 
control and places the compressor in a steady-state operating condition 
until it is shut off.

                           2. Test Conditions.

    2.1  Ambient temperature. The ambient temperature shall be 
90.01.0 deg. F. (32.20.6 deg. C.) during the 
stabilization period and during the test period. The ambient temperature 
shall be 802 deg.F dry bulb and 67 deg.F wet bulb during the 
stabilization period and during the test period when the unit is tested 
in accordance with section 3.3.
    2.2  Operational conditions. The freezer shall be installed and its 
operating conditions maintained in accordance with HRF-1-1979, section 
7.2 through section 7.4.3.3, except that the vertical ambient gradient 
at locations 10 inches (25.4 cm) out from the the centers of the two 
sides of the unit being tested is to be maintained during the test. 
Unless the area is obstructed by shields or baffles, the gradient is to 
be maintained from 2 inches (5.1 cm) above the floor or supporting 
platform to a height one foot (30.5 cm) above the unit under test. 
Defrost controls are to be operative and the anti-sweat heater switch is 
to be ``on'' during one test and ``off'' during a second test. The quick 
freeze option shall be switched off unless specified.
    2.3  Steady State Condition. Steady state conditions exist if the 
temperature measurements taken at four minute intervals or less during a 
stabilization period are not changing at a rate greater than 0.042 deg. 
F. (0.023 deg. C.) per hour as determined by the applicable condition of 
A or B.

[[Page 129]]

A--The average of the measurements during a two hour period if no 
          cycling occurs or during a number of complete repetitive 
          compressor cycles through a period of no less than two hours 
          is compared to the average over an equivalent time period with 
          three hours elapsed between the two measurement periods.
B--If A above cannot be used, the average of the measurements during a 
          number of complete repetitive compressor cycles through a 
          period of no less than two hours and including the last 
          complete cycle prior to a defrost period, or if no cycling 
          occurs, the average of the measurements during the last two 
          hours prior to a defrost period; are compared to the same 
          averaging period prior to the following defrost period.

                        3. Test Control Settings.

    3.1  Model with no user operable temperature control. A test shall 
be performed during which the compartment temperature and energy use 
shall be measured. A second test shall be performed with the temperature 
control electrically short circuited to cause the compressor to run 
continuously. If the model has the quick freeze option, it is to be used 
to bypass the temperature control.
    3.2  Model with user operable temperature control. Testing shall be 
performed in accordance with one of the following sections using the 
standardized temperature of 0.0 deg. F. (-17.8 deg. C.). Variable 
defrost control models shall achieve 02 deg.F during the 
steady-state conditions prior to the optional test with no door 
openings.
    3.2.1  A first test shall be performed with all temperature controls 
set at their median position midway between their warmest and coldest 
settings. Knob detents shall be mechanically defeated if necessary to 
attain a median setting. A second test shall be performed with all 
controls set at either their warmest or their coldest setting (not 
electrically or mechanically bypassed), whichever is appropriate, to 
attempt to achieve compartment temperatures measured during the two 
tests which bound (i.e., one is above and one is below) the standardized 
temperature. If the compartment temperatures measured during these two 
tests bound the standardized temperature, then these test results shall 
be used to determine energy consumption. If the compartment temperature 
measured with all controls set at their coldest setting is above the 
standardized temperature, a third test shall be performed with all 
controls set at their warmest setting and the result of this test shall 
be used with the result of the test performed with all controls set at 
their coldest setting to determine energy consumption. If the 
compartment temperature measured with all controls set at their warmest 
setting is below the standardized temperature; then the result of this 
test alone will be used to determine energy consumption.
    3.2.2  Alternatively, a first test may be performed with all 
temperature controls set at their warmest setting. If the compartment 
temperature is below the standardized temperature, then the result of 
this test alone will be used to determine energy consumption. If the 
above condition is not met, then the unit shall be tested in accordance 
with 3.2.1 above.
    3.2.3  Alternatively, a first test may be performed with all 
temperature controls set at their coldest setting. If the compartment 
temperature is above the standardized temperature, a second test shall 
be performed with all controls set at their warmest setting and the 
results of these two tests shall be used to determine energy 
consumption. If the above condition is not met, then the unit shall be 
tested in accordance with 3.2.1 above.
    3.3 Variable defrost control optional test. After a steady-state 
condition is achieved, the door-opening sequence is initiated with an 
182 second freezer door-opening occurring every eight hours 
to obtain three door-openings per 24-hour period. The first freezer 
door-opening shall occur at the initiation of the test period. The 
door(s) are to be opened 60 to 90 deg. with an average velocity for the 
leading edge of the door of approximately two feet per second. Prior to 
the initiation of the door-opening sequence, the freezer defrost control 
mechanism may be re-initiated in order to minimize the test duration.

                             4. Test Period.

    4.1  Test Period. Tests shall be performed by establishing the 
conditions set forth in Section 2 and using control settings as set 
forth in Section 3 above.
    4.1.1  Nonautomatic Defrost. If the model being tested has no 
automatic defrost system, the test time period shall start after steady 
state conditions have been achieved, and be of not less than three 
hours' duration. During the test period the compressor motor shall 
complete two or more whole cycles (a compressor cycle is a complete 
``on'' and a complete ``off'' period of the motor). If no ``off'' 
cycling will occur, as determined during the stabilization period, the 
test period shall be three hours. If incomplete cycling (less than two 
compressor cycles) occurs during a 24 hour period, the results of the 24 
hour period shall be used.
    4.1.2  Automatic Defrost. If the model being tested has an automatic 
defrost system, the test time period shall start after steady state 
conditions have been achieved and be from one point during a defrost 
period to the same point during the next defrost period. If the model 
being tested has a long-time automatic defrost system, the alternate 
provisions of 4.1.2.1 may be used. If the model

[[Page 130]]

being tested has a variable defrost control the provisions of 4.1.2.2. 
shall apply.
    4.1.2.1  Long-time Automatic Defrost. If the model being tested has 
a long-time automatic defrost system, the test time period may consist 
of two parts. A first part would be the same as the test for a unit 
having no defrost provisions (section 4.1.1). The second part would 
start when a defrost period is initiated during a compressor ``on'' 
cycle and terminate at the second turn ``on'' of the compressor motor or 
after four hours, whichever comes first.
    4.1.2.2 Variable defrost control. If the model being tested has a 
variable defrost control system, the test shall consist of three parts. 
Two parts shall be the same as the test for long-time automatic defrost 
in accordance with section 4.1.2.1 above. The third part is the optional 
test to determine the time between defrosts (5.2.1.3). The third part is 
used by manufacturers that choose not to accept the default value of F 
of 0.20, to calculate CT.
    4.1.2.3 Variable defrost control optional test. After steady-state 
conditions with no door-openings are achieved in accordance with section 
3.3 above, the test is continued using the above daily door-opening 
sequence until stabilized operation is achieved. Stabilization is 
defined as a minimum of three consecutive defrost cycles with times 
between defrost that will allow the calculation of a Mean Time Between 
Defrosts (MTBD1) that satisfies the statistical relationship of 90 
percent confidence. The test is repeated on at least one more unit of 
the model and until the Mean Time Between Defrosts for the multiple unit 
test (MTBD2) satisfies the statistical relationship. If the time between 
defrosts is greater than 96 hours (compressor ``on'' time) and this 
defrost period can be repeated on a second unit, the test may be 
terminated at 96 hours (CT) and the absolute time value used for MTBD 
for each unit.

                          5. Test Measurements.

    5.1  Temperature Measurements. Temperature measurements shall be 
made at the locations prescribed in Figure 7-2 of HRF-1-1979 and shall 
be accurate to within 0.5 deg. F. (0.3 deg. C.) of true 
value.
    5.1.1  Measured Temperature. The measured temperature is to be the 
average of all sensor temperature readings taken at a particular time. 
Measurements shall be taken at regular intervals not to exceed four 
minutes.
    5.1.2  Compartment Temperature. The compartment temperature for each 
test period shall be an average of the measured temperatures taken 
during a complete cycle or several complete cycles of the compressor 
motor (one compressor cycle is one complete motor ``on'' and one 
complete motor ``off'' period). For long-time automatic defrost models, 
compartment temperature shall be that measured in the first part of the 
test period specified in 4.1.1. For models equipped with variable 
defrost controls, compartment temperatures shall be those measured in 
the first part of the test period specified in 4.1.2.2.
    5.1.2.1  The number of complete compressor motor cycles over which 
the measured temperatures in a compartment are to be averaged to 
determine compartment temperature shall be equal to the number of 
minutes between measured temperature readings rounded up to the next 
whole minute or a number of complete cycles over a time period exceeding 
one hour. One of the cycles shall be the last complete compressor motor 
cycles during the test period.
    5.1.2.2  If no compressor motor cycling occurs, the compartment 
temperature shall be the average of the measured temperatures taken 
during the last thirty-two minutes of the test period.
    5.1.2.3  If incomplete cycling occurs (less than one cycle) the 
compartment temperature shall be the average of all readings taken 
during the last three hours of the last complete ``on'' period.
    5.2  Energy Measurements:
    5.2.1  Per-day Energy Consumption. The energy consumption in 
kilowatt-hours per day for each test period shall be the energy expended 
during the test period as specified in section 4.1 adjusted to a 24 hour 
period.
    The adjustment shall be determined as follows:
    5.2.1.1  Nonautomatic and automatic defrost models. The energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=(EP x 1440 x K)/T where
ET=test cycle energy expended in kilowatt-hours per day,
EP=energy expended in kilowatt-hours during the test period.
T=length of time of the test period in minutes,
1440=conversion factor to adjust to a 24 hour period in minutes per day, 
          and
K=correction factor of 0.7 for chest freezers and 0.85 for upright 
          freezers to adjust for average household usage, dimensionless.

    5.2.1.2  Long-time Automatic Defrost. If the two part test method is 
used, the energy consumption in kilowatt-hours per day shall be 
calculated equivalent to:

ET=(1440 x K x EP1/T1) + ((EP2-(EP1 x T2/T1)) x K x 12/CT)
where
ET, 1440, and K are defined in 5.2.1.1
EP1=energy expended in kilowatt-hours during the first part of the test.
EP2=energy expended in kilowatt-hours during the second part of the 
          test,
CT=Defrost timer run time in hours required to cause it to go through a 
          complete cycle, to the nearest tenth hour per cycle,

[[Page 131]]

12=conversion factor to adjust for a 50% run time of the compressor in 
          hours per day, and
T1 and T2=length of time in minutes of the first and second test parts 
          respectively.

    5.2.1.3 Variable defrost control. The energy consumption in 
kilowatt-hours per day shall be calculated equivalent to:

ET=(1440 x EP1/T1) + (EP2 - (EP1 x T2/T1) x (12/CT) where 1440 is 
          defined in 5.2.1.1 and EP1, EP2, T1, T2 and 12 are defined in 
          5.2.1.2.
CT=(CTL x CTM)/(Fx (CTM - 
          CTL) + CTL)
where:

CTL=least or shortest time between defrost in tenths of an 
          hour (greater than or equal to 6 hours but less than or equal 
          to 12 hours, 6  L  12)
CTM=maximum time between defrost cycles in tenths of an hour 
          (greater than CTL but not more than 96 hours, 
          CTL  CTM  96)
F=ratio of per day energy consumption in excess of the least energy and 
          the maximum difference in per day energy consumption and is 
          equal to
F=(1/CT - 1/CTM)/(1/CTL - 1/CTM) = (ET 
          - ETL)/(ETM - ETL) or 0.20 in 
          lieu of testing to find CT
ETL=least electrical energy consumed, in kilowatt hours
ETM=maximum electrical energy consumed, in kilowatt hours

    For demand defrost models with no values for CTL and 
CTM in the algorithm the default values of 12 and 84 shall be 
used, respectively.
    5.2.1.4 Variable defrost control optional test. Perform the optional 
test for variable defrost control models to find CT.
CT=MTBD x 0.5
MTBD=mean time between defrost

                                                                        
                                                       X       
          MTBD                     =         ---------------------------
                                                           N            
                                                                        


X=time between defrost cycles
N=number of defrost cycles
    5.3  Volume measurements. The total refrigerated volume, VT, shall 
be measured in accordance with HRF-1-1979, section 3.20 and section 5.1 
through 5.3.

        6. Calculation of Derived Results From Test Measurements.

    6.1  Adjusted Total Volume. The adjusted total volume, VA, for 
freezers under test shall be defined as:

VA=VT x CF
where
VA=adjusted total volume in cubic feet,
VT=total refrigerated volume in cubic feet, and
CF=Correction factor of 1.73, dimensionless.

    6.2  Average Per Cycle Energy Consumption:
    6.2.1  The average per-cycle energy consumption for a cycle type is 
expressed in kilowatt-hours per cycle to the nearest one hundredth 
(0.01) kilowatt-hour and shall depend upon the compartment temperature 
attainable as shown below.
    6.2.1.1  If the compartment temperature is always below 0.0 deg. F. 
(-17.8 deg. C.), the average per-cycle energy consumption shall be 
equivalent to:

E=ET1
where
E=Total per-cycle energy consumption in kilowatt-hours per day.
ET is defined in 5.2.1, and
Number 1 indicates the test period during which the highest compartment 
          temperature is measured.

    6.2.1.2  If one of the compartment temperatures measured for a test 
period is greater than 0.0 deg. F. (17.8 deg. C.), the average per-cycle 
energy consumption shall be equivalent to:

E=ET1+((ET2-ET1) x (0.0-TF1)/(TF2-TF1))
where
E is defined in 6.2.1.1
ET is defined in 5.2.1
TF=compartment temperature determined according to 5.1.2 in degrees F.
Numbers 1 and 2 indicate measurements taken during the first and second 
          test period as appropriate, and
0.0=Standardized compartment temperature in degrees F.

[47 FR 34528, Aug. 10, 1982; 48 FR 13013, Mar. 29, 1983, as amended at 
54 FR 36241, Aug. 31, 1989; 54 FR 38788, Sept. 20, 1989]

 Appendix C to Subpart B of Part 430--Uniform Test Method for Measuring 
                  the Energy Consumption of Dishwashers

    1. Definitions: 1.1 ``Cycle'' means a sequence of operations of a 
dishwasher which performs a complete dishwashing operation, and may 
include variations or combinations of the functions of washing, rinsing 
and drying.
    1.2 ``Cycle type'' means any complete sequence of operations capable 
of being preset on the dishwasher prior to the initiation of machine 
operation.
    1.3 ``Normal cycle'' means the cycle type recommended by the 
manufacturer for completely washing a full load of normally soiled 
dishes including the power-dry feature.
    1.4 ``Power-dry feature'' means that function in a cycle in which 
electrically generated heat is introduced into the washing chamber for 
the purpose of improving the drying performance of the dishwasher.
    1.5 ``Truncated normal cycle'' means the normal cycle interrupted to 
eliminate the

[[Page 132]]

power-dry feature after the termination of the last rinse operation.
    1.6 ``Water Heating Dishwasher'' means a dishwasher which is 
designed for hearing cold inlet water (nominal 50 deg. F) or a 
dishwasher for which the manufacturer recommends operation with a 
nominal inlet water temperature of 120  deg.F, and may operate at either 
of these inlet water temperatures by providing internal water heating to 
above 120  deg.F in at least one wash phase of the normal cycle.
    2. Testing conditions: 2.1  Installation. Install the dishwasher in 
accordance with the manufacturer's instruction, except that undercounter 
dishwashers need not be installed under a counter.
    2.2 Electrical supply.
    2.2.1 Dishwashers that operate with an electrical supply of 115 
volts. Maintain the electrical supply to the dishwasher within two 
percent of 115 volts and within one percent of the nameplate frequency 
as specified by the manufacturer.
    2.2.2 Dishwashers that operate with an electricial supply of 240 
volts. Maintain the electrical supply to the dishwasher within two 
percent of 240 volts and within one percent of its nameplate frequency 
as specified by the manufacturer.
    2.3 Water temperature.
    2.3.1 Dishwashers to be tested at a nominal 140 deg.F inlet water 
temperature. Maintain the water supply temperature between 135 deg.F and 
145 deg.F.
    2.3.2 Dishwashers to be tested at a nominal 120 deg.F inlet water 
temperature. Maintain the water supply temperature between 118 deg.F and 
122 deg.F.
    2.3.3 Dishwashers to be tested at a nominal 50 deg.F inlet water 
temperature. Maintain the water supply temperature between 48 deg.F and 
52 deg. F.
    2.4 Water pressure. Maintain the pressure of the water supply 
between 32.5 and 37.5 pounds per square inch.
    2.5 Ambient and machine temperature. Maintain the room ambient air 
temperature between 70 deg.F and 85 deg.F, and assure that the 
dishwasher and the test load are at room ambient temperature at the 
start of each test cycle.
    2.6 Load.
    2.6.1 Dishwashers to be tested at a nominal 140 deg.F inlet water 
temperature. The dishwasher shall be tested on the normal cycle and the 
truncated normal cycle without a test load.
    2.6.2 Dishwashers to be tested at a nominal inlet water temperature 
of 50 deg.F or 120 deg.F. The dishwasher shall be tested or normal cycle 
and the truncated normal cycle with a test load of eight place settings 
plus six serving pieces as specified in section 6.1.1 of AHAM Standard 
DW-1. If the capacity of the dishwasher, as stated by the manufacturer, 
is less than eight place setting then the test load shall be that 
capacity.
    2.7 Testing requirements. Provisions in this Appendix pertaining to 
dishwashers which operate with a nominal inlet temperature of 50 deg. F 
or 120 deg. F shall apply only to water heating dishwashers.
    3. Test cycle and measurements.
    3.1 Test cycle. Perform a test cycle by establishing the testing 
conditions set forth in 2 of this Appendix, setting the dishwasher to 
the cycle type to be tested, initiating the cycle and allowing the cycle 
to proceed to completion.
    3.2  Machine electrical energy consumption.
    3.2.1  Dishwashers that operate with a nominal 140 deg.F inlet water 
temperature, only. Measure the machine electrical energy consumption, M, 
specified as the number of kilowatt-hours of electrical energy consumed 
during the entire test cycle using a water supply temperature as set 
forth in 2.3.1 of this Appendix. Use a kilowatt-hour meter having a 
resolution no larger than 0.001 kilowatt hours and a maximum error no 
greater than one percent.
    3.2.2 Dishwashers that operate with a nominal inlet water 
temperature of 120 deg.F. Measure the machine electrical energy 
consumption, M, specified as the number of kilowatt-hours of electrical 
energy consumed during the entire test cycle using a water supply 
temperature as set forth in 2.3.2 of this Appendix. Use a kilowatt-hour 
meter having a resolution no larger than 0.001 kilowatt-hours and a 
maximum error no greater than one percent.
    3.2.3 Dishwashers that operate with a nominal inlet water 
temperature of 50 deg.F. Measure the machine electrical energy 
consumption, M, specified as the number of kilowatt-hours of electrical 
energy consumed during the entire test cycle using a water supply 
temperature as set forth in 2.3.3 of this appendix. Use a kilowatt-hour 
meter having a resolution no longer than 0.001 kilowatt-hours and a 
maximum error no greater than one percent.
    3.3 Water consumption. Measure the water consumption specified as 
the number of gallons delivered to the dishwasher during the entire test 
cycle, using a water meter having a resolution no larger than 0.1 gallon 
and a maximum error no greater than 1.5 percent for all water flow rates 
from one to five gallons per minute and for all water temperatures 
encountered in the test cycle.
    3.4 Report values. State the reported values of machine electrical 
energy consumption and water consumption as measured.
    4. Calculation of derived results from test measurements: 4.1 Per-
cycle water energy consumption using electrically heated water.
    4.1.1 Dishwashers that operate with a nominal 140 deg.F inlet water 
temperature, only. Calculate for the cycle type under test the per-cycle 
water energy consumption using electrically heated water, We, expressed 
in kilowatt-hours per cycle and defined as:

We=V x T x K,


[[Page 133]]


where
V=reported water consumption in gallons per cycle for the cycle type 
          under test.
T=nominal water heater temperature rise=90 deg.F.
K=specific heat of water in kilowatt-hours per gallon per degree 
          Fahrenheit=0.00240.

    4.1.2 Dishwashers that operate with a nominal inlet water 
temperature of 120 deg.F. Calculate for the cycle type under test the 
per cycle water energy consumption using electrically heated water, We, 
expressed in kilowatt-hours per cycle and defined as:

We=V x T' x K

where
V and K are defined in 4.1.1 of this Appendix and T'=nominal water 
          heated temperature rise=70 deg.F.

    4.2 Per cycle water energy consumption using gas-heated or oil-
heated water.
    4.2.1 Dishwashers that operate with a nominal 140 deg.F inlet water 
temperature, only. Calculate for the cycle type under test the per cycle 
water energy consumption using gas-heated or oil-heated water, We, 
expressed in Btu's per cycle and defined as:

Wg=V x T x C/e.

where
V and T are defined in 4.1.1 of this Appendix, and
C=specific heat of water in Btu's per gallon per degree fahrenheit=8.20
e=nominal gas or oil water heater recovery efficiency=0.75.

    4.2.2 Dishwashers that operate with a nominal inlet water 
temperature of 120 deg.F. Calculate for the cycle type under test the 
per cycle water energy consumption using gas-heated or oil-heated water, 
Wg, expressed in Btu's per cycle and defined as:

Wg=V  x  T'  x  C/e

where
V and T' are defined in 4.1.2 of this Appendix, and C and e are defined 
          in 4.2.1 of this Appendix.

    4.3  Per-cycle machine electrical energy consumption.
    4.3.1  Dishwashers that operate with a nominal 140 deg.F inlet water 
temperature, only. Use the measured value recorded in 3.2.1 as the per-
cycle machine electrical energy consumption, M, expressed in kilowatt-
hours per cycle.
    4.3.2  Dishwashers that operate with a nominal inlet water 
temperature of 120 deg.F. Use the measured value recorded in 3.2.2 as 
the per-cycle machine electrical energy consumption, M, expressed in 
kilowatt-hours per cycle.
    4.3.3 Dishwashers that operate with a nominal inlet water 
temperature of 50 deg.F. Use the measured value recorded at 3.2.3 as the 
per-cycle machine electrical consumption, M, expressed in kilowatt-hours 
per-cycle.
    4.4  Total per-cycle energy consumption. Calculate for the cycle 
type under test the total per-cycle energy consumption, E, expressed in 
kilowatt-hours per cycle, and defined as the sum of the per-cycle 
machine electrical energy consumption, M, plus the per-cycle water 
energy consumption of electrically-heated water, W, calculated for the 
cycle type, determined according to 4.3 and 4.1 respectively.

[48 FR 9206, Mar. 3, 1983, as amended at 49 FR 46536, Nov. 27, 1984; 49 
FR 47479, Dec. 5, 1984; 52 FR 47551, Dec. 15, 1987]

 Appendix D to Subpart B of Part 430--Uniform Test Method for Measuring 
                the Energy Consumption of Clothes Dryers

                             1. definitions

    1.1  ``AHAM'' means the Association of Home Appliance Manufacturers.
    1.2  ``Bone dry'' means a condition of a load of test clothes which 
has been dried in a dryer at maximum temperature for a minimum of 10 
minutes, removed and weighed before cool down, and then dried again for 
10-minute periods until the final weight change of the load is 1 percent 
or less.
    1.3  ``Compact'' or compact size'' means a clothes dryer with a drum 
capacity of less than 4.4 cubic feet.
    1.4  ``Cool down'' means that portion of the clothes drying cycle 
when the added gas or electric heat is terminated and the clothes 
continue to tumble and dry within the drum.
    1.5  ``Cycle'' means a sequence of operation of a clothes dryer 
which performs a clothes drying operation, and may include variations or 
combinations of the functions of heating, tumbling and drying.
    1.6  ``Drum capacity'' means the volume of the drying drum in cubic 
feet.
    1.7  ``HLD-1'' means the test standard promulgated by AHAM and 
titled ``AHAM Performance Evaluation Procedure for Household Tumble Type 
Clothes Dryers'', June 1974, and designated as HLD-1.
    1.8  ``HLD-2EC'' means the test standard promulgated by AHAM and 
titled ``Test Method for Measuring Energy Consumption of Household 
Tumble Type Clothes Dryers,'' December 1975, and designated as HLD-2EC.
    1.9  ``Standard size'' means a clothes dryer with a drum capacity of 
4.4 cubic feet or greater.
    1.10  ``Moisture content'' means the ratio of the weight of water 
contained by the test load to the bone-dry weight of the test load, 
expressed as a percent.
    1.11  ``Automatic termination control'' means a dryer control system 
with a sensor which monitors either the dryer load temperature or its 
moisture content and with a

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controller which automatically terminates the drying process. A mark or 
detent which indicates a preferred automatic termination control setting 
must be present if the dryer is to be classified as having an 
``automatic termination control.'' A mark is a visible single control 
setting on one or more dryer controls.
    1.12  ``Temperature sensing control'' means a system which monitors 
dryer exhaust air temperature and automatically terminates the dryer 
cycle.
    1.13  ``Moisture sensing control'' means a system which utilizes a 
moisture sensing element within the dryer drum that monitors the amount 
of moisture in the clothes and automatically terminates the dryer cycle.

                          2. testing conditions

    2.1  Installation. Install the clothes dryer in accordance with 
manufacturer's instructions. The dryer exhaust shall be restricted by 
adding the AHAM exhaust simulator described in 3.3.5 of HLD-1. All 
external joints should be taped to avoid air leakage. Disconnect all 
console light or other lighting systems on the clothes dryer which do 
not consume more than 10 watts during the clothes dryer test cycle.
    2.2  Ambient temperature and humidity. Maintain the room ambient air 
temperature at 75 plus-minus3 deg. F and the room relative 
humidity at 50plus-minus10 percent relative humidity.
    2.3  Energy supply.
    2.3.1  Electrical supply. Maintain the electrical supply at the 
clothes dryer terminal block within 1 percent of 120/240 or 120/208Y or 
120 volts as applicable to the particular terminal block wiring system 
and within 1 percent of the nameplate frequency as specified by the 
manufacturer. If the dryer has a dual voltage conversion capability, 
conduct test at the highest voltage specified by the manufacturer.
    2.3.2  Gas supply.
    2.3.2.1  Natural gas. Maintains the gas supply to the clothes dryer 
at a normal inlet test pressure immediately ahead of all controls at 7 
to 10 inches of water column. If the clothes dryer is equipped with a 
gas appliance pressure regulator, the regulator outlet pressure at the 
normal test pressure shall be approximately that recommended by the 
manufacturer. The hourly Btu rating of the burner shall be maintained 
within plus-minus5 percent of the rating specified by the 
manufacturer. The natural gas supplied should have a heating value of 
approximately 1,025 Btu's per standard cubic foot. The actual heating 
value, Hn2, in Btu's per standard cubic foot, for the natural 
gas to be used in the test shall be obtained either from measurements 
made by the manufacturer conducting the test using a standard continuous 
flow calorimeter as described in 2.4.6 or by the purchase of bottled 
natural gas whose Btu rating is certified to be at least as accurate a 
rating as could be obtained from measurements with a standard continuous 
flow calorimeter as described in 2.4.6.
    2.3.2.2  Propane gas. Maintain the gas supply to the clothes dryer 
at a normal inlet test pressure immediately ahead of all controls at 11 
to 13 inches of water column. If the clothes dryer is equipped with a 
gas appliance pressure regulator, the regulator outlet pressure at the 
normal test pressure shall be approximately that recommended by the 
manufacturer. The hourly Btu rating of the burner shall be maintained 
within plus-minus5 percent of the rating specified by the 
manufacturer. The propane gas supplied should have a heating value of 
approximately 2,500 Btu's per standard cubic foot. The actual heating 
value, Hp, in Btu's per standard cubic foot, for the propane 
gas to be used in the test shall be obtained either from measurements 
made by the manufacturer conducting the test using a standard continuous 
flow calorimeter as described in 2.4.6 or by the purchase of bottled gas 
whose Btu rating is certified to be at least as accurate a rating as 
could be obtained from measurement with a standard continuous 
calorimeter as described in 2.4.6.
    2.4  Instrumentation. Perform all test measurements using the 
following instruments as appropriate.
    2.4.1  Weighing scale for test cloth. The scale shall have a range 
of 0 to a maximum of 30 pounds with a resolution of at least 0.2 ounces 
and a maximum error no greater than 0.3 percent of any measured value 
within the range of 3 to 15 pounds.
    2.4.1.2  Weighing scale for drum capacity measurements. The scale 
should have a range of 0 to a maximum of 500 pounds with resolution of 
0.50 pounds and a maximum error no greater than 0.5 percent of the 
measured value.
    2.4.2  Kilowatt-hour meter. The kilowatt-hour meter shall have a 
resolution of 0.001 kilowatt-hours and a maximum error no greater than 
0.5 percent of the measured value.
    2.4.3  Gas meter. The gas meter shall have a resolution of 0.001 
cubic feet and a maximum error no greater than 0.5 percent of the 
measured value.
    2.4.4  Dry and wet bulb psychrometer. The dry and wet bulb 
psychrometer shall have an error no greater than 
plus-minus1 deg.F.
    2.4.5  Temperature. The temperature sensor shall have an error no 
greater than plus-minus1 deg.F.
    2.4.6  Standard Continuous Flow Calorimeter. The Calorimeter shall 
have an operating range of 750 to 3,500 Btu per cubic feet. The maximum 
error of the basic calorimeter shall be no greater than 0.2 percent of 
the actual heating value of the gas used in the test. The indicator 
readout shall have a maximum error no greater than 0.5 percent of the 
measured value within the operating range and a resolution of 0.2 
percent of the

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full scale reading of the indicator instrument.
    2.5  Lint trap. Clean the lint trap thoroughly before each test run.
    2.6  Test cloths.
    2.6.1  Energy test cloth. The energy test cloth shall be clean and 
consist of the following:
    (a) Pure finished bleached cloth, made with a momie or granite 
weave, which is a blended fabric of 50 percent cotton and 50 percent 
polyester and weighs within +10 percent of 5.75 ounces per square yard 
after test cloth preconditioning and has 65 ends on the warp and 57 
picks on the fill. The individual warp and fill yarns are a blend of 50 
percent cotton and 50 percent polyester fibers.
    (b) Cloth material that is 24 inches by 36 inches and has been 
hemmed to 22 inches by 34 inches before washing. The maximum shrinkage 
after five washes shall not be more than four percent on the length and 
width.
    (c) The number of test runs on the same energy test cloth shall not 
exceed 25 runs.
    2.6.2  Energy stuffer cloths. The energy stuffer cloths shall be 
made from energy test cloth material and shall consist of pieces of 
material that are 12 inches by 12 inches and have been hemmed to 10 
inches by 10 inches before washing. The maximum shrinkage after five 
washes shall not be more than four percent on the length and width. The 
number of test runs on the same energy stuffer cloth shall not exceed 25 
runs after test cloth preconditioning.
    2.6.3  Test Cloth Preconditioning.
    A new test cloth load and energy stuffer cloths shall be treated as 
follows:
    (1) Bone dry the load to a weight change of plus-minus1 
percent, or less, as prescribed in Section 1.2.
    (2) Place test cloth load in a standard clothes washer set at the 
maximum water fill level. Wash the load for 10 minutes in soft water (17 
parts per million hardness or less), using 6.0 grams of AHAM Standard 
Test Detergent, IIA, per gallon of water. Wash water temperature is to 
controlled at 140 deg.plus-minus5 deg.F 
(60 deg.plus-minus2.7 deg.C). Rinse water temperature is to 
be controlled at 100 deg.plus-minus5 deg.F 
(37.7plus-minus2.7 deg.C).
    (3) Rinse the load again at the same water temperature.
    (4) Bone dry the load as prescribed in Section 1.2 and weigh the 
load.
    (5) This procedure is repeated until there is a weight change of one 
percent or less.
    (6) A final cycle is to be a hot water wash with no detergent, 
followed by two warm water rinses.
    2.7  Test loads.
    2.7.1  Compact size dryer load. Prepare a bone-dry test load of 
energy cloths which weighs 3.00 pounds plus-minus.03 pounds. 
Adjustments to the test load to achieve the proper weight can be made by 
the use of energy stuffer cloths, with no more than five stuffer cloths 
per load. Dampen the load by agitating it in water whose temperature is 
100 deg.plus-minus5 deg. F and consists of 0 to 17 parts per 
million hardness for approximately two minutes in order to saturate the 
fabric. Then, extract water from the wet test load by spinning the load 
until the moisture content of the load is between 66.5 percent to 73.5 
percent of the bone-dry weight of the test load.
    2.7.2  Standard size dryer load. Prepare a bone-dry test load of 
energy cloths which weighs 7.00 pounds plus-minus.07 pounds. 
Adjustments to the test load to achieve the proper weight can be made by 
the use of energy stuffer cloths, with no more than five stuffer cloths 
per load. Dampen the load by agitating it in water whose temperature is 
100 deg.plus-minus5 deg.F and consists of 0 to 17 parts per 
million hardness for approximately two minutes in order to saturate the 
fabric. Then, extract water from the wet test load by spinning the load 
until the moisture content of the load is between 66.5 percent to 73.5 
percent of the bone-dry weight of the test load.
    2.7.3  Method of loading. Load the energy test cloths by grasping 
them in the center, shaking them to hang loosely and then dropping them 
in the dryer at random.
    2.8  Clothes dryer preconditioning. Before any test cycle, operate 
the dryer without a test load in the non-heat mode for 15 minutes or 
until the discharge air temperature is varying less than 1 deg.F for 10 
minutes, which ever is longer, in the test installation location with 
the ambient conditions within the specified rest condition tolerances of 
2.2.

                   3. test procedures and measurements

    3.1  Drum capacity. Measure the drum capacity by sealing all 
openings in the drum except the loading port with a plastic bag, and 
ensure that all corners and depressions are filled and that there are no 
extrusions of the plastic bag through the opening in the drum. Support 
the dryer's rear drum surface on a platform scale to prevent deflection 
of the dryer, and record the weight of the empty dryer. Fill the drum 
with water to a level determined by the intersection of the door plane 
and the loading port. Record the temperature of the water and then the 
weight of the dryer with the added water and then determine the mass of 
the water in pounds. Add or subtract the appropriate volume depending on 
whether or not the plastic bag protrudes into the drum interior. The 
drum capacity is calculated as follows:

C=w/d
    C=capacity in cubic feet.
    w=weight of water in pounds.
    d=density of water at the measured temperature in pounds per cubic 
feet.

    3.2  Dryer loading. Load the dryer as specified in 2.7.
    3.3  Test cycle. Operate the clothes dryer at the maximum 
temperature setting and, if equipped with a timer, at the maximum time

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setting and dry the test load until the moisture content of the test 
load is between 2.5 percent to 5.0 percent of the bone-dry weight of the 
test load, but do not permit the dryer to advance into cool down. If 
required, reset the timer or automatic dry control.
    3.4  Data recording. Record for each test cycle:
    3.4.1  Bone-dry weight of the test load described in 2.7.
    3.4.2  Moisture content of the wet test load before the test, as 
described in 2.7.
    3.4.3  Moisture content of the dry test load obtained after the test 
described in 3.3.
    3.4.4  Test room conditions, temperature and percent relative 
humidity described in 2.2.
    3.4.5  For electric dryers--the total kilowatt-hours of electric 
energy, Et, consumed during the test described in 3.3.
    3.4.6  For gas dryers:
    3.4.6.1  Total kilowatt-hours of electrical energy, Ete, 
consumed during the test described in 3.3.
    3.4.6.2  Cubic feet of gas per cycle, Etg, consumed 
during the test described in 3.3.
    3.4.6.3  On gas dryers using a continuously burning pilot light--the 
cubic feet of gas, Epg, consumed by the gas pilot light in 
one hour.
    3.4.6.4  Correct the gas heating value, GEF, as measured in 2.3.2.1 
and 2.3.2.2, to standard pressure and temperature conditions in 
accordance with U.S. Bureau of Standards, circular C417, 1938. A sample 
calculation is illustrated in Appendix E of HLD-1.
    3.5  Test for automatic termination field use factor credits. Credit 
for automatic termination can be claimed for those dryers which meet the 
requirements for either temperature-sensing control, 1.12, or moisture 
sensing control, 1.13, and having present the appropriate mark or detent 
feed defined in 1.11.

        4. calculation of derived results from test measurements

    4.1  Total per-cycle electric dryer energy consumption. Calculate 
the total electric dryer energy consumption per cycle, Ece 
expressed in kilowatt-hours per cycle and defined as:

Ece=[66/Ww-Wd)] x Ett x FU
    Et=the energy recorded in 3.4.5.
    66=an experimentally established value for the percent reduction in 
the moisture content of the test load during a laboratory test cycle 
expressed as a percent.
    FU=Field use factor.
      =1.18 for time termination control systems.
      =1.04 for automatic control systems which meet the requirements of 
the definitions for automatic termination controls in 1.11.1, 1.12 and 
1.13.
    Ww=the moisture content of the wet test load as recorded 
in 3.4.2.
    Wd=the moisture content of the dry test load as recorded 
in 3.4.3.

    4.2  Per-cycle gas dryer electrical energy consumption. Calculate 
the gas dryer electrical energy consumption per cycle, Ege,
!expressed in kilowatt-hours per cycle and defined as:

Ege=[66/(Ww-Wd)] x Ete x FU
    Ete=the energy recorded in 3.4.6.1

FU, 66, Ww,!Wd!as defined in 4.1
    4.3  Per-cycle gas dryer gas energy consumption. Calculate the gas 
dryer gas energy consumption per cycle, Ege.!expressed in 
Btu's per cycle as defined as:

Egg=[66/
          (Ww-Wd)] x Etg x FU x GEF
    Etg=the energy recorded in 3.4.6.2
    GEF=corrected gas heat value (Btu per cubic feet) as defined in 
3.4.6.4
    FU, 66, Ww!Wd!as defined in 4.1

    4.4  Per-cycle gas dryer continuously burning pilot light gas energy 
consumption. Calculate the gas dryer continuously burning pilot light 
gas energy consumption per cycle, Eup!expressed in Btu's per 
cycle and defined as:

Eup=Epg x (8760-140/416) x GEF
    Epg=the energy recorded in 3.4.6.3
    8760=number of hours in a year
    416=representative average number of clothes dryer cycles in a year
    140=estimated number of hours that the continuously burning pilot 
light is on during the operation of the clothes dryer for the 
representative average use cycle for clothes dryers (416 cycles per 
year)
    GEF as defined in 4.3

    4.5  Total per-cycle gas dryer gas energy consumption expressed in 
Btu's. Calculate the total gas dryer energy consumption per cycle, 
Eg,!expressed in Btu's per cycle and defined as:

Eg=Egg+Eup
    Egg!as defined in 4.3
    Eup!as defined in 4.4

    4.6  Total per-cycle gas dryer energy consumption expressed in 
kilowatt-hours. Calculate the total gas dryer energy consumption per 
cycle, Ecg, expressed in kilowatt-hours per cycle and defined 
as:

Ecg=Ege+(Eg/3412 Btu/k Wh)
    Ege!as defined in 4.2
    Eg!as defined in 4.5

[46 FR 27326, May 19, 1981]

 Appendix E to Subpart B of Part 430--Uniform Test Method for Measuring 
                 the Energy Consumption of Water Heaters

                             1. Definitions

    1.1. Cut-in means the time or water temperature when a water heater 
thermostat has acted to increase the energy or fuel input to the heating 
elements, compressor, or burner.

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    1.2. Cut-out means the time or water temperature when a water heater 
thermostat has acted to reduce to a minimum the energy or fuel input to 
the heating elements, compressor, or burners.
    1.3. Design Power Rating means the nominal power rating that a water 
heater manufacturer assigns to a particular design of water heater, 
expressed in kilowatts or Btu per hour as appropriate.
    1.4. Energy Factor means a measure of water heater overall 
efficiency.
    1.5. First Hour Rating means the amount of hot water the water 
heater can supply in one hour of operation.
    1.6. Heat Trap means a device which can be integrally connected, or 
independently attached, to the hot and/or cold water pipe connections of 
a water heater such that the device will develop a thermal or mechanical 
seal to minimize the recirculation of water due to thermal convection 
between the water heater tank and its connecting pipes.
    1.7. Recovery Efficiency means the ratio of energy delivered to the 
water to the energy content of the fuel consumed by the water heater.
    1.8. Standby means the time during which water is not being 
withdrawn from the water heater. There are two standby time intervals 
used within this test procedure: stby,1 represents 
the elapsed time between the time at which the maximum mean tank 
temperature is observed after the sixth draw and the end of the 24 hour 
test; stby,2 represents the total time during the 24 
hour simulated use test when water was not being withdrawn from the 
water heater.
    1.9. Gas fueled storage water heater means a water heater which 
utilizes gas as the energy source and which is designed to heat and 
store water at a thermostatically controlled temperature of less than 
180  deg.F with an input of 75,000 Btu per hour or less and a 
manufacturers specified storage capacity of not less than 20 gallons nor 
more than 100 gallons.
    1.10 Electric storage water heater means a water heater which 
utilizes electricity as the energy source and which is designed to heat 
and store water at a thermostatically controlled temperature of less 
than 180  deg.F with an input of 12 kilowatts or less and a 
manufacturers specified storage capacity of not less than 20 gallons nor 
more than 120 gallons.
    1.11 Oil storage water heater means a water heater which utilizes 
oil as the energy source and which is designed to heat and store water 
at a thermostatically controlled temperature of less than 180  deg.F 
with an energy input of 105,000 Btu per hour or less, and which has a 
manufacturers specified storage capacity of 50 gallons or less.
    1.12 Gas fueled instantaneous water heater means a water heater 
which utilizes gas as the energy source controlled manually or 
automatically by a water flow activated control or a combination of 
water flow and thermostatic control, which is designed to deliver water 
at a controlled temperature of less than 180  deg.F, and which has an 
input greater than 50,000 Btu per hour and less than 200,000 Btu per 
hour, and a manufacturers specified storage capacity of less than 2 
gallons.
    1.13 Heat pump water heater means a water heater which utilizes 
electricity as the energy source with a maximum current rating of 24 
amperes at a voltage no greater than 250 volts, and which is designed to 
transfer thermal energy from one temperature level to a higher 
temperature level for the purpose of heating water, including all 
auxiliary equipment such as fans, storage tanks, pumps, or controls 
necessary for the device to perform its function.
    1.14 ASHRAE Standard 41.1-86 means the standard published in 1986 by 
the American Society of Heating, Refrigerating and Air-Conditioning 
Engineers, Inc. and titled Standard Measurement Guide: Section on 
Temperature Measurements.
    1.15. ASTM-D-2156-80 means the test standard published in 1980 by 
the American Society of Testing and Measurements and titled Method for 
Smoke Density in Flue Gases from Burning Distillate Fuels.
    1.16. ``Rated Storage Volume'' means the water storage capacity of a 
water heater, in gallons, as specified by the manufacturer.

                           2. Test Conditions

    2.1. Installation Requirements. Tests shall be performed with the 
water heater and instrumentation installed in accordance with section 4.
    2.2. Ambient Air Temperature. The ambient air temperature, shall be 
controlled to a value between 65.0  deg.F and 70.0  deg.F on a 
continuous basis. For heat pump water heaters maintain the dry bulb 
temperature at 67.5  1  deg.F. Additionally, for heat pump 
water heaters the relative humidity shall be maintained between 49 and 
51 percent.
    2.3. Supply Water Temperature. The temperature of the water being 
supplied to the water heater shall be maintained at 58  2 
deg.F throughout the test.
    2.4. Storage Tank Temperature. The average temperature of the water 
within the storage tank shall be set to 135  5  deg.F.
    2.5. Supply Water Pressure. During the test when water is not being 
withdrawn, the supply pressure shall be maintained between 40 psig and 
the maximum allowable pressure specified by the water heater 
manufacturer.
    2.6. Electrical and/or Fossil Fuel Supply.
    2.6.1. Electrical. Maintain the electrical supply voltage to within 
 1 percent of the center of the voltage range specified by 
the water heater and/or heat pump manufacturer.

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    2.6.2. Natural Gas. Maintain the supply pressure in accordance with 
the manufacturer's specifications. If the supply pressure is not 
specified, maintain a supply pressure of 7 to 10 inches of water column. 
If the water heater is equipped with a gas appliance pressure regulator, 
the regulator outlet pressure shall be within  10% of the 
manufacturer's specified manifold pressure. Use natural gas with a 
higher heating value of approximately 1,025 Btu per standard cubic foot.
    2.6.3. Propane Gas. Maintain the supply pressure in accordance with 
the manufacturer's specifications. If the supply pressure is not 
specified, maintain a supply pressure of 11 to 13 inches of water 
column. If the water heater is equipped with a gas appliance pressure 
regulator, the regulator outlet pressure shall be within  
10% of the manufacturer's specified manifold pressure. Use propane gas 
with a higher heating value of approximately 2,500 Btu per standard 
cubic foot.
    2.6.4. Fuel Oil Supply. Maintain an uninterrupted supply of fuel 
oil. Use fuel oil with a heating value of approximately 138,700 Btu per 
gallon.

                           3. Instrumentation

    3.1. Pressure Measurements. Pressure measuring instruments shall 
have an error no greater than the following values:

------------------------------------------------------------------------
                                      Instrument          Instrument    
          Item measured                accuracy            precision    
------------------------------------------------------------------------
Gas pressure....................  0.1     0.05  
                                   inch of water       inch of water    
                                   column.             column           
Atmospheric pressure............  0.1     0.05  
                                   inch of mercury     inch of mercury  
                                   column.             column           
Water pressure..................  1.0     0.50  
                                   pounds per square   pounds per square
                                   inch.               inch             
------------------------------------------------------------------------

                      3.2. Temperature Measurement

    3.2.1. Measurement. Temperature measurements shall be made in 
accordance with the Standard Measurement Guide: Section on Temperature 
Measurements, ASHRAE Standard 41.1-86.
    3.2.2. Accuracy and Precision. The accuracy and precision of the 
instruments, including their associated readout devices, shall be within 
the limits as follows:

------------------------------------------------------------------------
                                                 Instrument   Instrument
                 Item measured                    accuracy    precision 
------------------------------------------------------------------------
Air dry bulb temperature......................  0.2 deg.F  0.1 deg.F
Air wet bulb temperature......................  0.2 deg.F  0.1 deg.F
Inlet and outlet water temperatures...........  0.2 deg.F  0.1 deg.F
Storage tank temperatures.....................  0.5 deg.F  0.25 deg.F
------------------------------------------------------------------------

    3.2.3. Scale Division. In no case shall the smallest scale division 
of the instrument or instrument system exceed 2 times the specified 
precision.
    3.2.4. Temperature Difference. Temperature difference between the 
entering and leaving water may be measured with any of the following:
    a. A Thermopile
    b. Calibrated resistance thermometers
    c. Precision thermometers
    d. Calibrated thermistors
    e. Calibrated thermocouples
    f. Quartz thermometers
    3.2.5. Thermopile Construction. If a thermopile is used, it shall be 
made from calibrated thermocouple wire taken from a single spool. 
Extension wires to the recording device shall also be made from that 
same spool.
    3.2.6. Time Constant. The time constant of the instruments used to 
measure the inlet and outlet water temperatures shall be no greater than 
5 seconds.
    3.3 Liquid Flow Measurements. The accuracy of the liquid flow rate 
measurement, using the calibration if furnished, shall be equal to or 
less than  1% of the measured value in mass units per unit 
time.
    3.4. Electric Energy. The electrical energy used shall be measured 
with an instrument and associated readout device that are accurate 
within  1% of the reading.
    3.5. Fossil Fuels. The quantity of fuel used by the water heater 
shall be measured with an instrument and associated readout device that 
is accurate within  1% of the reading.
    3.6. Mass Measurements. Mass measurements shall be made measured 
with instruments that are accurate within  1% of the reading 
or 0.1 lbm, whichever is greater.
    3.7. Heating Value. The higher heating value of the natural gas, 
propane, or fuel oil shall be measured with an instrument and associated 
readout device that is accurate within  1% of the reading. 
The heating value of natural gas and propane must be corrected for local 
temperature and pressure conditions.
    3.8. Time. The elapsed time measurements shall be measured with an 
instrument that is accurate within  0.5 seconds per hour.

                             4. Installation

    4.1. Water Heating Mounting. A water heater designed to be free 
standing shall be installed according to the manufacturer's directions 
on a \3/4\ inch thick plywood platform supported by three 2  x  4 inch 
runners. If the water heater is not approved for installation on 
combustible flooring, suitable non-combustible material shall be placed 
between it and the platform. For heat pump water heaters without a 
storage tank supplied by the manufacturer, connections shall be made 
with a storage tank as described in section 4.9.3 and in accordance with 
manufacturer-published installation instructions. The storage tank and 
heat pump section shall be placed on platform(s) constructed as 
previously described. If installation materials are not provided by the 
heat pump manufacturer, use uninsulated 8 foot long connecting hoses, 
having an inside diameter of \5/8\ inch.

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Wall mounted water heaters shall be installed in accordance with 
manufacturer-published installation instructions on a simulated wall 
section made from \3/4\ inch plywood and 2  x  4 inch studs. Placement 
in the test room shall be in an area protected from drafts.
    4.2. Water Supply. The water supply shall be capable of delivering 
water at conditions as specified in section 2.
    4.3. Water Inlet and Outlet Configuration. Inlet and outlet piping 
connections shall be configured as illustrated in Figures 1, 2, or 3 
except a water heater 36 inches high or less, (commonly referred to as 
an under counter or table top model) intended for installation either 
beneath, adjacent to or in conjunction with a counter shall have the 
inlet and outlet connections configured as illustrated in Figures 4a and 
4b. Type ``L'' hard copper tubing, the same size as the connections on 
the water heater shall be connected to the tank and extend 24 inches in 
length. If a water heater 36 inches high or less is not factory equipped 
with pipe to extend the field connection point of the water heater lines 
to outside of the jacket or cabinet, type ``L'' hard copper tubing shall 
be used to extend the water line horizontally to the exterior of the 
jacket or cabinet. Unions may be utilized to facilitate installation and 
removal of the piping arrangements. A pressure gauge and diaphragm 
expansion tank shall be installed in the supply water piping at a 
location upstream of the 24 inch cold water inlet pipe. An appropriately 
rated pressure and temperature relief valve shall be installed on all 
water heaters at the port specified by the manufacturer. Discharge 
piping for the relief valve shall be non-metallic. If heat traps and/or 
piping insulation and/or pressure relief valve insulation are supplied 
with the water heater, then they shall be installed for testing. 
Clearance shall be provided such that none of the piping contacts other 
surfaces in the test room.

[[Page 140]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.000



[[Page 141]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.001



[[Page 142]]

    4.4. Fuel and/or Electrical Power and Energy Consumption. Install 
one or more instruments which measure, as appropriate, the quantity and 
rate of electrical energy and/or fossil fuel consumption in accordance 
with section 3.
    4.5. Internal Storage Tank Temperature Measurements. Install six 
temperature measurement sensors inside the water heater tank with a 
vertical distance of at least four inches between successive sensors. A 
temperature sensor shall be positioned at the vertical midpoint of each 
of the six equal volume nodes with the tank. Nodes designate the equal 
volumes used to evenly partition the total volume of the tank. As much 
as is possible, the temperature sensor should be positioned away from 
any heating elements, anodic protective devices, tank walls, and flue 
pipe walls. If the tank cannot accommodate six temperature sensors and 
meet the installation requirements specified above, install the maximum 
number of sensors which comply with the installation requirements. The 
temperature sensors shall be installed either through; (1) The anodic 
device opening; (2) the relief valve opening; or (3) the hot water 
outlet. If installed through the relief valve opening or the hot water 
outlet, a tee fitting or outlet piping, as applicable, shall be 
installed as close as possible to its original location. If the hot 
water outlet includes a heat trap, the heat trap shall be installed on 
top of the tee fitting. Added fittings shall be covered with thermal 
insulation having an R value of 4 hrft\2\ deg.F/Btu.
    4.6. Ambient Temperature. The ambient air temperature shall be 
measured approximately at the vertical mid-point of the heater and 
approximately 2 feet from the surface of the water heater. The sensor 
shall be shielded against radiation.
    4.7. Inlet and Outlet Water Temperature Measurements. Install 
temperature sensors in the cold-water inlet pipe and hot-water outlet 
pipe as shown in Figures 1, 2, or 3, as applicable.
    4.8. Flow Control. A flow control valve shall be installed to 
provide flow as specified within section 5.
    4.9. Flue Requirements.
    4.9.1. Oil-Fired Water Heaters. Establish a draft at the flue collar 
as specified in the manufacturer's literature. Establish the draft by 
using a sufficient length of vent pipe connected to the water heater 
flue outlet and directed vertically upward. For an oil-fired water 
heater having a horizontally discharging draft hood outlet, a 90 degree 
elbow having a diameter equal to the largest flue collar size of the 
draft hood shall be connected to the draft hood outlet. A length of vent 
pipe sufficient to establish the draft shall be connected to the elbow 
fitting and oriented to discharge vertically upward. Direct vent oil-
fired water heaters should be installed with venting equipment as 
specified in the manufacturer's instructions, using the minimum vertical 
and horizontal lengths of vent pipe recommended by the manufacturer.
    4.9.2. Gas-Fired Water Heaters. Establish a natural draft in the 
following manner. For gas-fired water heaters having a vertically 
discharging draft hood outlet, a 5 foot vertical vent pipe extension 
having a diameter equal to the largest flue collar size of the draft 
hood shall be connected to the draft hood outlet. For gas-fired water 
heaters having a horizontally discharging draft hood outlet, a 90 degree 
elbow having a diameter equal to the largest flue collar size of the 
draft hood shall be connected to the draft hood outlet. A 5 foot length 
of vent pipe shall be connected to the elbow and oriented to discharge 
vertically upward.
    Direct vent gas-fired water heaters shall be installed wth venting 
equipment specified in the manufacturer's instructions using the minimum 
vertical and horizontal lengths of vent pipe recommended by the 
manufacturer.
    4.9.3. Heat Pump Water Heater Storage Tank. The tank to be used for 
testing a heat pump water heater without a tank supplied by the 
manufacturer shall be an electric storage type water heater having a 
volume of 47.0 gallons  1 gallon with an Energy Factor of 
0.87  .01 as determined in accordance with section 6.1.7 
with two 4.5 kW heating elements controlled in such a manner as to 
prevent both elements from operating simultaneously.

                           5. Test Procedures

    5.1. Storage Tank and Heat Pump Water Heaters.
    5.1.1. Determination of Storage Tank Volume. Determine the storage 
capacity, Vst, of the water heater under test, in gallons, by 
subtracting the tare weight--measured while the tank is empty--from the 
gross weight of the storage tank completely filled with water with all 
air eliminated and line pressure applied as described in section 2.5. 
and dividing the resulting net weight by the density of water at the 
appropriate temperature.
    5.1.2. Setting the Thermostat for a Thermostatically Operated Water 
Heater. Starting with a tank of supply water, initiate normal operation 
of the water heater. After cutout, observe the mean tank temperature 
(based on the six temperature sensors) every minute until the maximum 
value is observed. Determine whether this maximum value of the mean tank 
temperature is within the range of 135 deg.F 5 deg.F. If 
not, turn off the water heater, adjust the thermostat, and refill the 
tank with supply water. Then, initiate normal operation of the water 
heater, and once again determine the maximum mean tank temperature after 
cut-out. Repeat this sequence until the maximum mean tank temperature 
after cut-out is within the

[[Page 143]]

range of 135 deg.F 5 deg.F. If a water heater has two 
thermostats, the thermostat which controls the upper heating element 
shall be set first to yield a maximum water temperature of 135 deg.F 
5 deg.F as measured by the temperature tank sensors above 
the upper heating element. The thermostat which controls the lower 
heating element shall then be set to yield a maximum mean tank 
temperature of 135 deg.F 5 deg.F. For heat pump water 
heaters, which control an auxiliary resistance element, the thermostat 
shall be set in accordance with the manufacturer's installation 
instructions.
    5.1.3. Power Input Determination. For all water heaters except 
electric types having immersed heating elements and initiate normal 
operation and determine the power input, P, to the main burners 
(including pilot light power, if any) after 15 minutes of operation. If 
the water heater is equipped with a gas appliance pressure regulator, 
the regulator outlet pressure shall be set within 10% of 
that recommended by the manufacturer. For oil fired water heaters the 
fuel pump pressure shall be within 10% of the manufacturer's 
specified pump pressure. All burners shall be adjusted to achieve an 
hourly Btu rating that is within 2% of the value specified 
by the manufacturer. For an oil-fired water heater, adjust the burner to 
give a CO2 reading recommended by the manufacturer and an 
hourly Btu rating that is within 2% of that specified by the 
manufacturer. Smoke in the flue may not exceed No. 1 smoke as measured 
by the procedure in ASTM-D-2156-80. Gas- and oil-fired water 
instantaneous water heaters shall have the burners adjusted to the 
manufacture's maximum firing rate value.
    5.1.4. First Hour Rating Test. Establish normal water heater 
operation with the maximum mean tank temperature within the range 
specified in section 2.1.4. Begin the first hour rating test after the 
thermostat has acted to reduce the electrical power or fuel input to the 
water heater and the maximum storage tank temperature has been achieved. 
If the water heater incorporates a heat-pump, wait until both the heat 
pump and electrical heating element(s) have ceased to supply energy to 
the storage tank. Record the time, oil, gas and/or electrical meter 
readings as appropriate. Do not interrupt electrical power and/or fuel 
to the water heater. The rate of water withdrawal shall be 
3.000.25 gallons per minute. Draw and collect water 
withdrawn from the water heater in a suitable container for the purpose 
of determining its weight at the conclusion of the test. During the draw 
record the inlet and outlet fluid temperature beginning 15 seconds after 
the start and at every subsequent 5 second interval throughout the 
duration of each draw. Alternatively, a water meter may be used to 
directly measure the volume of water withdrawn. Record the maximum 
outlet temperature which occurs during the draw as Tmax. The 
withdrawal of water shall continue until the outlet temperature drops to 
a value 25 deg.F below Tmax, defined as Tmin, at 
which time the draw shall be terminated. Record the average outlet 
temperature and mass removed as Tdel,i and Mi, 
respectively. If the thermostat acts to reduce the supply of fuel to the 
main burner or electrical input to the upper heating element of a 
multiple element electric water heater, or electrical input to a water 
heater having a single element or multiple elements which operate 
simultaneously, before one hour has elapsed, initiate a second draw. 
During the draw record the outlet fluid temperatures beginning 15 
seconds after initiating the draw and at every subsequent 5 second 
interval throughout the duration of each draw until the outlet 
temperature drops to Tmin, at which time the draw is 
terminated. Record the average outlet temperatures as well as the mass 
removed. Continue this sequence of events until one hour has elapsed. If 
a draw is currently taking place, continue the draw until the outlet 
temperature reaches Tmin, and record the elasped time between 
the previously recorded time, at the beginning of the first draw, and 
the termination of this final draw as fhr. If a draw 
is not taking place at the end of one hour, wait until the thermostat 
acts to reduce the supply of fuel to the main burner or electrical input 
to the upper heating element of a multiple element electric water 
heater, or electrical input to a water heater having a single element or 
multiple elements which operate simultaneously, to initiate the final 
draw. During the final draw, record the outlet fluid temperature 
beginning 15 seconds after initiating the draw and at every subsequent 5 
second intervals throughout the duration of the draw until the outlet 
temperature drops to Tmin, at which time the draw is 
terminated. Record the elasped time between the previously recorded 
time, at the beginning of the first draw, and the termination of the 
final draw as fhr. In either case, record the outlet 
temperatures and the mass removed during the final draw.
    5.1.5. 24 Hour Simulated Use Test. During the simulated use test, a 
total of 64.3 gallons are removed. With the water heater turned off, 
fill the water heater with supply water and apply pressure as described 
in section 2.1.5. Turn on the water heater and associated heat pump 
unit, if present. Wait until cutout occurs at 135 deg.F 
5 deg.F, as specified in section 2.1.4. After the cutout 
occurs, measure the mean tank temperature using the temperature sensors 
described in section 4.5 every minute until the maximum mean storage 
tank temperature is achieved. The water heater may be operated through 
up to three successive cycles of drawing 10 gallons per draw, permitting 
recovery between each draw, prior to the start of the test. Record at

[[Page 144]]

this time (designated as =0), the mean tank temperature 
(To), and the oil, gas, and electrical energy measurements as 
appropriate. Begin the 24 hour simulated use test by drawing an amount 
of water out of the water heater equivalent to one-sixth of the daily 
hot water usage, 64.3 gallons. Record the average storage tank and 
ambient temperature every 15 minutes throughout the 24 hour simulated 
use test unless recovery or a draw is occurring. At elapsed time 
intervals of one, two, three, four and five hours from =0), 
initiate additional draws removing an amount of water equivalent to one-
sixth of 64.3 gallons, with the maximum allowable deviation for any 
single draw being 0.5 gallons. The quantity of water drawn 
during the sixth draw shall be increased or decreased as necessary such 
that the total volume of water withdrawn shall be equal to 
64.31.0 gallons.
    All draws during the simulated use test are to be made at flow rates 
of 3.03.0 gallons per minute. Measurements of the inlet and 
outlet temperatures shall be made beginning 15 seconds after the draw is 
initiated and at every subsequent 5 second interval throughout the 
duration of each draw. The arithmetic mean of the hot water discharge 
temperature and the cold water inlet temperature shall be determined for 
each draw. Record the scale or meter reading, as appropriate, after each 
draw. At the end of the recovery period following the first draw, record 
the maximum mean tank temperature observed after cut-out, 
Tmax,1, and the energy consumed, Qr for oil, gas, 
and heat pump water heaters including auxiliary energy such as pilot 
lights, pumps, fans, etc. For heat pump water heaters Qr, is 
the sum of the energy consumed by the heat pump and the electrical 
heating elements(s).
    At the end of the recovery period following the sixth draw, record 
the total electric and/or fuel energy consumption, Qsu, and 
the scale reading or the meter reading, as appropriate. If a water scale 
is used, determine the net weight of the water withdrawn, 
MFHR in pounds. Record the maximum value of the mean tank 
temperature after cutout as Tsu. Except as noted below, allow 
the water heater to remain in the standby mode until 24 hours have 
elapsed from the start of the test, t=0. Prevent the water 
heater from beginning a recovery cycle during the last hour of the test 
by turning off the electric power to the electrical heating elements and 
heat pump, if present, or by turning down the fuel supply to the main 
burner at an elapsed time of 23 hours. If a recovery is taking place at 
an elapsed time of 23 hours, wait until the recovery is complete before 
reducing the electrical and/or fuel supply to the water heater. At 24 
hours, record the mean tank temperature, T24, and the 
electric and/or fuel instrument readings. Determine the total energy 
consumption during the entire 24 hour simulated use test, Q. Record the 
time interval between the time at which the maximum mean tank 
temperature is observed after the sixth draw and the end of the 24 hour 
test as 
,1. 
Record the time during which water was not being withdrawn from the 
water heater during the entire 24 hour period as 
,2.

                     5.2 Instantaneous Water Heaters

    5.2.1. Setting the Outlet Discharge Temperature. Initiate normal 
operation of the water heater at the full input rating. Monitor the 
discharge water temperature and set to a value of 135 deg.F  
5 deg.F in accordance with the manufacturer's instructions. If the water 
heater is not capable of providing 3.00  0.25 gallons per 
minute then adjust the flow rate as necessary to achieve the specified 
discharge water temperature. Record the corresponding flow rate as 
Vmax. If the instantaneous water heater incorporates a 
controller which permits continous burner operation at a reduced input 
rate, adjust the flow rate as necessary to achieve a discharge water 
temperature of 135 deg.  5 deg.F while maintaining the 
minimum input rate. Record the corresponding flow rate, Vmin. 
If an outlet temperature of 135 deg.  5 deg.F cannot be 
achieved at the minimum allowable flow rate permitted by the 
instantaneous water heater, record the flow rate as Vmin and 
the outlet temperature as Tmin.
    5.2.2. Power Input Determination. For oil and gas flow actuated 
water heaters, adjust the burners to the maximum firing rate value 
specified by the manufacturer.
    5.2.3. First Hour Rating Test for Instantaneous Water Heaters. 
Establish normal heater operation at the maximum input rate with the 
discharge water temperature set in accordance with section 5.2.1. Record 
the time, oil, and/or gas meters as appropriate. Do not interrupt 
electrical or fuel to the water heater. Draw and collect water withdrawn 
from the water heater, while recording the inlet and outlet fluid 
temperatures beginning 15 seconds after the draw is initiated and at 
every subsequent 5 second interval throughout the duration of the draw 
in a suitable container for the purpose of determining its weight at the 
conclusion of the test. Alternatively, a water meter may be used to 
directly measure the value of water withdrawn. At the end of one hour 
terminate the draw. Determine the mass of water withdrawn, 
MFHR, in pounds, or the volume of water withdrawn, 
VFHR, in gallons with an error no greater than 2 percent.

                    5.2.4. 24 Hour Simulated Use Test

    5.2.4.1. Fixed Input Instantaneous Water Heaters. Establish normal 
operation with the discharge water temperature and flow rate set to 
values of 135 deg.F  5 deg.F and Vmax, 
respectively. Record the oil, gas, and electrical energy measurements, 
as appropriate. Begin

[[Page 145]]

the 24 hour simulated use test by drawing an amount of water out of the 
water heater equivalent to one-sixth of the daily not water usage, 64.3 
gallons. At elapsed time intervals of one, two, three, four, and five 
hours from =0, initiate additional draws removing an amount of 
water equivalent to one-sixth of 64.3 gallons, with the maximum 
allowable deviation for any single draw being  0.5 gallons. 
The quantity of water drawn during the sixth draw shall be increased or 
decreased as necessary such that the total volume of water withdrawn 
shall be equal to 64.31.0 gallons. Measurements of the inlet 
and outlet water temperatures shall be made beginning 15 seconds after 
the draw is initiated and at every 5 second interval throughout the 
duration of the draw. The arithmetic mean of the hot water discharge 
temperature and the cold water inlet temperature shall be determined for 
each draw. Record the scale or meter reading, as appropriate, after each 
draw. At the end of the recovery period following the first draw, record 
the energy consumed, Qr. Allow the water heater to remain in 
the standby mode until exactly 24 hours have elapsed from the start of 
the test, =0. At 24 hours, record the electric and/or fuel 
instrument readings. Determine the energy consumption during the entire 
24 hour simulated use test, Q.
    5.2.4.2. Variable Input Instantaneous Water Heaters. If the 
instantaneous water heater incorporates a controller which permits 
continuous burner operation at a reduced input rate, the first three 
draws shall be conducted using the maximum flow rate, Vmax, 
while removing an amount of water equivalent to one-sixth of 64.3 
gallons, with the maximum allowable deviation for any one of the three 
draws being  0.5 gallons. The second three draws shall be 
conducted at Vmin. If an outlet temperature of 135 deg. 
 5 deg.F could not be achieved at the minimum flow rate 
permitted by the instantaneous water heater, the last three draws should 
be lengthened such that the volume removed is equivalent to

                                                                                                                
                                          64.3                 77 deg.F                                         
                V4,5,6 =                ------- *<5-ln [> ------------------ <5-ln ]>                           
                                           6                Tmin--58 deg.F                                      
  .....................................                                                                         

with the maximun allowable definition for any one of the three draws 
being  0.5 gallons. The quantity of water drawn during the 
sixth draw shall be increased or decreased as necessary such that the 
total volume of water withdrawn shall be equal to 32.15 + 
3*V4,5,61.0 gallons. Measurements of the inlet 
and outlet water temperatures shall be made beginning 15 seconds after 
the draw is initiated and at every 5 second interval throughout the 
duration of the draw. Determine the arithmetic mean of the hot water 
discharge temperature and the cold water inlet temperature for each 
draw. Record the scale or meter reading, as appropriate, after each 
draw. At the end of the recovery period following the first draw, record 
the energy consumption, Qr, max. Record the energy consumed 
prior to the fourth draw and at the end of the recovery period following 
the fourth draw, Qr, min.
    Allow the water heater to remain in the standby mode until exactly 
24 hours have elapsed from the start of the test, =0. At 24 
hours, record the electric and/or fuel instrument readings. Determine 
the energy consumption during the entire 24 hours simulated use test, Q.

                             6. Computations

    6.1 Storage Tank Water Heaters.
    6.1.1. Storage Tank Capacity. The storage tank capacity is computed 
using the following--

      Vst=(Wf-Wt)/

where Vst is the storage capacity of the water heater, 
          gallons
Wf is the weight of the storage tank completely filled with 
          water, 1bm
Wt is the tare weight of the empty storage tank, 1bm
 is the density of water at the appropriate temperature, 1bm/
          gal.
6.1.2. First Hour Rating Computation. Compute the first hour rating as

                                                                                                                
                                           60             n             Mi(Tdel, i-Tin,i)                       
                                                                                                                
                                Fhr=      ____      <3-ln-grk-S>      ______________________                    
                                                                                                                
                                      fhr       i=1      (135 deg.F-58 deg.F)                 
                                                                                                                
                                                                                                                
                                                                                                                

Which may be expressed as

                                                                                                                
                                            60             n            Mi(Tdel, i-Tin,i)                       
                                                                                                                
                                 Fhr=      ____      <3-ln-grk-S>     ______________________                    
                                                                                                                
                                       fhr       i=1          (77 deg.F)                      
                                                                                                                
                                                                                                                
                                                                                                                

where Mi represents the mass removed during the ith draw of 
          the first hour rating test, 1bm
Tdel, i is the average delivery temperature for the ith draw 
          which occurred during the first hour rating test,  deg.F

[[Page 146]]

fhr represents the elasped time recorded during the 
          first hour rating test, minutes
Tin,i is the average inlet temperature for the ith draw which 
          occurred during the first hour rating test,  deg.F
 represents the density of water at the average delivery 
          temperature, lbm/gal
and n represents the number of draws which occur during the test If a 
          water meter is used in lieu of a scale, the first hour rating 
          is

                                                                                                                
                                            60             n             Vi(Tdel,i-Tin,i)                       
                                                                                                                
                                 Fhr=      ____      <3-ln-grk-S>     ______________________                    
                                                                                                                
                                       fhr       i=1                  77F                              
                                                                                                                
                                                                                                                
                                                                                                                

where Vi represents the volume removed during the ith draw of 
          the first hour rating test, gal
    6.1.3 Recovery Efficiency. The recovery efficiency for gas, oil, and 
heat pump storage type water heaters is computed as

                                                                                                                
                                                            M1Cp1(Tdel,1-Tin,1)                                 
                                            r= -------------------------                              
                                                                     Qr                                         
                                                                                                                


                                                                                                                
                                                    VstCp2(Tmax,1-To)                                  
                                                + ------------------------------                                
                                                                Qr                                              
                                                                                                                

where M1 is the mass withdrawn during the first draw, lbm
Cp1 is the specific heat of water at the average temperature 
          (Tdel,1+Tin,1)/2, btu/lbm  deg.F
Tdel,1 is the average delivery temperature for the first 
          draw,  deg.F
Tin,1 is the average inlet temperature for the first draw, 
          deg.F
Vst is the storage tank capacity, gal
 is the density of water at the average temperature 
          (Tmax,1+To)/2, lbm/gal
Cp2 is the specific heat of water at the average temperature 
          (Tmax,1+To)/2, Btu/lbm  deg.F
Tmax,1 is the maximum mean tank temperature recorded after 
          cutout following the first draw,  deg.F
To is the maximum mean tank temperature recorded prior to the 
          first draw,  deg.F
and Qr is the total energy used by the water heater between 
          cutout prior to the first draw and cutout following the first 
          draw, including auxiliary energy such as pilot lights, pumps, 
          fans, etc., Btu. (Electrical auxiliary energy shall be 
          converted to thermal energy using the following conversion: 
          1kWh = 3412.76 Btu.)
    The recovery efficiency for electric water heaters with immersed 
heating elements is assumed to be 98 percent.
    6.1.4. Hourly Standby Losses. The hourly standby losses are computed 
as

                                                                                                                
                                                               MCp(T24 - Tsu)                                   
                   Qhr = <5-ln [>Qstby -                    -------------------- <5-ln ]><5-ln />stby,1
                                                                 r                                    
                                                                                                                

where Qhr is the hourly standby energy losses of the water 
          heater, Btu/hr
Qstby is the total energy consumer by the water heater 
          between the time at which the maximum mean tank temperature is 
          observed after the sixth draw and the end of the 24 hour test 
          period, Btu
M is the mass of the water within the storage tank, lbm
Cp is the specific heat of water at the average temperature 
          (T24 + Tsu)/2, Btu/lbm  deg.F
T24 is the mean tank temperature at the end of the 24 hour 
          test period,  deg.F
Tsu is the maximum mean tank temperature observed after the 
          sixth draw,  deg.F
and stby,1 is the elapsed time between the time at 
          which the maximum mean tank temperature is observed after the 
          sixth draw and the end of the 24 hour test period, hours
    The standby heat loss coefficient for the tank is computed as--

                                                                        
                                             Qhr                        
                                    --------------------                
                               UA =   Tt,stby - Ta,stby                 
                                                                        
                                                                        

where Tt,stby is the average storage tank temperature between 
          the time at which the maximum mean tank temperature is 
          observed after the sixth draw and the end of the 24 hour test 
          period,  deg.F
Ta,stby is the average ambient temperature between the time 
          at which the maximum mean tank temperature is observed after 
          the sixth draw and the end of the 24 hour test period,  deg.F
and UA is the standby heat loss coefficient of the storage tank,

                                                                        
                                         BTU                            
                                      ---------                         
                                         hr F                           
                                                                        
                                                                        

    6.1.5. Daily Water Heating Energy Consumption. The daily water 
heating energy consumption, Qd is computed as

                                                                                                                
                                                              CpM(T24 - To)                                     
                                                  Qd=Q -  --------------------                                  
                                                               r                                      
                                                                                                                

where Q is the total energy used by the water heater during the 24 hours 
          simulated use test including auxiliary energy such as pilot 
          lights, pumps, fans, etc., Btu
Cp is the specific heat of water at the average temperature 
          (T24+To)/2, Btu/lbm  deg.F
M is the mass of water within the storge tank, lbm

[[Page 147]]

T24 is the average tank temperature at the conclusion of the 
          24 hours simulated use test,  deg.F
To is the average tank temperature at the beginning of the 24 
          hours simulated use test, recorded one minute before the first 
          draw is initiated  deg.F
and r is the recovery efficiency of the hot water 
          heater, dimensionless.
    6.1.6. Adjusted Daily Water Heating Energy Consumption. The adjusted 
daily water heating energy consumption, Qda takes into 
account that the temperature difference between the storage tank and 
surrounding ambient temperature may not be the nominal value of 
67.5 deg.F (135 deg.F - 67.5 deg.F) due to the 10 deg.F allowable 
variation in storage tank temperature, 135  5 deg.F, and the 
5 deg.F allowable variation in surrounding ambient temperature 65 deg.F 
to 70 deg.F. The adjusted daily water heating energy consumption is 
computed as

      Qda=Qd-
  
[(Tstby-Ta,stby]-(135 deg.F-67.5 deg.F)]UA
stby,2

where Qda is the adjusted daily water heating consumption, 
          Btu
Tstby is the mean tank temperature during the total standby 
          portion, stby,2, of the 24 hour test, 
          deg.F
Ta,stby is the average ambient temperature during the total 
          standby portion, stby,2, of the 24 hour 
          test,  deg.F
UA is the standby heat loss coefficient for the storage tank, Btu/
          hr deg.F
and stby,2 is the number of hours during the 24 hour 
          simulated test when water was not being withdrawn from the 
          water heater
    A modification is also needed to take into account that the 
temperature difference between the outlet water temperature and supply 
water temperature may not be equivalent to the nominal value of 77 deg.F 
(135 deg.F-58 deg.F). The following equations adjust the experimental 
data to a nominal 77 deg.F temperature rise.
    The energy used to heat water, Btu per day, may be computed as--

                                                                                                                
                                                    6           MiCpi(Tdel,i-Tin,i)                             
                                                                                                                
                                       QHW =  <3-ln-grk-S>     ______________________                           
                                                                                                                
                                                   i=1              r                                 
                                                                                                                
                                                                                                                
                                                                                                                

where Mi is the mass withdrawn for the ith draw (i=1 to 6), 
          lbm
Cpi is the specific heat of water, Btu/lbm  deg.F
    The energy required to heat the same quantity of water over a 77 
deg.F temperature rise, Btu per day, is

                                                                                                                
                                                     6        MiCpi(135 deg.F-58 deg.F)                         
                                                                                                                
                                     QHW, 77=  <3-ln-grk-S>    ________________________                         
                                                                                                                
                                                    i=1              r                                
                                                                                                                
                                                                                                                
                                                                                                                

    The difference between these two values is--

      QHWD =QHW,77-QHW

which must be added to the adjusted daily water heating energy 
consumption value. Thus, the daily energy consumption value which takes 
into account that the temperature difference between the storage tank 
and ambient temperature may not be 67.5 deg.F and the temperature rise 
across the storage tank may not be 77 deg.F is--

      Qdm=Qda+QHWD

    6.1.7. Energy Factor. The energy factor, Ef, is computed 
as--

                                                                                                                
                                                6            MiCpi(135 deg.F-58 deg.F)                          
                                                                                                                
                                    Ef =  <3-ln-grk-S>     ____________________________                         
                                                                                                                
                                               i=1                      Qdm                                     
                                                                                                                
                                                                                                                
                                                                                                                

where Qdm is the modified daily water heating energy 
          consumption as computed in accordance with Section 6.1.6, Btu

                    6.1.8. Annual Energy Consumption

    The annual energy consumption for storage type and heat pump water 
heaters is computed as--

      Eannual=Qdm*365

where Qdm is the modified daily energy consumption value, Btu 
          per day and 365 is the number of days within a year, days

                  6.2. Instantaneous Hot Water Heaters.

    6.2.1. First Hour Rating Computation. Compute the first hour rating 
as

                                                                                                                
                                                             M(Tdel-Tin)                                        
                                             Fhr = -------------------------------                              
                                                    (135 deg.F-58 deg.F)                               
                                                                                                                

    which may be expressed as--

                                                                                                                
                                                               M(Tdel-Tin)                                      
                                                  Fhr =   ---------------------                                 
                                                           (77 deg.F)                                  
                                                                                                                

where M represents the mass removed during the one hour continuous draw, 
          lbm

Tdel is the average delivery temperature,  deg.F
Tin is the average inlet temperature,  deg.F

and  represents the density of water at the average delivery 
          temperature, lbm/gal

    If a water meter is used in lieu of a scale the first hour rating is 
computed as--

                                                                                                                
                                                               V(Tdel-Tin)                                      
                                                    Fhr =   -----------------                                   
                                                                 77 deg.F                                       
                                                                                                                


[[Page 148]]

where V represents the volume of water removed during the one hour 
          continuous draw, gal

                       6.2.2. Recovery Efficiency

    6.2.2.1. Fixed Input Instantaneous Water Heaters. The recovery 
efficiency is computed as

                                                                                                                
                                                             M1Cp1(Tdel,1-Tin,1)                                
                                            r = -------------------------                             
                                                                      Qr                                        
                                                                                                                

where M1 is the mass withdrawn during the first draw, lbm
Cp1 is the specific heat of water at the average temperature 
          (Tdel,1+Tin,1)/2, Btu/lbm deg.F
Tdel,1 is the average delivery temperature for the first 
          draw,  deg.F
Tin,1 is the average inlet temperature for the first draw, 
          deg.F
and Qr is the total energy used by the water heater between 
          cutout prior to the first draw and cutout following the first 
          draw, including auxiliary energy such as pilot lights, pumps, 
          fans, etc., Btu

           6.2.2.2. Variable Input Instantaneous Water Heaters

    For instantaneous water heaters which have a variable firing rate, 
two recovery efficiency values are computed, one at the maximum input 
rate and one at the minimum input rate. The recovery efficiency used in 
subsequent computations is taken as the average of these two values. The 
maximum recovery efficiency is computed as

                                                                                                                
                                                               M1Cp1(Tdel,1-Tin,1)                              
                                          r,max = -------------------------                           
                                                                      Qr,max                                    
                                                                                                                

where M1 is the mass withdrawn during the first draw, lbm
Cp1 is the specific heat of water at the average temperature 
          (Tdel,1+Tin,1)/2, Btu/lbm  deg.F
Tdel,1 is the average delivery temperature for the first 
          draw,  deg.F
Tin,1 is the average inlet temperature for the first draw, 
          deg.F
and Qr,max is the total energy used by the water heater 
          between cutout prior to the first draw and cutout following 
          the first draw, including auxiliary energy such as pilot 
          light, Btu

    The minimum recovery efficiency is computed as--

                                                                                                                
                                                               M4Cp4(Tdel,4-Tin,4)                              
                                          r,min = -------------------------                           
                                                                      Qr,min                                    
                                                                                                                

where M4 is the mass withdrawn during the fourth draw, lbm
Cp4 is the specific heat of water, Btu/lbm  deg.F
Tdel,4 is the average delivery temperature for the fourth 
          draw,  deg.F
Tin,4 is the average inlet temperature for the first draw, 
          deg.F
and Qr,min is the total energy consumed immediately prior to 
          the fourth draw and cutout following the fourth draw, 
          including auxiliary energy such as pilot lights, Btu

The recovery efficiency is computed as--

                                                                                                                
                                                       r,max+r,min                          
                                        r = ---------------------------------                         
                                                                      2                                         
                                                                                                                

    6.2.3. Daily Water Heating Energy Consumption. The daily water 
heating energy consumption, Qd is computed as--

                Qd=Q

where Q is the energy used by the flow actuated water heater during the 
          24 hour simulated use test

    A modification is needed to take into account that the temperature 
difference between the outlet water temperature and supply water 
temperature may not be equivalent to the nominal value of 77  deg.F (135 
 deg.F-58  deg.F). The following equations adjust the experimental data 
to a nominal 77  deg.F temperature rise.
    The energy used to heat water may be computed as--

                                                                                                                
                                                    6          MiCpi(Tdel,i-Tin,i)                              
                                                                                                                
                                        QHW =            ______________                                
                                                                                                                
                                                   i=1             r                                  
                                                                                                                
                                                                                                                
                                                                                                                

    The energy required to heat the same quantity of water over a 77 
deg.F temperature rise is--

                                                                                                                
                                                     6            MiCpi(135F-58F)                               
                                                                                                                
                                       QHW,77 =         __________________                             
                                                                                                                
                                                    i=1             r                                 
                                                                                                                
                                                                                                                
                                                                                                                

    The difference between these two values is--

      QHWD=QHW,77-QHW

which must be added to the daily water heating energy consumption value. 
Thus, the daily energy consumption value which takes into account that 
the temperature rise across the storage tank may not be 77  deg.F is--

      Qam=Qa+QHWD

    6.2.4. Energy Factor. The energy factor, Ef, is computed 
as--

[[Page 149]]



                                                                                                                
                                                    6            MiCpi(135F-58F)                                
                                                                                                                
                                         Ef =          __________________                              
                                                                                                                
                                                   i=1                 Qdm                                      
                                                                                                                
                                                                                                                
                                                                                                                

where Qdm is the daily water heating energy consumption as 
          computed in accordance with section 6.2.3., Btu
Mi is the mass associated with the ith draw, lbm
Cpi is the specific heat of water computed at a temperature 
          of (58  deg.F+135  deg.F)/2, Btu/lbm  deg.F
Tdel,i is the average delivery temperature for the ith draw, 
          deg.F
and Tin,i is the average inlet temperature for the ith draw, 
          deg.F

    6.2.5. Annual Energy Consumption. The annual energy consumption for 
instantaneous type water heaters is computed as--

      Eannual=Qdm * 365

where Qdm is the modified daily energy consumption, Btu per 
          day
and 365 is the number of days within a year, days.

                     7. Ratings for Untested Models

    In order to relieve the test burden to manufacturers who offer water 
heaters which differ only in fuel type or power input, ratings for 
untested models may be established in accordance with the following 
procedures. In lieu of the following procedures a manufacturer may elect 
to test the unit for which a rating is sought.
    7.1. Gas Water Heaters. Ratings obtained for gas water heaters using 
natural gas can be used for an identical water heater which utilizes 
propane gas if the input ratings are within 10 percent.

                       7.2. Electric Water Heaters

    7.2.1. First Hour Rating. If an electric storage type water heater 
is available with more than one input rating, the manufacturer shall 
designate the standard input rating and the water heater need only be 
tested with heating elements at the designated standard input ratings. 
The first hour ratings for units having power input rating less than the 
designated standard input rating shall be assigned a first hour rating 
equivalent to the first draw of the first hour rating for the electric 
water heater with the standard input rating. For units having power 
inputs greater than the designated standard input rating, the first hour 
rating shall be equivalent to that measured for the water heater with 
the standard input rating.
    7.2.2. Energy Factor. The energy factor for identical electric 
storage type water heaters, with the exception of heating element 
wattage, may use the energy factor obtained during testing of the water 
heater with the designated standard input rating.

[55 FR 42169, Oct. 17, 1990]

 Appendix F to Subpart B of Part 430--Uniform Test Method for Measuring 
             the Energy Consumption of Room Air Conditioners

    1. Test method. The test method for testing room air conditioners 
shall consist of application of the methods and conditions in American 
National Standard (ANS) Z234.1-1972, ``Room Air Conditioners,'' sections 
4, 5, 6.1, and 6.5, and in American Society of Heating, Refrigerating 
and Air Conditioning in Engineers (ASHRAE) Standard 16-69, ``Method of 
Testing for Rating Room Air Conditioners.''
    2. Test conditions. Establish the test conditions described in 
sections 4 and 5 of ANS Z234.1-1972 and in accordance with ASHRAE 
Standard 16-69.
    3. Measurements. Measure the quantities delineated in section 5 of 
ANS Z234.1-1972.
    4. Calculations. 4.1 Calculate the cooling capacity (expressed in 
Btu/hr) as required in section 6.1 of ANS Z234.1-1972 and in accordance 
with ASHRAE Standard 16-69.
    4.2  Determine the electrical power input (expressed in watts) as 
required by section 6.5 of ANS Z234.1-1972 and in accordance with ASHRAE 
Standard 16-69.

[42 FR 27898, June 1, 1977. Redesignated and amended at 44 FR 37938, 
June 29, 1979]

 Appendix G to Subpart B of Part 430--Uniform Test Method for Measuring 
        the Energy Consumption of Unvented Home Heating Equipment

                         1. Testing conditions.

    1.1  Installation.
    1.1.1  Electric heater. Install heater according to manufacturer's 
instructions. Heaters shall be connected to an electrical supply circuit 
of nameplate voltage with a wattmeter installed in the circuit. The 
wattmeter shall have a maximum error not greater than one percent.
    1.1.2  Unvented gas heater. Install heater according to 
manufacturer's instructions. Heaters shall be connected to a gas supply 
line with a gas displacement meter installed between the supply line and 
the heater according to manufacturer's specifications. The gas 
displacement meter shall have a maximum error not greater than one 
percent. Gas heaters with electrical auxiliaries shall be connected to 
an electrical supply circuit of nameplate voltage with a wattmeter 
installed in the circuit. The wattmeter shall have a maximum error not 
greater than one percent.

[[Page 150]]

    1.1.3  Unvented oil heater. Install heater according to 
manufacturer's instructions. Oil heaters with electric auxiliaries shall 
be connected to an electrical supply circuit of nameplate voltage with a 
wattmeter installed in the circuit. The wattmeter shall have a maximum 
error not greater than one percent.
    1.2  Temperature regulating controls. All temperature regulating 
controls shall be shorted out of the circuit or adjusted so that they 
will not operate during the test period.
    1.3  Fan controls. All fan controls shall be set at the highest fan 
speed setting.
    1.4  Energy supply.
    1.4.1  Electrical supply. Supply power to the heater within one 
percent of the nameplate voltage.
    1.4.2  Natural gas supply. For an unvented gas heater utilizing 
natural gas, maintain the gas supply to the heater with a normal inlet 
test pressure immediately ahead of all controls at 7 to 10 inches of 
water column. The regulator outlet pressure at normal supply test 
pressure shall be approximately that recommended by the manufacturer. 
The natural gas supplied should have a higher heating value within 
 5 percent of 1,025 Btu's per standard cubic foot. Determine 
the higher heating value, in Btu's per standard cubic foot, for the 
natural gas to be used in the test, with an error no greater than one 
percent. Alternatively, the test can be conducted using ``bottled'' 
natural gas of a higher heating value within  5 percent of 
1,025 Btu's per standard cubic foot as long as the actual higher heating 
value of the bottled natural gas has been determined with an error no 
greater than one percent as certified by the supplier.
    1.4.3  Propane gas supply. For an unvented gas heater utilizing 
propane, maintain the gas supply to the heater with a normal inlet test 
pressure immediately ahead of all controls at 11 to 13 inches of water 
column. The regulator outlet pressure at normal supply test pressure 
shall be that recommended by the manufacturer. The propane supplied 
should have a higher heating value of within 5 percent of 
2,500 Btu's per standard cubic foot. Determine the higher heating value 
in Btu's per standard foot, for the propane to be used in the test, with 
an error no greater than one percent. Alternatively, the test can be 
conducted using ``bottled'' propane of a higher heating value within 
 5 percent of 2,500 Btu's per standard cubic foot as long as 
the actual higher heating value of the bottled propane has been 
determined with an error no greater than one percent as certified by the 
supplier.
    1.4.4  Oil supply. For an unvented oil heater utilizing kerosene, 
determine the higher heating value in Btu's per gallon with an error no 
greater than one percent. Alternatively, the test can be conducted using 
a tested fuel of a higher heating value within  5 percent of 
137,400 Btu's per gallon as long as the actual higher heating value of 
the tested fuel has been determined with an error no greater than one 
percent as certified by the supplier.
    1.5  Energy flow instrumentation. Install one or more energy flow 
instruments which measure, as appropriate and with an error no greater 
than one percent, the quantity of electrical energy, natural gas, 
propane gas, or oil supplied to the heater.

                      2. Testing and measurements.

    2.1  Electric power measurement. Establish the test conditions set 
forth in section 1 of this appendix. Allow an electric heater to warm up 
for at least five minutes before recording the maximum electric power 
measurement from the wattmeter. Record the maximum electric power 
(PE) expressed in kilowatts.
    Allow the auxiliary electrical system of a forced air unvented gas, 
propane, or oil heater to operate for at least five minutes before 
recording the maximum auxiliary electric power measurement from the 
wattmeter. Record the maximum auxiliary electric power (PA) 
expressed in kilowatts.
    2.2  Natural gas, propane, and oil measurement. Establish the test 
conditions as set forth in section 1 of this appendix. A natural gas, 
propane, or oil heater shall be operated for one hour. Using either the 
nameplate rating or the energy flow instrumentation set forth in section 
1.5 of this appendix and the fuel supply rating set forth in sections 
1.4.2, 1.4.3, or 1.4.4 of this appendix, as appropriate, determine the 
maximum fuel input (PF) of the heater under test in Btu's per 
hour. The energy flow instrumentation shall measure the maximum fuel 
input with an error no greater than one percent.

                            3. Calculations.

    3.1  Annual energy consumption for primary electric heaters. For 
primary electric heaters, calculate the annual energy consumption 
(EE) expressed in kilowatt-hours per year and defined as:

EE=2080(0.77)DHR

where:

2080=national average annual heating load hours
0.77=adjustment factor
DHR=design heating requirement and is equal to PE /1.2 in 
          kilowatts.
PE=as defined in 2.1 of this appendix
1.2=typical oversizing factor for primary electric heaters

    3.2  Annual energy consumption for primary electric heaters by 
geographic region of the United States. For primary electric heaters, 
calculate the annual energy consumption by geographic region of the 
United States (ER)

[[Page 151]]

expressed in kilowatt-hours per year and defined as:

ER=HLH(0.77) (DHR)

where:

HLH=heating load hours for a specific region determined from Figure 1 of 
          this appendix in hours
0.77=as defined in 3.1 of this appendix
DHR=as defined in 3.1 of this appendix

    3.3  Rated output for electric heaters. Calculate the rated output 
(Qout) for electric heaters, expressed in Btu's per hour, and 
defined as:

Qout=PE (3,412 Btu/kWh)

where:

PE=as defined in 2.1 of this appendix
    3.4  Rated output for unvented heaters using either natural gas, 
propane, or oil. For unvented heaters using either natural gas, propane, 
or oil equipped without auxiliary electrical systems, the rated output 
(Qout), expressed in Btu's per hour, is equal to 
PF, as determined in section 2.2 of this appendix.
    For unvented heaters using either natural gas, propane, or oil 
equipped with auxiliary electrical systems, calculate the rated output 
(Qout), expressed in Btu's per hour, and defined as:

Qout=PF+PA (3,412 Btu/kWh)

where:

PF=as defined in 2.2 of this appendix in Btu/hr
PA=as defined in 2.1 of this appendix in Btu/hr

[[Page 152]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.002



(Energy Policy and Conservation Act, Pub. L. 94-163, as amended by Pub. 
L. 94-385; Federal Energy Administration Act of 1974, Pub. L. 93-275, as 
amended by Pub. L. 94-385; Department of Energy Organization Act, Pub. 
L. 95-91; E.O. 11790, 39 FR 23185)

[43 FR 20132, May 10, 1978. Redesignated and amended at 44 FR 37938, 
June 29, 1979; 49 FR 12157, Mar. 28, 1984]

 Appendix H to Subpart B of Part 430--Uniform Test Method for Measuring 
                the Energy Consumption of Television Sets

                             1. definitions


    1.1  ``IRE-unit flat field'' means a specific video electrical 
signal which results in a particular level of brightness of the 
television screen as established by the Institute of Radio Engineers.
    1.2  ``Filament keep-warm'' means a feature that provides a voltage 
to keep vacuum tube and/or picture tube filaments warm for the purpose 
of allowing almost instantaneous response to the power control swtich.
    1.3  ``Operating time'' (to) means the hours per year 
during which the television set is operating with power control turned 
on.
    1.4  ``Remote control'' means an optional feature which allows the 
user to control the television set from more than one location by a hand 
held device.
    1.5  ``Standby power consumption'' (Ps) means the minimum 
amount of energy consumed with the power control switch turned off.
    1.6  ``Standby time'' (ts) means the hours per year 
during which the television set is

[[Page 153]]

connected to a power outlet with the power control switch turned off.
    1.7  ``Vacation switch or master on-off switch'' means an optional 
energy saving feature incorporated into the design of a television set 
that permits the user to disconnect the filament keep-warm circuit(s).
    1.8  ``Remote control defeat switch'' means a switch which permits 
the user to disconnect all standby power to a television set.

                 2. testing conditions and measurements

    2.1  Test equipment and test signals. The following equipment and 
test signals shall be used for testing of television sets.
    2.1.1  Regulated power source capable of supplying 120 volts 
(plus-minus1.2 volts) alternating current.
    2.1.2  Signal generator capable of producing radio frequency (RF) 
television test signals, at a convenient very high frequency (VHF) 
channel, modulated with, National Television System Committee composite 
video as follows:
    2.1.2.1  Standard White Pattern, RF signal modulated to 87 percent 
with a 100 IRE-unit flat field.
    2.1.2.2  Standard Black Pattern, all adjustments as for 2.1.2.1 
except modulated with a zero IRE-unit flat field.
    2.1.2.3  The test signals in 2.1.2.1 and 2.1.2.2, supplied by a 
source whose impedance equals the design antenna impedance of the 
television set under test, shall be adjusted to a level of 70 decibels 
(dB) plus-minus3dB, referred to a zero dB level of one 
femtowatt (1 x 10-15 watt) available power. (For a 300 ohm 
source, 70 dB referred to one femtowatt corresponds to an open-circuit 
voltage of 3.5 millivolts. For the calculation of ``available power'' 
use American National Standard C.16.13-1961, Method of Testing 
Monochrome Television Broadcast Receivers.)
    2.1.3  Wattmeter capable of measuring the average power consumption 
of the television set under test. The wattmeter shall be accurate to 
within 1 percent of the full scale value. All measurements shall be made 
on the upper half of the scale of the wattmeter.
    2.2  Initial set-up of television set.
    2.2.1  Remove all batteries from television sets designed for both 
battery and alternating current operation. Deactivate all present or 
automatic controls affecting brightness which are customer options. 
Adjust all non-customer controls according to the manufacturer's service 
procedure.
    2.2.2  Apply power to the television set under test from the power 
source specified in 2.1.1 through the wattmeter specified in 2.1.3. 
Adjust the volume control to the lowest possible setting.
    2.2.3  Connect the output of the signal generator as specified in 
2.1.2 to the VHF antenna terminals of the television set. Tune the 
television set to the channel of the RF signal.
    2.3  Measurement of operating power consumption (Po)
    2.3.1  Turn on the television set and allow at least five minutes 
warm-up time. With the synchronization controls adjusted for a stable 
test pattern, apply the standard white pattern specified in 2.1.2.1 to 
the television set. Adjust any customer controls other than the volume 
or synchronization controls for maximum power consumption as indicated 
by the wattmeter specified in 2.1.3. Illuminate any room illuminance 
sensor which has not been deactivated, to produce maximum power 
consumption. Record the white pattern consumption (Pw) as 
indicated by the wattmeter in watts.
    2.3.2  Change the signal source to the standard black pattern 
specified in 2.1.2.2. Adjust any customer controls, other than the 
volume or synchronization controls, for the minimum power consumption as 
indicated by the wattmeter. Cover any room illuminance sensor which has 
not been deactivated. Record the black pattern power consumption 
(Pb) as indicated by the wattmeter in watts.
    2.3.3  Compute the operating power consumption (po) as 
follows:

              Po=(Pw+Pb/2)

where
Po=operating power consumption in watts
Pw=as determined from 2.3.1
Pb=as determined from 2.3.2

    2.2  Measurements of standby power consumption (Ps)
    2.4.1  For television sets without either a vacation switch or a 
remote control defeat switch, turn the power switch off and after two 
minutes measure the standby power consumption (P).
    2.4.2  For a television set equipped with a remote control defeat 
switch, a vacation switch or both, turn the power switch, any vacation 
switch, and any remote er consumptions, (Pmax).The standby 
power is then calculated from the equation:

      Ps=[(Pmax-Pmin)/2]+Pmin

where
Ps=standby power consumption in watts
Pmax=power consumption, in watts, measured with the 
television set power switch off and the vacation switch and remote 
control defeat switch in the highest energy consuming position.
Pmin=power consumption, in watts, measured with the 
television set power switch off and the vacation switch and remote 
control defeat switch in the lowest energy consuming position.

    3.0  Average Annual Energy Consumption

    E=(Poto/1,000)+(Psts/
                   1,000)=2.2Po+6.56Ps

where

[[Page 154]]

E=total average energy consumed by the television set (kilowatt-hour per 
year)
Po=operating power consumption as computed in 2.3.3
to=operating time, 2,200 h/yr
Ps=standby power consumption computed in 2.4
ts=standby time, 6,560 h/yr

[42 FR 46154, Sept. 14, 1977. Redesignated and amended at 44 FR 37938, 
June 29, 1979]

 Appendix I to Subpart B of Part 430--Uniform Test Method for Measuring 
  the Energy Consumption of Conventional Ranges, Conventional Cooking 
  Tops, Conventional Ovens, Microwave Ovens and Microwave/Conventional 
                                 Ranges

                             1. definitions

    1.1  ``Built-in'' means the product is supported by surrounding 
cabinetry, walls, or other similar structures.
    1.2  ``Drop-in'' means the product is supported by horizontal 
surface cabinetry.
    1.3  ``Forced convection'' means a mode of conventional oven 
operation in which a fan is used to circulate the heated air within the 
oven compartment during cooking.
    1.4  ``Freestanding'' means the product is not supported by 
surrounding cabinetry, walls, or other similar structures.
    1.5  ``Normal nonoperating temperature'' means the temperature of 
all areas of an appliance to be tested that is within 5 degrees of the 
temperature that the identical areas of the same basic model of the 
appliance would attain if it remained in the test room for 24 hours 
while not operating with all oven doors closed and with any gas pilot 
lights on and adjusted in accordance with manufacturer's instructions.
    1.6  ``Primary energy consumption'' means either the electrical 
energy consumption of a conventional electric oven or the gas energy 
consumption of a conventional gas oven.
    1.7  ``Secondary energy consumption'' means any electrical energy 
consumption, other than clock energy consumption, of a conventional gas 
oven.
    1.8  ``Standard cubic foot of gas'' means that quantity of gas that 
occupies 1 cubic foot when saturated with water vapor at a temperature 
of 60 deg. F and a pressure of 30 inches of mercury (density of mercury 
equals 13.595 grams per cubic centimeter).
    1.9  ``Thermocouple'' means a device consisting of two dissimilar 
metals which are joined together and, with their associated wires, are 
used to measure temperature by means of electromotive force.

                           2. test conditions

    2.1 Installation. A free standing applicance shall be installed with 
the back directly against, or as near as possible to, a vertical wall 
which extends at least 1 foot above and on either side of the appliance. 
There shall be no side walls. A drop-in, built-in or wall-mounted 
appliance shall be installed in an enclosure in accordance with the 
manufacturer's instructions. These appliances are to be completely 
assembled with all handles, knobs, guards and the like mounted in place. 
Any electric resistance heaters, gas burners, baking racks, and baffles 
shall be in place in accordance with the manufacturer's instructions; 
however, broiler pans are to be removed from the oven's baking 
compartment.
    Disconnect any electrical clock which uses energy continuously. Do 
not disconnect or modify the circuit to any other electrical devices or 
features, except as indicated in 2.1.3.
    2.1.1  Conventional electric ranges, ovens and cooking tops and 
microwave/conventional electric ranges. These products shall be 
connected to an electrical supply curcuit with voltage as specified in 
2.2.1 with a watt-hour meter installed in the circuit. The watt-hour 
meter shall be as described in 2.9.1.1.
    2.1.2  Conventional gas ranges, ovens, and cooking tops and gas 
microwave/conventional gas ranges. These products shall be connected to 
a gas supply line with a gas meter installed between the supply line and 
the appliance being tested, according to manufacturer's specifications. 
The gas meter shall be as described in 2.9.2. Conventional gas ranges, 
ovens and cooking tops and microwave/conventional gas ranges with 
electrical ignition devices or other electrical components shall be 
connected to an electrical supply circuit of nameplate voltage with a 
watt-hour meter installed in the circuit. The watt-hour meter shall be 
as described in 2.9.1.1.
    2.1.3  Microwave ovens. Install the microwave oven in accordance 
with the manufacturer's instructions and connect to an electrical supply 
circuit with voltage as specified in section 2.2.1. Disconnect all 
electrical devices or features, including clocks, which draw power when 
the microwave oven is turned off and which are not required for the 
operation of the oven. A watt-hour meter shall be installed in the 
circuit and shall be as described in 2.9.1.1.
    2.2  Energy supply. 
    2.2.1  Electrical supply. Maintain the electrical supply to the 
conventional range, conventional cooking top, conventional oven, and 
microwave/conventional range being tested at 240/120 volts except that 
basic models rated only at 208/120 volts shall be tested at that rating. 
Maintain the electrical supply to a microwave oven at 120 volts and at 
60 hertz. In every case, maintain the voltage

[[Page 155]]

within 2 percent of the voltage at which the appliance is tested.
    2.2.2  Gas supply. 
    2.2.2.1  Gas burner adjustments. Conventional gas ranges, ovens, and 
cooking tops and microwave/conventional gas ranges shall be tested with 
all of the gas burners adjusted in accordance with the installation or 
operation instructions provided by the manufacturer. In every case, the 
burner must be adjusted with sufficient air flow to prevent a yellow 
flame or a flame with yellow tips.
    2.2.2.2  Natural gas. For testing convertible cooking appliances or 
appliances which are designed to operate using only natural gas, 
maintain the natural gas pressure immediately ahead of all controls of 
the unit under test at 7 to 10 inches of water column. The regulator 
outlet pressure shall be approximately that recommended by the 
manufacturer. The natural gas supplied should have a heating value of 
approximately 1,025 Btu's per standard cubic foot. The actual gross 
heating value, Hn, in Btu's per standard cubic foot, for the 
natural gas to be used in the test shall be obtained either from 
measurements made by the manufacturer conducting the test using a 
standard continuous flow calorimeter as described in 2.9.4 or by the use 
of bottled natural gas whose gross heating value is certified to be at 
least as accurate a value as could be obtained from measurements taken 
with a standard continuous flow calorimeter as described in 2.9.4.
    2.2.2.3  Propane. For testing convertible cooking appliances with 
propane or for testing appliances which are designed to operate using 
only LP-gas, maintain the propane pressure immediately ahead of all 
controls of the unit under test at 11 to 13 inches of water column. The 
regulator outlet pressure shall be approximately that recommended by the 
manufacturer. The propane supplied should have a heating value of 
approximately 2,500 Btu's per standard cubic foot. The actual gross 
heating value, Hp, in Btu's per standard cubic foot, for the 
propane to be used in the test shall be obtained either from 
measurements made by the manufacturer conducting the test using a 
standard continuous flow calorimeter as described in 2.9.4 or by the use 
of bottled propane whose gross heating value is certified to be at least 
as accurate a value as could be obtained from measurements taken with a 
standard continuous flow calorimeter as described in 2.9.4.
    2.2.2.4 Test gas. A basic model of a convertible cooking appliance 
shall be tested with natural gas, but may also be tested with propane. 
Any basic model of a conventional range, conventional cooking top, or 
conventional oven which is designed to operate using only natural gas as 
the energy source must be tested with natural gas. Any basic model of a 
conventional range, conventional cooking top, or conventional oven which 
is designed to operate using only LP gas as the gas energy source must 
be tested with propane gas.
    2.3  Air circulation. Maintain air circulation in the room 
sufficient to secure reasonably uniform temperature distribution, but do 
not cause a direct draft on the unit under test.
    2.4  Setting the conventional oven thermostat.
    2.4.1  Conventional electric oven. Install a thermocouple 
approximately in the center of the usable baking space. Provide a 
temperature indicator system for measuring the oven's temperature with 
an accuracy as indicated in 2.9.3.2. If the oven thermostat does not 
cycle on and off, adjust or determine the conventional electric oven 
thermostat setting to provide an average internal temperature which is 
325 deg.plus-minus5 deg. F higher than the room ambient air 
temperature. If the oven thermostat operates by cycling on and off, 
adjust or determine the conventional electric oven thermostat setting to 
provide an average internal temperature which is 
325 deg.plus-minus5 deg. F higher than the room ambient air 
temperature. This shall be done by measuring the maximum and minimum 
temperatures in any three consecutive cut-off/cut-on actions of the 
electric resistance heaters, excluding the initial cut-off/cut-on 
action, by the thermostat after the temperature rise of 
325 deg.plus-minus5 deg. F has been attained by the 
conventional electric oven. Remove the thermocouple after the thermostat 
has been set.
    2.4.2 Conventional gas oven. Install five parallel-connected 
weighted thermocouples, one located at the center of the conventional 
gas oven's usable baking space and the other four equally spaced between 
the center and the corners of the conventional gas oven on the diagonals 
of a horizontal plane through the center of the conventional gas oven. 
Each weighted thermocouple shall be constructed of a copper disc that is 
1-inch in diameter and \1/8\-inch thick. The two thermocouple wires 
shall be located in two holes in the disc spaced \1/2\-inch apart, with 
each hole being located \1/4\-inch from the center of the disc. Both 
thermocouple wires shall be silver-soldered to the copper disc. Provide 
a temperature indicator system for measuring the oven's temperature with 
an accuracy as indicated in 2.9.3.2. If the oven thermostat does not 
cycle on or off, adjust or determine the conventional gas oven 
thermostat setting to provide an average internal temperature which is 
325 deg.plus-minus5 deg. F higher than the room ambient air 
temperature. If the oven thermostat operates by cycling on and off, 
adjust or determine the conventional electric oven thermostat setting to 
provide an average internal temperature which is 
325 deg.plus-minus5 deg. F higher than the room ambient air 
temperature. This shall be done by measuring the maximum and minimum 
temperatures in any three consecutive cut-off/cut-on actions of the gas 
burners, excluding the initial cut-off/cut-on action, by the thermostat 
after the

[[Page 156]]

temperature rise of 325 deg.plus-minus5 deg. F has been 
attained by the conventional gas oven. Remove the thermocouples after 
the thermostat has been set.
    2.5  Ambient room air temperature. During the test, maintain an 
ambient room air temperature, TR, of 
77 deg.plus-minus9 deg. F as measured at least 5 feet and not 
more than 8 feet from the nearest surface of the unit under test and 
approximately 3 feet above the floor. The temperature shall be measured 
with a thermometer or temperature indicating system with an accuracy as 
indicated in 2.9.3.1.
    2.6  Normal nonoperating temperature. All areas of the appliance to 
be tested shall attain the normal nonoperating temperature, as defined 
in 1.5, before any testing begins. The equipment for measuring the 
applicable normal nonoperating temperature shall be as described in 
2.9.3.1, 2.9.3.2, 2.9.3.4, and 2.9.3.5, as applicable.
    2.7  Test blocks for conventional oven and cooking top. The test 
blocks shall be made of aluminum alloy No. 6061, with a specific heat of 
0.23 Btu's/lb- deg.F and with any temper that will give a coefficient of 
thermal conductivity of 0.37 to 0.41 cal/cm- deg.C-sec. Each block shall 
have a hole at its top. The hole shall be 0.08 inch in diameter and 0.80 
inch deep. The manufacturer conducting the test may provide other means 
which will ensure that the thermocouple junction is installed at this 
same position and depth.
    The bottom of each block shall be flat to within 0.002 inch TIR 
(total indicator reading). Determine the actual weight of each test 
block with a scale with an accuracy as indicated in 2.9.5.
    2.7.1  Conventional oven test block. The test block for the 
conventional oven, W1, shall be 6.25plus-minus0.05 
inch in diameter, approximately 2.8 inches high and shall weigh 
8.5plus-minus0.1 lbs. The block shall be finished with an 
anodic black coating which has a minimum thickness of 0.001 inch or with 
a finish having the equivalent absorptivity.
    2.7.2  Small test block for conventional cooking top. The small test 
block, W2, shall be 6.25plus-minus0.05 inches in 
diameter, approximately 2.8 inches high and shall weigh 
8.5plus-minus0.1 lbs.
    2.7.3  Large test block for conventional cooking top. The large test 
block for the conventional cooking top, W3, shall be 
9plus-minus0.05 inches in diameter, approximately 3.0 inches 
high and shall weigh 19plus-minus0.1 lbs.
    2.7.4  Thermocouple installation. Install the thermocouple such that 
the thermocouple junction (where the thermocouple contacts the test 
block) is at the bottom of the hole provided in the test block and that 
the thermocouple junction makes good thermal contact with the aluminum 
block. If the test blocks are to be water cooled between tests the 
thermocouple hole should be sealed, or other steps taken, to insure that 
the thermocouple hole is completely dry at the start of the next test. 
Provide a temperature indicator system for measuring the test block 
temperature with an accuracy as indicated in 2.9.3.3.
    2.7.5  Initial test block temperature. Maintain the initial 
temperature of the test blocks, TI, within 
plus-minus4 deg. F of the ambient room air temperature as 
specified in 2.5. If the test block has been cooled (or heated) to bring 
it to room temperature, allow the block to stabilize for at least 2 
minutes after removal from the cooling (or heating) source, before 
measuring its initial temperature.
    2.8  Test beakers.
    2.8.1  Test beaker description. The five test beakers shall be made 
of a thin walled borosilicate glass. Two of the test beakers shall have 
an inside diameter of approximately 85 millimeters (mm). Three of the 
test beakers shall have an inside diameter of approximately 110 mm.
    2.8.2  Test beaker load. Fill one of the 85 mm diameter test beakers 
with 275 milliliters (ml)plus-minus2.75 ml of distilled water 
containing 1 percent sodium chloride (NaCl) by weight. Fill one of the 
85 mm diameter test beakers with 500 mlplus-minus5.0 ml of 
distilled water containing 1 percent NaCl by weight. Fill each of the 
110 mm diameter test beakers with 1,000 mlplus-minus10.0 ml 
of distilled water containing 1 percent NaCl by weight.
    2.8.2.1  Test beaker water load temperature. Maintain the initial 
temperature of the test beaker water load within the range of 68 deg. F 
to 77 deg. F. The temperature shall be measured with a thermometer or 
other equipment with an accuracy as indicated in 2.9.3.4.
    2.9  Instrumentation. Perform all test measurements using the 
following instruments, as appropriate:
    2.9.1  Electrical Measurements.
    2.9.1.1  Watt-hour meter. The watt-hour meter for measuring the 
electrical energy consumption of conventional ovens and cooking tops 
shall have a resolution of at least 1 watt-hour and a maximum error no 
greater than 1.5 percent of the measured value for any demand greater 
than 100 watts. The watt-hour meter for measuring the energy consumption 
of microwave ovens shall have a resolution of at least 0.1 watt-hour and 
a maximum error no greater than 1.5 percent of the measured value.
    2.9.1.2  Wattmeter. The wattmeter shall have a resolution of at 
least 0.2 watt and a maximum error no greater than 5 percent of the 
measured value over the range of 0 to 10 watts.
    2.9.2  Gas Measurements.
    2.9.2.1  Positive displacement meters. The gas meter to be used for 
measuring the gas consumed by the gas burners of the oven or cooking top 
shall have a resolution of at least 0.01 cubic foot and a maximum error 
no greater than 1 percent of the measured value for any demand greater 
than 2.2 cubic feet per hour. If a positive displacement gas meter is 
used for measuring the gas

[[Page 157]]

consumed by the pilot lights, it shall have a resolution of at least 
0.01 cubic foot and have a maximum error no greater than 2 percent of 
the measured value.
    2.9.2.2  Flow meter. If a gas flow meter is used for measuring the 
gas consumed by the pilot lights, it shall be calibrated to have a 
maximum error no greater than 1.5 percent of the measured value and a 
resolution of at least 1 percent of the measured value.
    2.9.3  Temperature measurement equipment.
    2.9.3.1  Room temperature indicating system. The room temperature 
indicating system shall have an error no greater than 
plus-minus1 deg. F over the range 65 deg. to 90 deg. F.
    2.9.3.2  Temperature indicator system for measuring conventional 
oven temperature. The equipment for measuring the conventional oven 
temperature shall have an error no greater than 
plus-minus4 deg. F over the range of 65 deg. to 500 deg. F.
    2.9.3.3  Temperature indicator system for measuring test block 
temperature. The system shall have an error no greater than 2 deg. F 
when measuring specific temperatures over the range of 65 deg. to 
330 deg. F. It shall also have an error no greater than 2 deg. F when 
measuring any temperature difference up to 240 deg. F within the above 
range.
    2.9.3.4  Microwave oven and test load temperatures. The thermometer 
or other equipment used to measure the microwave oven temperature and 
its test load temperature shall have an error no greater than 1 deg. F 
over the range of 65 deg. to 140 deg. F.
    2.9.3.5  Temperature indicator system for measuring surface 
temperatures. The temperatures of an external surface of an appliance 
shall be measured by means of a thermocouple in firm contact with the 
surface. The temperature indicating system shall have an error no 
greater than plus-minus1 deg. F over the range 65 deg. to 
90 deg. F.
    2.9.4  Standard continuous flow calorimeter. The calorimeter shall 
have an operating range of 750 to 3,500 Btu's per cubic foot. The 
maximum error of the basic calorimeter shall be no greater than 0.2 
percent of the gross heating value of the gas used in the test. The 
indicator readout shall have a maximum error no greater than 0.5 percent 
of the measured value within the above operating range and a resolution 
of 0.2 percent or less of the full scale reading of the indicator 
instrument.
    2.9.5  Scale. The scale used for weighing the test blocks shall have 
a maximum error no greater than one ounce.

                    3. test methods and measurements

    3.1  Test methods.
    3.1.1  Conventional oven. Perform a test by establishing the testing 
conditions set forth in 2 of this appendix, and adjust any pilot lights 
of a conventional gas oven in accordance with the manufacturer's 
instructions and turn off the gas flow to the conventional cooking top, 
if so equipped.
    Before beginning the test, the conventional oven shall be at its 
normal nonoperating temperature as defined in 1.5 and described in 2.6. 
Set the conventional oven test block W1 approximately in the 
center of the usable baking space. If there is a selector switch for 
selecting the mode of operation of the oven, set for normal baking. If 
an oven permits baking by either forced convention using a fan, or 
without forced convection, the oven is to be tested in each of those two 
modes. If the oven thermostat does not cycle on and off, adjust or 
determine the conventional electric oven thermostat setting to provide 
an average internal temperature which is 325 deg. 
plus-minus5 deg. F higher than the room ambient air 
temperature. If the oven thermostat operates by cycling on and off, 
adjust or determine the conventional electric oven thermostat setting to 
provide an average internal temperature which is 325 deg. 
plus-minus5 deg. of higher than the room ambient air 
temperature. If the oven thermostat operates by cycling on and off, the 
oven shall remain on for at least one complete thermostat ``cut-off/cut-
on'' of the electrical resistance heaters or gas burners after the test 
block temperature has increased 234 deg. F above its initial 
temperature.
    3.1.1.1  Self-cleaning operation of a conventional oven. Perform a 
test by establishing the test conditions set forth in 2 of this 
appendix. Adjust any pilot lights of a conventional gas oven in 
accordance with the manufacturer's instructions and turn off the gas 
flow to the conventional cooking top. The temperature of the 
conventional oven shall be its normal nonoperating temperature as 
defined in 1.5 and described in 2.6. Then set the conventional oven's 
self-cleaning process in accordance with the manufacturer's 
instructions. If the self-cleaning process is adjustable, use the 
average time recommended by the manufacturer for a moderately soiled 
oven.
    3.1.1.2  Continuously burning pilot lights of a conventional gas 
oven. Perform a test by establishing the test conditions set forth in 2 
of this appendix. Adjust any pilot lights of a conventional gas oven in 
accordance with the manufacturer's instructions and turn off the gas 
flow to the conventional cooking top. If a positive displacement gas 
meter is used the test duration shall be sufficient to measure a gas 
consumption which is at least 200 times the resolution of the gas meter.
    3.1.2  Conventional cooking top. Perform a test by establishing the 
test conditions set forth in 2 of this Appendix. Adjust any pilot lights 
of a conventional gas cooking top in accordance with the manufacturer's 
instructions and turn off the gas flow to the conventional oven(s), if 
so equipped. The temperature of the conventional cooking top shall be 
its normal nonoperating temperature as defined in 1.5 and described in 
2.6. Set the test

[[Page 158]]

block in the center of the surface unit under test. The small test 
block, W2, shall be used on electric surface units of 7 
inches or less in diameter. The large test block, W3, shall 
be used on electric surface units over 7 inches in diameter and on all 
gas surface units. Turn on the surface unit under test and set its 
energy input rate to the maximum setting (100 percent). When the test 
block reaches 144 deg.F above its initial test block temperature, 
immediately reduce the energy input rate to 25plus-minus5 
percent of the maximum energy input rate. After 
15plus-minus0.1 minutes at the reduced energy setting, turn 
off the surface unit under test.
    3.1.2.1  Continuously burning pilot lights of a conventional gas 
cooking top. Perform a test by establishing the test conditions set 
forth in 2 of this Appendix. Adjust any pilot lights of a conventional 
gas cooking top in accordance with the manufacturer's instructions and 
turn off the gas flow to the conventional oven(s). If a positive 
displacement gas meter is used the test duration shall be sufficient to 
measure a gas consumption which is at least 200 times the resolution of 
the gas meter.
    3.1.3  Microwave oven. Perform the tests by establishing the testing 
conditions set forth in 2 of this Appendix. Four tests are to be 
conducted with the water test loads in the following sequence: 2,000 ml, 
1,000 ml, 500 ml and 275 ml. For each test, place the appropriate test 
beaker(s) containing the water load specified in 2.8.2 in approximately 
the center of the load carrying surface of the oven, and operate the 
microwave oven at its maximum microwave power setting until the 
temperature of the water load has been raised 
45plus-minus9 deg. F. Allow one minute for changing the test 
load beakers between each of the tests.
    For the 2,000 ml test, set the two test beakers, each containing 
1,000 ml of the specified water load, side by side, in the approximate 
center of the oven.
    3.2  Test measurements.
    3.2.1  Conventional oven test energy consumption. If the oven 
thermostat is a type which controls the oven temperature without cycling 
on and off, measure the energy consumed, Eo, when the 
temperature of the block reaches To (To is 
234 deg. F above the initial block temperature, TI). If the 
oven thermostat operates by cycling on and off, make the following 
series of measurements: Measure the block temperature, TA, 
and the energy consumed, EA, at the end of the last ``ON'' 
period of the conventional oven before the block reaches To. 
Measure the block temperature, TB, and the energy consumed, 
EB, at the beginning of the next ``ON'' period. Measure the 
block temperature, TC, and the energy consumed, 
EC, at the end of that ``ON'' period. Measure the block 
temperature, TD, and the energy consumed, ED, at 
the beginning of the following ``ON'' period. Energy measurements for 
EA, EB, EC and ED should be 
expressed in watt-hours for conventional electric ovens or standard 
cubic feet of gas for conventional gas ovens. For a gas oven measure in 
watt-hours any electrical energy, EIO, consumed by an 
ignition device or other electrical components required for the 
operation of a conventional gas oven while heating the test block to 
TO.
    3.2.1.1  Energy consumption of self-cleaning operation. Measure the 
self-cleaning conventional electric or gas oven energy consumption, 
ES, specified as the number of watt-hours of electrical 
energy or standard cubic feet of gas, respectively, consumed during the 
self-cleaning test set forth in 3.1.1.1. For a gas oven also measure in 
watt-hours any electrical energy, EIS, consumed by an 
ignition device or other electrical components required during the self-
cleaning test.
    3.2.1.2  Gas consumption of continuously burning pilot lights. 
Measure the gas consumption of the pilot lights, Po, in 
standard cubic feet of gas and the test duration, Lo, in 
hours for the test set forth in 3.1.1.2. If a gas flow meter is used, 
measure the flow rate, PR, in standard cubic feet per hour.
    3.2.1.3  Clock power. If the conventional oven, conventional range, 
or microwave/conventional range includes an electric clock which is on 
continuously, and the power rating in watts of this feature is not know, 
measure the clock power, PCL, in watts.
    3.2.2  Conventional surface unit test energy consumption. For the 
surface unit under test, measure the energy consumption, ECT, 
in standard cubic feet of gas or watt-hours of electricity, 
respectively, and the test block temperature, TCT, at the end 
of the 15 minute (reduced input setting) test interval for the test 
specified in 3.1.2 and the total time, TT, in hours, that the 
unit is under test. Measure any electrical energy, EIC, 
consumed by an ignition device of a gas heating element in watt-hours.
    3.2.2.1  Gas consumption of continuously burning pilot lights. If 
the conventional gas cooking top under test has one or more continuously 
burning pilot lights, measure the gas consumed during the test by the 
pilot lights, Pc, in standard cubic feet of gas, and the test 
duration, Lc, in hours as specified in 3.1.2.1. If a gas flow 
meter is used, measure the flow rate, P, in standard cubic feet per 
hour.
    3.2.3  Microwave oven test energy consumption. Measure the initial, 
TI, and final, TF, temperatures, in degrees 
Fahrenheit ( deg.F), of the water test load for the 2,000 ml, 1,000 ml, 
500 ml and 275 ml tests. The final temperature, TF, shall be 
measured after the test load has been stirred to insure uniform 
temperature distribution. Measure the elapsed time, t, in seconds, until 
the temperature rise of the water load is 45plus-minus9 deg. 
F.
    Measure for each test specified in 3.1.3 the electical input energy, 
EM, in watt-hours

[[Page 159]]

consumed by the microwave oven during the elapsed time, t.
    3.3  Recorded values.
    3.3.1  Record the test room temperature, TR, at the start 
and end of each test.
    3.3.2  Record measured test block weights W1, 
W2, and W3 in pounds.
    3.3.3  Record the initial temperature, TI, of the test 
block under test.
    3.3.4  For a conventional oven with a thermostat which operates by 
cycling on and off, record the conventional oven test measurements 
TA, EA, TB, EB, 
TC, EC, TD, and ED. If the 
thermostat controls the oven temperature without cycling on and off, 
record EO. For a gas oven which also uses electrical energy 
for the ignition or operation of the oven, also record EIO.
    3.3.5  Record the measured energy consumption, ES, and 
for a gas oven, any electrical energy, EIS, for the test of 
the self-cleaning operation of a conventional oven.
    3.3.6  Record the gas flow rate, PR; or the gas 
consumption, Po, and the elapsed time, Lo, that 
any continuously burning pilot lights of a conventional oven are under 
test.
    3.3.7  Record the clock power measurement or rating, PCL, 
in watts.
    3.3.8  For the surface unit under test, record the energy 
consumption, ECT, the final test block temperature, 
TCT, the total test time, TT. For a gas cooking 
top which uses electrical energy for ignition of the burners, also 
record EIC.
    3.3.9  Record the gas flow rate, P; or the gas consumption, 
Pc, and the elapsed time, Lc, that any 
continuously burning pilot lights of a conventional cooking top are 
under test.
    3.3.10  Record the heating value, Hn, as determined in 
2.2.2.2 for the natural gas supply.
    3.3.11  Record the heating value, Hp, as determined in 
2.2.2.3 for the propane supply.
    3.3.12  Record the electrical input energy, EM, the 
elapsed time, t, and initial, TI, and final, TF, 
temperature of the water load for each microwave oven test.

        4. calculation of derived results from test measurements

    4.1  Conventional oven. 
    4.1.1  Test energy consumption. For a conventional oven with a 
thermostat which operates by cycling on and off calculate the test 
energy consumption, EO, corresponding to TO with 
the aid of the figure in 5 of this Appendix, expressed in watt-hours for 
electric ovens and in Btu's for gas ovens, and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.003

where:
    H=either Hn or Hp, the heating value of the 
gas used in the test as specified in 2.2.2.2 and 2.2.2.3, expressed in 
Btu's per standard cubic foot.

[[Page 160]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.004


where:
    TA=block temperature at the end of the last ``ON'' period 
of the conventional oven before the test block reaches TO.
    EA=volume of gas consumed in standard cubic feet at the 
end of the last ``ON'' period before the test block reaches 
TO.
    TB=block temperature at the beginning of the ``ON'' 
period following the measurement of TA.
    EB=volume of gas consumed in standard cubic feet of gas 
at the beginning of the ``ON'' period following the measurement 
TA.
    TC=block temperature at the end of the ``ON'' period 
which starts with TB.
    EC=volume of gas consumed in standard cubic feet of gas 
at the end of the ``ON'' period which starts with TB.
    TD=block temperature at the beginning of the ``ON'' 
period which follows the measurement of TC.
    ED=volume of gas consumed in standard cubic feet of gas 
at the beginning of the ``ON'' period which follows the measurement of 
TC.
    4.1.1.1  Average test energy consumption. If the conventional oven 
can be operated with or without forced convection, determine the average 
test energy consumption, EO and EIO, using the 
following equations:
[GRAPHIC] [TIFF OMITTED] TC04OC91.005

where:
    (Eo)1, (Eo)2=Test energy 
consumption in each baking mode as measured in 3.2.1 or as calculated in 
4.1.1.
    (EIO)1, 
(EIO)2=electrical energy consumption of a gas oven 
in each baking mode as measured in 3.2.1.

    4.1.2  Conventional oven annual energy consumption.
    4.1.2.1.  Annual cooking energy consumption.
    4.1.2.1.1.  Annual primary energy consumption. Calculate the annual 
primary energy consumption for cooking, ECO, expressed in 
kilowatt-hours for electric ovens and in Btu's for gas ovens, and 
defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.006

where:
    EO=test energy consumption as calculated in 4.1.1 of 
4.1.1.1.
    HE=3.412 Btu's/Wh, conversion factor of watt-hours to 
Btu's.
    OO=47.09 kWh's, annual useful cooking energy output of 
conventional electric oven.
    W1=measured weight of test block in pounds.
    CP=0.23 Btu/1b- deg.F, specific heat of test block.
or,
    T=234 deg.F, temperature rise of test block.
    [GRAPHIC] [TIFF OMITTED] TC04OC91.007
    
where:
    EO=test energy consumption as measured in 3.2.1. or as 
calculated in 4.1.1 or 4.1.1.1.
    Oo=160,700 Btu's, annual useful cooking energy output of 
conventional gas oven.
    W1CP and T are the same as defined above.

    4.1.2.1.2  Annual secondary energy consumption for cooking of gas 
ovens. Calculate the annual secondary energy consumption for cooking, 
ESO, expressed in kilowatt-hours and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.008

where:
    EIO=electrical test energy consumption according to 3.2.1 
or as calculated in 4.1.1.1.
    OO=47.09 kWh's, annual useful cooking energy output.
HE,W1,CP, and T are as defined in 
4.1.2.1.1.

    4.1.2.2  Annual energy consumption of any continuously burning pilot 
lights. Calculate the annual energy consumption of any continuously 
burning pilot lights, EPO,!expressed in Btu's and defined as:

              EPO=PR  x  H  x  (A-B),

where:

[[Page 161]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.009


    =pilot flow rate in standard cubic feet per hour where PO 
and LO are defined below.
    PO=Standard cubic feet of gas consumed by any 
continuously burning pilot lights as determined in 3.2.1.2.
    H=Hn or HP,the heating value of the gas used 
in the test as specified in 2.2.2.2 and 2.2.2.3 in Btu's per standard 
cubic foot.
    LO=elapsed test time in hours for any continuously 
burning pilot lights tested.
    A=8,760, number of hours in a year.
    B=300, number of hours any continuously burning pilot lights 
contribute to the heating of an oven for cooking food.

    4.1.2.3  Annual conventional oven self-cleaning energy.
    4.1.2.3.1  Annual primary energy consumption. Calculate the annual 
primary energy consumption for conventional oven self-cleaning 
operations, ESC, expressed in kilowatt-hours for electric 
ovens and in Btu's for gas ovens, and defined as:

   ESC=ES  x  Se  x  C, for electric 
                                 ovens,

where:
    ES=energy consumption in watt-hours as measured in 
3.2.1.1.
    Se=11, average number of times a self-cleaning operation 
of a conventional electric oven is used per year.
    C=.001 kW/W conversion factor of watts to kilowatts.
or

  ESC=ES  x  H  x  Sg, for gas ovens,

where:
    ES=gas consumption in standard cubic feet per oven tested 
according to 3.2.1.1.
    H=Hn or Hp, the heating value of the gas used 
in the test as specified in 2.2.2.2 and 2.2.2.3 in Btu's per standard 
cubic foot.
    Sg=7, average number of times a self-cleaning operation 
of a conventional gas oven is used per year.

    4.1.2.3.2  Annual secondary energy consumption for self-cleaning 
operation of gas ovens. Calculate the annual secondary energy 
consumption for self-cleaning operations of a gas oven, ESS, 
expressed in kilowatt-hours and defined as:

           ESS=EIS x Sg x C,

where:
    EIS=electrical energy consumed during the self-cleaning 
operation of a conventional gas oven, as measured in 3.2.1.1.
    Sg and C are the same as defined in 4.1.2.3.1.

    4.1.2.4  Annual clock energy consumption. Calculate the annual 
energy consumption of any constantly operating electric clock, 
ECL, expressed in kilowatt-hours and defined as:

             ECL=PCL x HK,

where:
    PCL=power rating, in watts, of clock which is on 
continuously.
    KK=8.76, thousands of hours in a year.

    4.1.2.5  Total annual energy consumption of a single conventional 
oven.
    4.1.2.5.1  Electric oven energy consumption. Calculate the total 
annual energy consumption of a conventional electric oven, 
EAO, expressed in kilowatt-hours and defined as:

      EAO=ECO+ESC+ECL,

where:
    ECO=annual cooking energy consumption as determined in 
4.1.2.1.1.
    ESC=annual self-cleaning energy consumption as determined 
in 4.1.2.3.1.
    ECL=annual clock energy consumption as determined in 
4.1.2.4.

    4.1.2.5.2  Conventional gas oven energy consumption. Calculate the 
total annual gas energy consumption of a conventional gas oven, 
EAOG, expressed in Btu's and defined as:

      EAOG=ECO+EPO+ESC,

where:
    ECO=annual primary cooking energy consumption as 
determined in 4.1.2.1.1.
    EPO=annual pilot energy consumption as determined in 
4.1.2.2.
    ESC=annual primary self-cleaning energy consumption as 
determined in 4.1.2.3.1.

    If the conventional gas oven uses electrical energy, calculate the 
total annual electrical energy consumption, EAOE, expressed 
in kilowatt-hours, and defined as:

      EAOE=ESO+ESS+ECL,

where:
    ESO=annual secondary cooking energy consumption as 
determined in 4.1.2.1.2.
    ESS=annual secondary self-cleaning energy consumption as 
determined in 4.1.2.3.2.
    ECL=annual clock energy consumption as determined in 
4.1.2.4.

    The total annual energy consumption of a conventional gas oven, 
EAO, is comprised of EAOG, expressed in Btu's and 
EAOE, expressed in kilowatt-hours, as computed above.
    4.1.2.6.  Total annual energy consumption of multiple conventional 
ovens. If the cooking appliance includes more than one conventional oven 
calculate the total annual energy consumption of the conventional ovens 
using the following equations:
    4.1.2.6.1  Conventional electric ovens energy consumption. Calculate 
the total annual energy consumption, ETO, in kilowatt-hours 
and defined as:

[[Page 162]]

     ETO=EACO+EASC+ECL,

where:
[GRAPHIC] [TIFF OMITTED] TC04OC91.010

average annual primary energy consumption for cooking, where:
    n=number of conventional ovens in the basic model.
    ECO=annual primary energy consumption for cooking as 
determined in 4.1.2.1.1.
[GRAPHIC] [TIFF OMITTED] TC04OC91.011

average annual self-cleaning energy consumption, where:
    n=number of self-cleaning conventional ovens in the basic model.
    ESC=self-cleaning energy consumption as determined 
according to 4.1.2.3.1.
    ECL=clock energy consumption as determined according to 
4.1.2.4.

    4.1.2.6.2  Conventional gas ovens energy consumption. Calculate the 
total annual gas energy consumption, ETOG, in Btu's and 
define as:

    ETOG=EACO+EASC+ETPO,

where:
    EACO=average annual primary energy consumption in Btu's 
as defined in 4.1.2.6.1.
    EASC=average annual self-cleaning energy consumption in 
Btu's as defined in 4.1.2.6.1.
[GRAPHIC] [TIFF OMITTED] TC04OC91.012

total annual energy consumption of any pilot lights, where:
    EPO=annual energy consumption of any continuously burning 
pilot lights determined according to 4.1.2.2.
    n=number of pilot lights in the basic model.

    If the ovens also use electrical energy calculate the total annual 
electrical energy consumption, ETOE, in kilowatt-hours and 
defined as:

     ETOE=EASO+EASS+ECL,

where:
[GRAPHIC] [TIFF OMITTED] TC04OC91.013

average annual secondary energy consumption for cooking, where:
    n=number of conventional ovens in the basic model.
    ESO=annual secondary energy consumption for cooking as 
determined in 4.1.2.1.2.
[GRAPHIC] [TIFF OMITTED] TC04OC91.014

average annual secondary self-cleaning energy consumption, where:
    n=number of self-cleaning ovens in the basic model.
    ESS=annual secondary self-cleaning energy consumption as 
determined in 4.1.2.3.2.
    ECL=annual clock energy consumption as determined in 
4.1.2.4.

    The total annual energy consumption of multiple gas ovens, 
ETO, is comprised of ETOG expressed in Btu's, and 
ETOE expressed in kilowatt-hours, as computed above.
    4.1.3  Conventional oven cooking efficiency.
    4.1.3.1  Single conventional oven. Calculate the conventional oven 
cooking efficiency, EffAO, using the following equations:
    For electric ovens:
    [GRAPHIC] [TIFF OMITTED] TC04OC91.015
    
where:
    W1=measured weight of test block in pounds.
    CP=0.23 Btu/lb- deg. F, specific heat of test block.
    T=234 deg. F, temperature rise of test block.
    EO=test energy consumption as measured in 3.2.1 or 
calculated in 4.1.1 or 4.1.1.1.
    HE=3.412 Btu's/Wh, conversion factor for watt-hours to 
Btu's.
    E10=electrical test energy consumption according to 3.2.1 
or as calculated in 4.1.1.1.

    4.1.3.2  Multiple conventional ovens. If the cooking appliance 
includes more than one conventional oven, calculate the cooking 
efficiency for all of the conventional ovens in the appliance, 
EffTO, using the following equation:
[GRAPHIC] [TIFF OMITTED] TC04OC91.016

where:
    n=number of conventional ovens in the cooking appliance.
    EffAO=cooking efficiency of each oven determined 
according to 4.1.3.1.

    4.1.4  Conventional oven energy factor.

[[Page 163]]

    4.1.4.1  Single conventional oven. Calculate the energy factor, or 
the ratio of useful cooking energy output to the total energy input, 
RO, using the following equations:
    For electric ovens,
    [GRAPHIC] [TIFF OMITTED] TC04OC91.017
    
where:
    Oo=47.09 kWh's per year, annual useful cooking energy 
output.
    EAO=total annual energy consumption as determined in 
4.1.2.5.1.
    For gas ovens,
    [GRAPHIC] [TIFF OMITTED] TC04OC91.018
    
where:
    Oo=160,700 Btu's per year, annual useful cooking energy 
output.
    EAOG=total annual gas energy consumption as determined in 
4.1.2.5.2.
    EAOE=total annual electrical energy consumption as 
determined in 4.1.2.5.2.
    He=3,412 Btu's/kWh, conversion factor for kilowatt-hours 
to Btu's.

    4.1.4.2  Multiple conventional ovens. If the cooking appliance 
includes more than one conventional oven, calculate the energy factor 
for all of the ovens, RTO, using the following equations:
    For electric ovens,
    [GRAPHIC] [TIFF OMITTED] TC04OC91.019
    
where:
    Oo=47.09 kWh's per year, annual useful cooking energy 
output.
    ETO=total energy consumption as determined according to 
4.1.2.6.
    For gas ovens,
    [GRAPHIC] [TIFF OMITTED] TC04OC91.020
    
where:
    Oo=160,700 Btu's per year, annual useful cooking energy 
output.
    ETOG and ETOE are determined according to 
4.1.2.6.2.
    He=3,412 Btu's/kWh, conversion factor for kilowatt-hours 
to Btu's.

    4.2  Conventional cooking top
    4.2.1  Conventional cooking top cooking efficiency
    4.2.1.1  Electric surface unit cooking efficiency. Calculate the 
cooking efficiency, EffSU, of the electric surface unit under 
test, and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.021

where:
    W=measured weight of test block, W2 or W3, 
expressed in pounds.
    CP=0.23 Btu's/lb- deg. F, specific heat of test block.
    Tsu=temperature rise of the test block: final test block 
temperature, TCT, as determined in 3.2.2, minus the initial 
test block temperature, TI, expressed in  deg. F.
    HE=3.412 Btu's/Wh, conversion factor of watt-hours to 
Btu's.
    ECT=measured energy consumption, as determined according 
to 3.2.2, expressed in watt-hours.

    4.2.1.2  Gas surface unit cooking efficiency. Calculate the cooking 
efficiency, EffSU, of the gas surface unit under test, and 
defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.022

where:
    W3=measured weight of test block according to 3.3.2, 
expressed in pounds.
    Cp and Tsu are the same as defined in 4.2.1.1.
    [GRAPHIC] [TIFF OMITTED] TC04OC91.023
    
where:
    ECT=total gas consumption for the gas surface unit test 
as defined in 3.2.2.
    EIC=electrical energy consumed by an ignition device of a 
gas surface unit as defined in 3.2.2.
    HE=3.412 Btu's/Wh, conversion factor of watt-hours to 
Btu's.
    H=either Hn or Hp, the heating value of the 
gas used in the test as specified in 2.2.2.2 and 2.2.2.3, expressed in 
Btu's per standard cubic foot of gas.
    ECP=P x T, (pilot consumption, in standard cubic feet, 
during unit test) where
[GRAPHIC] [TIFF OMITTED] TC04OC91.024

where:
    Pc=any pilot lights gas consumption defined in 3.2.2.1.
    Lc=elapsed time of the cooking top pilot lights test as 
defined in 3.1.2.1.
    TT=the elapsed test time as defined in 3.2.2.

    4.2.1.3  Conventional cooking top cooking efficiency. Calculate the 
conventional cooking top cooking efficiency, EffCT, using the 
following equation:

[[Page 164]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.025


where:
    n=number of surface units in the cooking top.
    EffSU=the efficiency of each of the surface units, as 
determined according to 4.2.1.1 or 4.2.1.2.

    4.2.2  Conventional cooking top annual energy consumption.
    4.2.2.1  Conventional electric cooking top energy consumption. 
Calculate the annual energy consumption of an electric cooking top, 
ECA, in kilowatt-hours per year and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.026

where:
    OCT=277.7 kWh per year, annual useful cooking energy 
output.
    EffCT=conventional cooking top cooking efficiency as 
defined in 4.2.1.3.
    4.2.2.2  Conventional gas cooking top

    4.2.2.2.1  Annual cooking energy consumption. Calculate the annual 
energy consumption for cooking, ECC, in Btu's per year for a 
gas cooking top and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.027

where:
    OCT=947,500 Btu's, annual useful cooking energy output.
    EffCT=the gas cooking top efficiency as defined in 
4.2.1.3.

    4.2.2.2.2  Annual energy consumption of any continuously burning gas 
pilots. Calculate the annual energy consumption of any continuously 
burning gas pilot lights of the cooking top, Epc, in Btu's 
per year and defined as:

                        Epc=P x A x H,

where:
    P=pilot light flow rate as defined in 4.2.1.2, or as measured in 
3.2.2.1.
    A=8,760 hours, the total number of hours in a year.
    H=either Hn or Hp, the heating value of the 
gas used in the test as specified in 2.2.2.2. and 2.2.2.3, expressed in 
Btu's per standard cubic foot of gas.

    4.2.2.2.3  Total annual energy consumption of a conventional gas 
cooking top. Calculate the total annual energy consumption of a 
conventional gas cooking top, ECA, in Btu's per year and 
defined as:

              ECA=ECC+EPC,

where:
    ECC=energy consumption for cooking as determined in 
4.2.2.2.1.
    EPC=annual energy consumption of the pilot lights as 
determined in 4.2.2.2.2.

    4.2.3  Conventional cooking top energy factor. Calculate the energy 
factor, or ratio of useful cooking energy output for cooking to the 
total energy input, RCT, as follows:
    For an electric cooking top the energy factor is the same as the 
cooking efficiency as determined according to 4.2.1.3.
    For gas cooking tops,
    [GRAPHIC] [TIFF OMITTED] TC04OC91.028
    
where:
    OCT=947,500 Btu's per year, annual useful cooking energy 
output of cooking top.
    ECA=total annual energy consumption of cooking top 
determined according to 4.2.2.2.3.

    4.3  Conventional range.
    4.3.1  Conventional range annual energy consumption. Calculate the 
conventional range annual energy consumption, ER, in kWh's 
per year for electrical energy and Btu's per year for gas energy, and 
defined as:

 ER=EAT+ECA, where gas and electrical 
                 energy are added separately, and where

    EAT=EAO or ETO, the conventional 
oven(s) annual energy consumption in kWh's per year and/or Btu's per 
year as determined in 4.1.2.5 or 4.1.2.6.
    CCA=the conventional cooking top annual energy 
consumption in kWh's per year or Btu's per year as defined in 4.2.2.

    4.3.2  Conventional range cooking efficiency. Calculate the 
conventional range cooking efficiency, EffR, and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.029

where:
    EffO=EffAO or EffTO, the cooking 
efficiency of the oven(s) as determined according to 4.1.3.1 or 4.1.3.2.
    EffCT=cooking top efficiency as determined in 4.2.1.3.

The constants 0.145 and 0.855 are fractions of the annual useful energy 
output represented by oven usage and cooking top usage respectively.
    4.3.3 Conventional range energy factor. Calculate the energy factor, 
or the ratio of the useful cooking energy output to the total energy 
input on a yearly basis for the complete range, RR, and 
defined as:

[[Page 165]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.030


where:
    OR=1,108,000 Btu's, annual useful cooking energy output.
    ER=total annual energy consumption as determined in 4.3.1 
and with all values for electrical energy converted from kilowatt-hours 
to Btu's by multiplying by 3,412 Btu's per kWh.

    4.4 Microwave oven.
    4.4.1 Specific microwave oven cooking efficiency for each test load. 
Calculate the specific microwave oven cooking efficiency, 
Effi, for each test load and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.031

where:
    W=size of the test load, in milliliters 
TM=TF-TI,
where:
    TF=the final temperature expressed in  deg.F of the test 
load as defined in 3.2.3.
    TI=the initial temperature expressed in  deg.F of the 
test load as defined in 3.2.3.
    F=.000646 Watt-hr/Ml- deg.F (used to convert milliliters of water 
times degrees Fahrenheit to watt-hours).
    EM=the energy consumption as defined in 3.2.3.
    4.4.2  Microwave oven cooking efficiency. Calculate the microwave 
oven cooking efficiency, EffMO, and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.032

    n=4, the number of test loads.
    Effi=the specified microwave cooking efficiency of each 
test load as determined in 4.4.1.

    4.4.3  Microwave oven annual energy consumption. Calculate the 
microwave oven annual energy consumption, EMO, in kWh's per 
year, and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.033

where:
    OM=34.2 kWh's per year, the microwave oven annual useful 
cooking energy output.
    EffMO=the microwave oven cooking efficiency as defined in 
4.4.2.
    PMC=the power rating of features (such as clocks), 
expressed in watts. The power rating is the power drawn from the 
electrical supply when the microwave oven is turned off.
    Hk=8.76, the number of thousand hours in a year.

    4.4.4  Microwave oven energy factor. Calculate the energy factor or 
the ratio of the useful cooking energy output to total energy input on a 
yearly basis, RMO, and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.034

where:
    OM=34.2 kWh, annual useful cooking energy output.
    EMO=annual total energy input as determined in 4.4.3.

    4.5  Microwave/conventional range.
    4.5.1  Annual energy consumption.
    4.5.1.1  Annual energy consumption of the conventional oven for 
cooking.
    4.5.1.1.1  Annual primary energy consumption. Calculate the annual 
primary energy consumption for cooking of a conventional oven in 
combination with a microwave oven, ECOM, expressed in Btu's 
for gas ovens and in kilowatt-hours for electric ovens, with the 
following equation:

                   ECOM=K x ECO,

where:
    K=0.82, estimated fraction of usage for a conventional oven due to 
microwave oven usage.
    ECO=energy consumption as calculated in 4.1.2.1.1.

    4.5.1.1.2  Annual secondary energy consumption for a gas oven. 
Calculate the annual secondary energy consumption for cooking of a gas 
oven in combination with a microwave oven, ESOM, expressed in 
kilowatt-hours, with the following equation:

                   ESOM=K x ESO,

where:
    K=0.82, as defined in 4.5.1.1.1.
    ESO=energy consumption as calculated in 4.1.2.1.2.

    4.5.1.2  Annual energy consumption of the conventional cooking top. 
Calculate the annual energy consumption of a cooking top in combination 
with a microwave oven, ECAM, expressed in kilowatt-hours for 
an electric cooking top and in Btu's for a gas cooking top, with the 
following equations:
    For electric cooking tops:

                   ECAM=L x ECA,

where:
    L=0.85, estimated fraction of usage for a conventional cooking top 
due to mircowave oven usage.
    ECA=energy consumption as calculated in 4.2.2.1.
    For gas cooking tops:

[[Page 166]]

          ECAM=(L x ECC)+EPC,

where:
    ECC=annual energy consumption for cooking as determined 
in 4.2.2.2.1.
    EPC=annual energy consumption of surface pilots as 
determined in 4.2.2.2.2.
    L=0.85, as defined above.

    4.5.1.3  Total annual energy consumption of microwave/conventional 
range.
    4.5.1.3.1  Microwave/conventional electric range. Calculate the 
total annual energy consumption of all-electric microwave/conventional 
range, ERM, expressed in kilowatt-hours per year with the 
following equation:

ERM=ECOM+ESC+ECL+ECAM+
                             EMO,

where:
    ECOM=primary energy consumption for oven cooking as 
determined in 4.5.1.1.1.
    ESC=primary energy consumption for oven self-cleaning as 
determined in 4.1.2.3.1.
    ECL=conventional oven clock energy consumption as 
determined in 4.1.2.4.
    ECAM=cooking top energy consumption as determined in 
4.5.1.2.
    EMO=microwave oven energy consumption as determined in 
4.4.3.

    4.5.1.3.2  Microwave/conventional gas range. For a microwave/
conventional range with a conventional gas cooking top and gas oven 
calculate the total annual gas consumption, ERMG, in Btu's 
and defined as:

ERMG=ECOM+ESC+ECAM+EPO+
                             EPC,

where:
    ECOM, ESC, and ECAM are the same as 
defined in 4.5.1.3.1.
    EPO=gas oven pilot energy consumption as determined in 
4.1.2.2.
    EPC=gas cooking top pilot energy consumption as 
determined in 4.2.2.2.2.

Calculate the total annual electrical energy consumption, 
ERME, in kilowatt-hours and defined as:

ERME=EMO+ESOM+ESS+ECL,


where:
    EMO=microwave oven energy consumption as determined in 
4.4.3.
    ESOM=secondary energy consumption for oven cooking as 
determined in 4.5.1.1.2.
    ESS=secondary energy consumption for oven self-cleaning 
as determined in 4.1.2.3.2.
    ECL=conventional oven clock energy consumption as 
determined in 4.1.2.4.

The total annual energy consumption of a gas and electric microwave/
conventional range, ERM, is comprised of ERMG, 
expressed in Btu's, and ERME, expressed in kilowatt-hours, as 
computed above.
    4.5.2.  Cooking efficiency of microwave/conventional range. 
Calculate the cooking efficiency of a microwave/conventional range, 
EffRM, and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.035

where:
    EffAO=cooking efficiency of conventional oven as 
determined in 4.1.3.1.
    EffCT=cooking efficiency of the cooking top as determined 
in 4.2.1.3.
    EffMO=microwave oven cooking efficiency as determined in 
4.4.2.

The constants 0.1250, 0.7643 and 0.1107 are the fractions of total 
annual useful energy output represented by conventional oven usage, 
cooking top usage, and microwave oven usage respectively.
    4.5.3.  Energy factor of microwave/conventional range. Calculate the 
energy factor of a microwave/conventional range, RRM, and 
defined as:
    For all-electric ranges,
    [GRAPHIC] [TIFF OMITTED] TC04OC91.036
    
where:
    ORM=308.9 kWh, annual useful cooking energy output.
    ERM=total annual energy consumption as determined in 
4.5.1.3.1.

For ranges which use both gas and electrical energy,
[GRAPHIC] [TIFF OMITTED] TC04OC91.037

where:
    ORm=1,054,000 Btu, annual useful cooking energy output.
    ERME=total annual electrical energy consumption as 
determined in 4.5.1.3.2.
    ERMG=total annual gas energy consumption as determined in 
4.5.1.3.2.
    He=3412 Btu's/kWh, conversion factor for kilowatt-hours 
to Btu's.

[[Page 167]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.038


(Energy Policy and Conservation Act, Pub. L. 94-163, as amended by Pub. 
L. 94-385, Pub. L. 95-619; Federal Energy Administration Act of 1974, 
Pub. L. 93-275, as amended by Pub. L. 94-385; Department of Energy 
Organization Act, Pub. L. 95-91; E.O. 11790, 39 FR 23185)

[43 FR 20120, May 10, 1978, as amended at 44 FR 22418, Apr. 13, 1979. 
Redesignated and amended at 44 FR 37938, June 29, 1979]

[[Page 168]]



 Appendix J to Subpart B of Part 430--Uniform Test Method for Measuring 
 the Energy Consumption of Automatic and Semi-automatic Clothes Washers

                             1. definitions

    1.1  ``AHAM'' means the Association of Home Appliance Manufacturers.
    1.2  ``Bone-dry'' means a condition or a load of test cloth which 
has been dried in a dryer at maximum temperature for a minimum of 10 
minutes, removed and weighed before cool down, and then dried again for 
10 minute periods until the final weight change of the load is 1 percent 
or less.
    1.3  ``Clothes container'' means the compartment within the clothes 
washer that holds the clothes during the operation of the machine.
    1.4  ``Compact'' refers to a clothes washer which has a clothes 
container capacity of less than 1.6 cubic feet.
    1.5  ``Deep rinse cycle'' refers to a rinse cycle in which the 
clothes container is filled with water to a selected level and the 
clothes load is rinsed by agitating it or tumbling it through the water.
    1.6  ``Front-loader'' means a clothes washer which sequentially 
rotates or tumbles portions of the clothes load above the water level 
allowing the clothes load to fall freely back into the water. The 
principal axis of the clothes container is in a horizontal plane and the 
access to the clothes container is through the front of the machine.
    1.7  ``HWL--1'' refers to the test standard published by the AHAM 
and titled ``American National Standard Z224.1-1971 Performance 
Evaluation Procedure for Household Clothes Washers,'' December 1971 
designated at HLW-1.
    1.8  ``HLW-2EC'' means AHAM ``Test Method for Measuring Energy 
Consumption on Household Clothes Washers,'' December 1975, designated as 
HLW-2EC.
    1.9  ``Make-up water'' means the amount of fresh water needed to 
supplement the amount of stored water pumped from the external laundry 
tub back into the clothes washer when the suds-return feature is 
activated in order to achieve the required water fill level in the 
clothes washer.
    1.10  ``Normal cycle'' means the cycle recommended by the 
manufacturer for washing cotton and/or linen clothes.
    1.11  ``Sensor filled'' refers to a type of water fill control which 
automatically terminates the fill control which automatically terminates 
the fill when the water reaches an appropriate level in the tub.
    1.12  ``Spray rinse cycle'' refers to a rinse cycle in which water 
is sprayed onto the clothes load for a definite period of time without 
maintaining any specific water level in the clothes container.
    1.13  ``Standard'' refers to a clothes washer which has a clothes 
container capacity of 1.6 cubic feet or greater.
    1.14  ``Suds-return'' means a feature or option on a clothes washer 
which causes the stored wash water obtained by utilizing the suds-saver 
feature to be pumped from the external laundry tub back into the clothes 
washer.
    1.15  Suds-saver'' means a feature or option on a clothes washer 
which allows the user to store used wash water in an external laundry 
tub for use with subsequent wash loads.
    1.16  ``Temperature use factor'' means the percentage of the total 
number of washes a user would wash with a particular wash/rinse 
temperature setting.
    1.17  ``Time filled'' refers to a type of water fill control which 
uses a combination of water flow control in conjunction with time to 
terminate the water fill cycle.
    1.18  ``Top-loader'' means a clothes washer that flexes and 
oscillates the submerged clothes load through the water by mean of 
mechanical agitation or other movement. The principal axis of the 
clothes container is in a vertical plane and the access to the clothes 
container is through the top of the clothes washer.

                          2. testing conditions

    2.1  Installation. Install the clothes washer in accordance with 
manufacturer's instructions.
    2.2  Electrical energy supply. Maintain the electrical supply to the 
clothes washer at 120 volts plus-minus2 volts. Disconnect all 
console lights or other lighting systems on the clothes washer which do 
not consume more than 10 watts during the clothes washer test cycle.
    2.3  Water temperature. The temperature of the water supply shall be 
maintained at 100 deg. F plus-minus10 deg. F for all clothes 
washers not equipped with thermostatically controlled inlet water 
valves. For clothes washers equipped with thermostatic valves, the 
temperature of the hot water supply shall be maintained at 140 deg. F 
plus-minus5 deg. F and the cold water supply shall be 
maintained at 60 deg. F plus-minus5 deg. F. The water meter 
shall be installed in both the hot and cold water lines to measure water 
consumption.
    2.4  Water pressure. The dynamic water pressure at the hot and cold 
water inlet connection of the machine shall be equalized at 35 pounds 
per square inch gauge (psig) plus-minus2.5 psig. The dynamic 
water pressure for a single water inlet connection shall be maintained 
at 35 psig plus-minus2.5 psig. The water pressure gauge shall 
be installed in both the hot and cold water lines to measure water 
pressure.
    2.5  Instrumentation. Perform all test measurements using the 
following instruments, as appropriate:
    2.5.1  Weighing scales.
    2.5.1.1  Weighing scale for test cloth. The scale shall have a range 
of 0 to a maximum

[[Page 169]]

of 30 pounds with a resolution of at least 0.2 ounces and a maximum 
error no greater than 0.3 percent of any measured value within the range 
of 3 to 15 pounds.
    2.5.1.2  Weighing scale for clothes container capacity measurements. 
The scale should have a range of 0 to a maximum of 500 pounds with a 
resolution of 0.50 pounds and a maximum error no greater than 0.5 
percent of the measured value.
    2.5.2  Watt-hour meter. The watt-hour meter shall have a resolution 
of no larger than 1 watt-hour and a maximum error no greater than 2 
percent of the measured value for any demand greater than 50 watts per 
hour.
    2.5  Thermometer. The thermometer shall have an error no greater 
than plus-minus1 deg. F over the range of 32 deg. F to 
200 deg. F.
    2.5.4  Water meter. The water meter shall have a resolution no 
larger than 0.1 gallons and a maximum error no greater than 2 percent 
for all water flow rates from 1 to 5 gallons per minute.
    2.5.5  Water pressure gauge. The water pressure gauge shall have a 
resolution of 1 pound per square inch gauge (psig) and shall have an 
error no greater than 5 percent of any measured value over the range of 
32.5 to 37.5 psig.
    2.6  Test cloths.
    2.6.1  Energy test cloth. The energy test cloth shall be clean and 
consist of the following:
    (a) Pure finished bleached cloth, made with a momie or granite 
weave, which is 50 percent cotton and 50 percent polyester and weighs 
5.75 ounces per square yard and has 65 ends on the warp and 57 picks on 
the fill.
    (b) Cloth material that is 24 inches by 36 inches and has been 
hemmed to 22 inches by 34 inches before washing. The maximum shrinkage 
after five washes shall not be more than four percent on the length and 
width.
    (c) The number of test runs on the same energy test cloth shall not 
exceed 25 runs.
    2.6.2  Energy stuffer cloths. The energy stuffer cloths shall be 
made from energy tests cloth material and shall consist of pieces of 
material that are 12 inches by 12 inches and have been hemmed to 10 
inches by 10 inches before washing. The maximum shrinkage after five 
washes shall not be more than four percent on the length and width. The 
number of test runs on the same energy stuffer cloth shall not exceed 25 
runs.
    2.7  Composition of test loads.
    2.7.1  Seven pound test load. The seven pound test load shall 
consist of bone-dry energy test cloths which weigh 7 pounds 
plus-minus0.07 pounds. Adjustments to the test load to 
achieve the proper weight can be made by the use of energy stuffer 
cloths.
    2.7.2  Three pound test load. The three pound test load shall 
consist of bone-dry energy test cloths which weigh 3 pounds 
plus-minus0.03 pounds. Adjustments to the test load to 
achieve the proper weight can be made by the use of energy stuffer 
cloths.
    2.8  Use of test loads.
    2.8.1  Top-loader clothes washer. The top-loader clothes washer 
shall be tested without a test load.
    2.8.2  Front-loader clothes washer.
    2.8.2.1  Standard size front-loader clothes washer. When the maximum 
water fill level is being tested, the test load shall be seven pounds as 
described in 2.7.1. When the minimum water fill level is being tested, 
the test load shall be three pounds as described in 2.7.2.
    2.8.2.2  Compact size front-loader clothes washer. When either the 
maximum or minimum fill levels are being tested, the test load shall be 
three pounds as described in 2.7.2.
    2.8.3  Method of loading. Load the energy test cloths by grasping 
them in the center, shaking them to hang loosely and then dropping them 
into the clothes container prior to activating the clothes washer.
    2.9  Preconditioning. If the clothes washer has not previously been 
tested nor filled with water in the preceding 96 hours, precondition it 
by running it through a cold rinse cycle and then draining it to insure 
that the hose, pump, and sump are filled with water.
    2.10  Clothes washer setting. Set the wash time for approximately 10 
minutes, but the actual wash time (period of agitation) shall not be 
less than 9.75 minutes. Where controls are provided for agitation and 
spin speed, set them for the normal cycle.

                          3. test measurements

    3.1  Clothes container capacity. Measure the entire volume which a 
dry clothes load could occupy within the clothes container, according to 
the procedures described in 3.1.1 and 3.1.2.
    3.1.1  Top-loaders clothes washers. Line the clothes container with 
2 mil plastic sheet or use some other method to prevent the water from 
entering the outer tub container. The agitator shall be in place. Fill 
the clothes container with water to its uppermost edge, (This filling 
procedure may require overriding of the fill level control, or manually 
completing the fill to the top of the container after the fill sensor 
terminates the fill at maximum level.) Record the weight of the machine 
before filling it with water and then after filling it with water. The 
clothes container capacity is calculated as follows:

C=W/d.
C=Capacity in cubic feet.
W=Mass of water in pounds.
d=Density of water at the measured temperature in pounds per cubic foot 
(at 140 deg. F).

    3.1.2  Front-loader clothes washer. Position the tub and shaft axis 
vertically with the shaft downward. Line the clothes container

[[Page 170]]

with 2 mil plastic sheet or use some other method to prevent the water 
from entering the outer tub container. The agitator shall be in place. 
Fill the clothes container with water to its uppermost edge. (This 
filling procedure may require overriding of the fill level control, or 
manually completing the fill to the top of the container after the fill 
sensor terminates the fill at maximum level.) Record the weight of the 
machine before filling it with water and then after filling it with 
water. The clothes container capacity is calculate as follows:

C=W/d
C=Capacity in cubic feet.
W=Mass of water in pounds.
d=Density of water at the measured temperature in pounds per cubic foot 
(at 140 deg. F).

    3.2  Test cycle. Establish the testing conditions set forth in 2 of 
this Appendix.
    3.2.1  Per-cycle electrical energy consumption. Set the water level 
selector at a maximum fill and insert the appropriate test load, if 
applicable. Activate the normal cycle of the clothes washer and also any 
suds-saver switch.
    3.2.1.1  Measure the electrical energy consumption of the clothes 
washer for a complete normal cycle.
    3.2.2  Hot water consumption for a normal cycle with the water level 
selector at maximum fill.
    3.2.2.1  Set the water level selector at maximum fill and insert the 
appropriate test load, if applicable. Activate the normal cycle of the 
clothes washer and also any suds-saver switch.
    3.2.2.2  For automatic clothes washers set the wash/rinse 
temperature selector to the hottest setting available (hot/warm). For 
semi-automatic clothes washers open the hot water faucet valve 
completely and close the cold water faucet valve to achieve the hottest 
setting (hot/hot).
    3.2.2.3  Measure the number of gallons of hot water used to fill the 
tub for the wash cycle.
    3.2.2.4  Measure the total number of gallons of hot water used for 
all deep rinse cycles.
    3.2.2.5  Measure the total gallons of hot water used for all spray 
rinse cycles.
    3.2.2.6  For automatic clothes washers repeat 3.2.2.3, 3.2.2.4, and 
3.2.2.5 for each of the other wash/rinse temperature selections 
available that use hot water. For semi-automatic clothes washers repeat 
3.2.2.3, 3.2.2.4, and 3.2.2.5 for Hot/Cold, Warm/Cold, Warm/Warm, and 
Warm/Cold temperature settings with the following water faucet valve 
adjustments:

------------------------------------------------------------------------
                                              Faucet position           
                                 ---------------------------------------
                                       Hot valve          Cold valve    
------------------------------------------------------------------------
Hot.............................  Completely open...  Closed.           
Warm............................  ......do..........  Completely open.  
Cold............................  Closed............      Do.           
------------------------------------------------------------------------

    3.2.2.7  Set the suds-saver switch to activate the sud-return. 
Repeat 3.2.2.2 to 3.2.2.5 for a warm/cold temperature setting.
    3.2.3  Hot water consumption for a normal cycle with the water level 
selector at minimum fill. Set the water level selector at minimum fill 
and insert the appropriate test load, if applicable. Activate the normal 
cycle of the clothes washer and also any suds-saver switch. Repeat 
3.2.2.2 through 3.2.2.7.
    3.2.4  Hot water consumption for clothes washers that incorporate a 
partial fill during the rinse cycle. Where the procedures in 3.2.2 and 
3.2.3 cannot be used for clothes washers that incorporate a partial fill 
during the rinse cycle, activate any suds-saver switch and operate the 
cloths washer for the complete normal cycle at both the maximum water 
fill level and the minimum water fill level for each of the wash/rinse 
temperature selections available that use hot water. Measure the total 
hot water consumed during the complete normal cycle.
    3.3  Data recording. Record for each test cycle in 3.2.
    3.3.1  Total the kilowatt-hours of electrical energy, Me, consumed 
during the test to operate the clothes washer in 3.2.1.
    3.3.2  Total the hot water measured at maximum fill level for each 
wash/rinse temperature selection, Vi, excluding any fresh 
make-up water required to complete the fill during a suds-return cycle.
    3.3.3  Total the hot water measured at minimum fill level for each 
wash/rinse temperature selection, Vj, excluding any fresh 
make-up water required to complete the fill during a suds-return cycle.
    3.3.4  Total the hot water measured at maximum fill for the suds-
return cycle, SH.
    3.3.5  Total the hot water measured at minimum fill for suds-return 
cycle, Sl.

        4. calculation of derived results from test measurements

    4.1  Per-cycle temperature-weighted hot water consumption for 
maximum and minimum water fill levels. Calculate for the cycle under 
test the per-cycle temperature-weighted hot water consumption for the 
maximum water fill level, Vmax, and for the minimum water 
fill level, Vmin, expressed in gallons per cycle and defined 
as:

   Vmax=X1!i=1n 
[Vi x TUFi]+X2[TUFw x SH
                                 ]

where
Vi=Reported hot water consumption in gallons per-cycle at 
maximum fill for each

[[Page 171]]

wash/cycle temperature selection, as provided in 3.2.2.
TUFi=Applicable temperature use factor corresponding to wash/
rinse temperature selection as shown in 5 or 6.
n=Number of wash/rinse temperature selections available to the user for 
the clothes washer under test.
TUFw=Temperature use factor for warm wash setting.

    For clothes washers equipped with suds-saver feature:
X1=Frequency of use without suds-saver feature=.86.
X2=Frequency of use with suds-saver feature=.14.
    For clothes washers not equipped with suds-saver feature:
X1=1.0
X2=0.0
SH=Fresh make-up water measured during suds-return cycle at 
maximum water fill level.
and

   Vmin=X1!j=1!n 
[Vi x TUFi]+X2[TUFw x SL
                                 ]

where
Vi=Reported hot water consumption in gallons per cycle at 
minimum fill for each wash/rinse temperature selection, as provided in 
3.3.3.
TUFi=Applicable temperature factor corresponding to wash/
rinse temperature selection as shown in 5 or 6.
SL=Fresh make-up water measured during suds-return cycle at 
minimum water fill level.
n=As defined above.
TUFw=As defined above.
X1=As defined above.
X2=As defined above.

    4.2 Total per-cycle hot water energy consumption for maximum and 
minimum water fill levels. Calculate the total per-cycle hot water 
energy consumption for the maximum water fill level, Emax!and 
for the minimum water level, Emin, expressed in kilowatt-
hours per cycle and defined as:

             Emax=[Vmax x T x K x MF]

where
MF=Multiplying factor to account for the absence of a test load=0.94 for 
top-loader clothes washers that are sensor filled, 1.0 for top-loader 
clothes washers that are time filled, and 1.0 for all front-loader 
clothes washers.
T=Temperature rise=90 deg. F.
K=Water specific heat in kilowatt-hours per gallon degree F=0.00240.
Vmax=As defined in 4.1.
and

             Emin=[Vmin x T x K x MF]

where
MF=As defined above.
T=As defined above.
K=As defined above.
Vmin=As defined in 4.1.

    4.3  Total weighted per-cycle hot water energy consumption expressed 
in kilowatt-hours. Calculate the total weighted per-cycle hot water 
energy consumption, ET, expressed in kilowatt-hours per cycle 
and defined as:

ET=[Emax x Fmax]+[Emin x Fm
                                in]

where
Fmax=Usage fill factor=0.72.
Fmin=Usage fill factor=0.28.
Emax=As defined in 4.2.
Emin=As defined in 4.2.

    4.4  Per-cycle machine electrical energy consumption. The value 
recorded in 3.3.1 is the per-cycle machine electrical energy 
consumption, ME, expressed in kilowatt-hours per cycle.
    4.5  Per-cycle water energy consumption using gas-heated or oil-
heated water. Calculate for the normal cycle the per-cycle water 
consumption, ETG, using gas-heated or oil-heated water, 
expressed in Btu per cycle and defined as;

           ETG=ET x 1/e x 3412 Btu/Kwh.

where
e=Nominal gas or oil water heater efficiency=0.75.
ET=As defined in 4.3.

    4.6  Total per-cycle energy consumption when electrically heated 
water is used. Calculate for the normal cycle the total per-cycle energy 
consumption, ETE, using electrically heated water, expressed 
in kilowatt-hours per cycle and defined as:

                  ETE=ET+ME

ME=As defined in 4.4
ET=As defined in 4.3.

 5. applicable temperature use factors for determining hot water usage 
for various wash/rinse temperature selections for all automatic clothes 
                                 washers

    5.1  Five temperature selection (n=5).

------------------------------------------------------------------------
                                                             Temperature
               Wash/rinse temperature setting                 use factor
                                                                (TUF)   
------------------------------------------------------------------------
Hot/warm...................................................         0.18
Hot/cold...................................................          .12
Warm/warm..................................................          .30
Warm/cold..................................................          .25
Cold/cold..................................................          .15
------------------------------------------------------------------------

    5.2  Four temperature selection (n=4).

------------------------------------------------------------------------
                                                             Temperature
               Wash/rinse temperature setting                 use factor
                                                                (TUF)   
------------------------------------------------------------------------
Alternate I:                                                            
  Hot/warm.................................................         0.18

[[Page 172]]

                                                                        
  Hot/cold.................................................          .12
  Warm/cold................................................          .55
  Cold/cold................................................          .15
Alernate II:                                                            
  Hot/warm.................................................         0.18
  Hot/cold.................................................          .12
  Warm/warm................................................          .30
  Warm/cold................................................          .40
Alternate III:                                                          
  Hot/cold.................................................         0.12
  Warm/warm................................................          .18
  Warm/cold................................................          .55
  Cold/cold................................................          .15
------------------------------------------------------------------------

    5.3  Three temperature selection (n=3).

------------------------------------------------------------------------
                                                             Temperature
               Wash/rinse temperature setting                 use factor
                                                                (TUF)   
------------------------------------------------------------------------
Alternate I:                                                            
  Hot/warm.................................................         0.30
  Warm/cold................................................          .55
  Cold/cold................................................          .15
Alternate II:                                                           
  Hot/cold.................................................         0.30
  Warm/cold................................................          .55
  Cold/cold................................................          .15
Alternate III:                                                          
  Hot/cold.................................................         0.30
  Warm/warm................................................          .55
  Cold/cold................................................          .15
------------------------------------------------------------------------

 6. applicable temperature use factors for determining hot water usage 
   for various wash/rinse temperature settings for all semi-automatic 
                             clothes washers

    6.1  Six temperature settings (n=6).

------------------------------------------------------------------------
                                                             Temperature
               Wash/rinse temperature setting                 use factor
                                                                (TUF)   
------------------------------------------------------------------------
Hot/hot....................................................         0.15
Hot/warm...................................................          .09
Hot/cold...................................................          .06
Warm/warm..................................................          .42
Warm/cold..................................................          .13
Cold/cold..................................................          .15
------------------------------------------------------------------------

[42 FR 49807, Sept. 28, 1977. Redesignated and amended at 44 FR 37938, 
June 29, 1979]

                        Appendix K-L--[Reserved]

 Appendix M to Subpart B--Uniform Test Method for Measuring the Energy 
                 Consumption of Central Air Conditioners

                             1. definitions

    1.1  ``Annual performance factor'' means the total heating and 
cooling done by a heat pump in a particular region in one year divided 
by the total electric power used in one year.
    1.2  ``ARI'' means Air-Conditioning and Refrigeration Institute.
    1.3  ``ARI Standard 210-79'' means the test standard published in 
1979 by the ARI and titled ``Standard for Unitary Air-Conditioning 
Equipment''.
    1.4  ``ARI Standard 240-77'' means the test standard published in 
1977 by the ARI and titled ``Standard for Air-Source Unitary Heat Pump 
Equipment''.
    1.5  ``ARI Standard 320-76'' means the test standard published in 
1976 by the ARI and titled ``Standard for Water-Source Heat Pumps''. The 
single number HSPF energy conservation standard for central air 
conditioning heat pumps specified in section 325(d)(2) (A) and (B) is 
based on Region IV and the standardized DHR found in section 6 of this 
appendix, nearest the capacity measured in the 47  deg.F test.
    1.6  ``ASHRAE'' means the American Society of Heating, Refrigeration 
and Air-Conditioning Engineers, Inc.
    1.7  ``ASHRAE Standard 37-78'' means the test standard published by 
ASHRAE in 1978 and titled ``Methods of Testing for Rating Unitary Air-
Conditioning and Heat Pump Equipment.''
    1.8  ``Continuously recorded'' means a method of recording 
measurements in intervals no greater than 5 seconds.
    1.9  ``Cooling load factor (CLF)'' means the ratio of the total 
cooling done in a complete cycle of a specified time period, consisting 
of an ``on'' time and ``off'' time, to the steady-state cooling done 
over the same period at constant ambient conditions.
    1.10  ``Cyclic Test'' means a test where the indoor and outdoor 
conditions are held constant, but the unit is manually turned ``on'' and 
``off'' for specific time periods to simulate part-load operation.
    1.11  ``Degradation coefficient (CD)'' means the measure 
of the efficiency loss due to the cycling of the unit.
    1.12  ``Demand-defrost control system'' means a system which is 
designed to perform the defrost function on the outdoor coil of the heat 
pump only when a predetermined degradation of performance is measured.
    1.13  ``Design heating requirement (DHR)'' is the amount of heating 
required to maintain a given indoor temperature at a particular outdoor 
design temperature.
    1.14  ``Dry-coil test'' means a test conducted at a wet-bulb 
temperature and a dry-bulb temperature such that moisture will not 
condense on the evaporator coil of the unit.
    1.15  ``Heating seasonal performance factor (HSPF)'' means the total 
heating output of a heat pump during its normal annual usage period for 
heating divided by the total electric power input during the same 
period.

[[Page 173]]

    1.16  ``Heating load factor (HLF)'' means the ratio of the total 
heating done in a complete cycle of a specified time period, consisting 
of an ``on'' time ``off'' time, to the steady state heating done over 
the same period at constant ambient conditions.
    1.17  ``Latent cooling'' means the amount of cooling in Btu's 
necessary to remove water vapor from the air passing over the indoor 
coil by condensation during a period of time.
    1.18  ``Part-load factor (PLF)'' means the ratio of the cyclic 
energy efficiency ratio to the steady-state energy efficiency ratio at 
identical ambient conditions.
    1.19  ``Seasonal energy efficiency ratio (SEER)'' means the total 
cooling of a central air conditioner in Btu's during its normal annual 
usage period for cooling divided by the total electric power input in 
watt-hours during the same period.
    1.20  ``Sensible cooling'' means the amount of cooling in Btu's 
performed by a unit over a period of time, excluding latent cooling.
    1.21  ``Single package unit'' means any central air conditioner in 
which all the major assemblies are enclosed in one cabinet.
    1.22  ``Split system'' means any central air conditioner in which 
one or more of the major assemblies are separate from the others.
    1.23  ``Steady-state test'' means a test in which all indoor and 
outdoor conditions are held constant and the unit is in non-changing 
operating mode.
    1.24  ``Temperature bin'' means a 5 deg. F increment over a dry-bulb 
temperature range of 65 deg. F through 104 deg. F for the cooling cycle 
and -25 deg. F through 64 deg. F for the heating cycle.
    1.25  ``Time-temperature defrost control system'' means a system 
which automatically provides the defrost function at a predetermined 
time interval whenever the outdoor temperature drops below a level where 
frosting will occur.
    1.26  ``Test condition tolerance'' means the maximum permissible 
variation of the average of the test observations from the standard or 
desired test condition as provided in 6.1.1, 6.2.1, 6.2.2, and 6.2.3 of 
this Appendix.
    1.27  ``Test operating tolerance'' means the maximum permissible 
difference between the maximum and the minimum instrument observation 
during a test as provided in 6.1.1, 6.2.1, 6.2.2, and 6.2.3 of this 
Appendix.
    1.28  ``Wet-coil test'' means a test conducted at a wet-bulb 
temperature and a dry-bulb temperature such that moisture will condense 
on the test unit evaporator coil.

                           2. testing required

    2.1  Testing required for air source cooling only units. Two steady 
state wet coil tests required to be performed, test A and test B. Test A 
is to be conducted as an outdoor dry bulb temperature of 95 deg. F and 
test B at 82 deg. F. Test C and D are optional tests to be conducted 
when cyclic performance parameters are to be measured in order to 
determine the degradation coefficient, CD Test C is a steady 
state dry coil test conducted at an outdoor dry bulb temperature of 
82 deg. F. Test D is a cyclic test also conducted at an outdoor dry bulb 
temperature of 82 deg. F. In lieu of conducting tests C and D, an 
assigned value of 0.25 may be used for the degradation coefficient, 
CD.
    2.1.1  Testing required for units with single speed compressors and 
single speed condenser fans. Test A and test B shall be performed 
according to the test procedures outlined in 4.1 of this Appendix. In 
addition, the cyclic performance shall be evaluated by conducting test C 
and D according to the requirements outlined in 4.1 of this Appendix.
    2.1.2  Testing required for units with single speed compressors and 
multiple-speed condenser fans. The test requirements for multiple-speed 
condenser fan units shall be the same as described in section 2.1.1 for 
single speed condensor fan units.
    2.1.3  Testing required for units with two-speed compressors, two 
compressors, or cylinder unloading. The test requirements for two-speed 
compressor units, two compressor units, or units with cylinder unloading 
are the same as described in 2.1.1 of this Appendix except that test A 
and test B shall be performed at each compressor speed or at each 
compressor capacity.
    2.1.4  Testing required for units with two-speed compressors, two 
compressors, or cylinder unloading capable of varying the sensible to 
total (S/T) capacity ratio. When a unit employing a two-speed 
compressor, two compressors, or cylinder unloading provides a method of 
varying the ratio of the sensible cooling capacity to the total cooling 
capacity, (S/T), the test requirements are the same as for two-speed 
compressor units as described in 2.1.3 of this Appendix.
    2.1.5  Testing required for units with triple-capacity compressors. 
(Reserved)
    2.1.6  Testing required for units with variable-speed compressors. 
The tests for variable-speed equipment consist of five (5) wet coil 
tests and two (2) dry coil tests. Two of the wet coil tests, A and B, 
are conducted at the maximum speed. Two wet coil tests, B2 
and low temperature test, are conducted at the minimum speed. The fifth 
wet coil test is conducted at an intermediate speed. Dry coil tests, C 
and D, are conducted at the minimum speed if the coefficient of 
degradation (CD) value of 0.25 is not adopted. The test 
conditions and procedures for the above are outlined in sections 3.1 and 
4.1 of this Appendix.

[[Page 174]]

    2.1.7  Testing required for split-type ductless systems. The tests 
for split-type ductless systems are determined by the type of compressor 
installed in the outdoor unit. For the appropriate tests refer to 
sections 2.1.1, 2.1.2, 2.1.3, 2.1.4, 2.1.5, or 2.1.6 of this Appendix.
    2.2  Testing required for air source heating only units. Four types 
of tests are required to be performed: High Temperature, Cyclic, Frost 
Accumulation, and Low Temperature. In lieu of conducting the Cyclic Test 
an assigned value of 0.25 may be used for the degradation coefficient, 
CD.
    2.2.1  Testing required for units with single speed compressors. 
Units with single speed compressors shall be subjected respectively to 
the High Temperature Test at 47 deg. F described in section 3.2.1.1, the 
Cyclic Test as described in section 3.2.1.2, the Frost Accumulation Test 
as described in section 3.2.1.3, and the Low Temperature Test as 
described in section 3.2.1.4.
    2.2.2  Testing required for units with two-speed compressors, two 
compressors, or cylinder unloading. With the unit operating: at high 
compressors speed (two-speed compressor), with both compressors in 
operation (two-compressors), or at the maximum capacity (cylinder 
unloading); the following tests are required to be performed on all 
units; the High Temperature Test at 47 deg. F, the Frost Accumulation 
Test, and the Low Temperature Test. An additional test (cyclic at 
47 deg. F) is required, with the unit operating at the high compressor 
speed (two-speed compressor), with both compressors in operation (two 
compressors), or at the maximum capacity (cylinder unloading); if the 
normal mode of operation requires cycling ``on'' and ``off'' of the 
compressor(s) at high speed or maximum capacity.
    With the unit operating: at the low compressor speed (two-speed 
compressor), with the single compressor which normally operates at low 
loads (two compressors), or at the low compressor capacity (cylinder 
unloading); the following tests are required to be performed on all 
units: the High Temperature Test at 47 deg. F, the High Temperature Test 
at 62 deg. F, and the Cyclic Test. Additional tests, (Frost Accumulation 
Test and Low Temperature Test) are required, with the unit operating: on 
low compressor speed (two-speed compressor), with the single compressor 
which normally operates at low loads (two compressors) or at the low 
compressor capacity (cylinder unloading), if the unit's low speed, one 
compressor or low capacity performance at and below 40 deg. F is needed 
to calculate its seasonal performance.
    2.2.3  Testing required for units with triple-capacity compressors. 
(Reserved)
    2.2.4  Testing required for units with variable-speed compressors. 
There are seven basic tests and one optional test for variable-speed 
units. Three tests (high temperature test, low temperature test, and 
frost accumulation test) are performed at the maximum speed. Three tests 
(two high temperature and one cyclic test) are performed with the unit 
operating at minimum speed. A second frost accumulation test is 
performed at an intermediate speed. The intermediate speed is the same 
as in the cooling mode.
    In lieu of the maximum speed frost accumulation test, two equations 
are provided in section 4.2 of this Appendix. In lieu of the cyclic test 
an assigned value of 0.25 may be used for the coefficient of degradation 
CD. The optional test is a nominal capacity test applicable 
to units which have a heating mode maximum speed greater than the 
cooling mode maximum speed. The conditions and procedures for the above 
tests are described in sections 3.2 and 4.2 respectively, of this 
Appendix.
    2.2.5  Testing required for split-type ductless system. The type of 
compressor installed in the outdoor unit determines the testing 
required, refer to previous sections 2.2.1, 2.2.2, 2.2.3, or 2.2.4. The 
conditions and procedures will be modified as indicated for the various 
types as stated in sections 3.2 and 4.2 respectively.
    2.3  Testing required for air source units which provide both 
heating and cooling. The requirements for units which provide both 
heating and cooling shall be the same as the requirements in Section 
2.1. and 2.2 of this Appendix.

                          3. testing conditions

    3.1  Testing conditions for air source cooling only units. The test 
room requirement and equipment installation procedures are the same as 
those specified in sections 11.1 and 11.2 of ASHRAE Standard 37-78. 
Units designed for both horizontal and vertical installation shall be 
tested in the orientation in which they are most frequently installed. 
All tests shall be performed at the normal residential voltage and 
frequency for which the equipment is designed (either 115 or 230 volts 
and 60 hertz), the test installation shall be designed such that there 
will be no air flow through the cooling coil due to natural or forced 
convection while the indoor fan is ``off''. This shall be accomplished 
by installing dampers upstream and downstream of the test unit to block 
the off period air flow. Values of capacity for rating purposes are to 
be rounded off to the nearest 100 Btu/hour for capacities less than 
20,000 Btu/hour; to the nearest 200 Btu/hour for capacities between 
20,000 and 37,999 Btu/hour; and to the nearest 500 Btu/hour for 
capacities between 38,000 and 64,999 Btu/hour.
    The following conditions listed in ARI Standard 210.79 shall apply 
to all tests performed in Section 3.1 of this Appendix:

5.1.3.4  Cooling Coil Air Quantity.
5.1.3.6  Requirements for Separated Assemblies.


[[Page 175]]


3.1.1  Testing conditions for units with single speed compressors and 
          single speed condenser fans.
    3.1.1.1  Steady state wet-coil performance tests (Test A and Test 
B). Test A and test B shall be performed with the air entering the 
indoor side of the unit having a dry-bulb temperature of 80 deg. F and a 
wet-bulb temperature of 87 deg. F. The dry-bulb temperature of the air 
entering the outdoor side of the unit shall be 95 deg. F in test A and 
82 deg. F in test B. The temperature of the air surrounding the outdoor 
side of the unit in each test shall be the same as the outdoor entering 
air temperature except for units or sections thereof intended to be 
installed only indoors, in which case the dry-bulb temperature 
surrounding that indoor side of the unit shall be 80 deg. F. For those 
units which reject condensate to the condenser, located in the outdoor 
side of the unit, the outdoor wet-bulb temperature surrounding the 
outdoor side of the unit shall be 75 deg. F in test A and 65 deg. F in 
test B.
    3.1.1.2  Steady state dry coil performance test (Test C) and cyclic 
dry coil performance test (Test D). Test C and test D shall be performed 
with the air entering the indoor side of the unit having a dry-bulb 
temperature of 80 deg. F and a wet-bulb temperature which does not 
result in formation of condensate on the indoor coil. (It is recommended 
that an indoor wet-bulb temperature of 57 deg. F or less be used.) The 
dry-bulb temperature of the air entering the outdoor portion of the unit 
shall be 82 deg. F. The outdoor portion of the unit shall be subject to 
the same conditions as the requirements for conducting test B as stated 
previously in section 3.1.1.1. Test C shall be conducted with the unit 
operating steadily. Test D shall be conducted by cycling the unit ``on'' 
and ``off'' by manual or automatic operation of the normal control 
circuit of the unit. The unit shall cycle with the compressor ``on'' for 
6 minutes and ``off'' for 24 minutes. The indoor fan shall also cycle 
``on'' and ``off'', the duration of the indoor fan ``on'' and ``off'' 
periods being governed by the automatic controls which the manufacturer 
normally supplies with the unit. The results of tests C and D shall be 
used to calculate a degradation coefficient, CD by the 
procedures outlined in 5.1 of this Appendix.
    3.1.2  Testing conditions for units with single speed compressors 
and multiple-speed condenser fans. The condenser fan speed to be used in 
test A shall be that speed which normally occurs at an outdoor dry-bulb 
temperature of 95 deg. F, and for test B, the fan speed shall be that 
which normally occurs at an outdoor dry-bulb temperature of 82 deg. F. 
If elected to be performed, tests C and D shall be conducted at the same 
condenser fan speed as in test B.
    3.1.3  Testing conditions for units with two-speed compressors, two 
compressors, or cylinder unloading. The condenser fan speed used in 
conducting test A at each compressor speed shall be that which normally 
occurs at an outdoor dry-bulb temperature of 95 deg. F. For test B, the 
condenser fan speed at each compressor speed shall be that which 
normally occurs at an outdoor dry-bulb temperature of 82 deg. F. If 
elected to be performed, tests C and D shall be conducted at the low 
compressor speed with the same condenser fan speed as used in test B. 
For those two-speed units in which the normal mode of operation involves 
cycling the compressor ``on'' and ``off'' at high speed, tests C and D 
shall also be performed with the compressor operating at high speed and 
at a condenser fan speed that normally occurs at test A ambient 
conditions. Units consisting of two compressors are subject to the same 
requirements as those units containing two-speed compressors, except 
that when operated at high speed, both compressors shall be operating 
and when operating at low speed, only the compressor which normally 
operates at an outdoor dry-bulb temperature of 82 deg. F shall be 
operating.
    In lieu of conducting tests C and D, an assigned value of 0.25 may 
be used for the degradation coefficient, CD, at each 
compressor speed. If the assigned degradation coefficient is used for 
one compressor speed it must also be used for the other compressor 
speed.
    In the case of units with cylinder unloading, the loaded and the 
unloaded conditions correspond to high and low compressor speed on two-
speed units respectively.
    3.1.4  Testing conditions for units with two-speed compressors, two 
compressors, or cylinder unloading capable of varying the sensible to 
total (S/T) capacity ratio. The mode of operation selected for 
controlling the S/T ratio in the performance of test A and test B at 
each compressor speed shall be such that it does not result in an 
operating configuration which is not typical of a normal residential 
installation. If elected to be performed, tests C and D shall be 
conducted at low compressor speed (single compressor operating) with the 
same S/T control mode as used in test B when performed at the low 
compressor speed. Likewise, tests C and D shall also be conducted at 
high compressor speed (two compressors operating) and with the same S/T 
control mode as in test A when performed at the high compressor speed.
    In the case of units with cylinder unloading, the loaded and 
unloaded conditions correspond to high and low compressor speed on two-
speed units respectively.
    3.1.5  Testing conditions for units with triple-capacity 
compressors. (Reserved)
    3.1.6  Additional testing conditions for cooling-only units with 
variable-speed compressors. For cooling-only units and air-source heat 
pumps with varaible-speed compressors, the air flow rate at fan speeds 
less than the maximum fan speed shall be determined by using the fan law 
for a fixed resistance system.

[[Page 176]]

The air flow rate is given by the ratio of the actual fan speed to the 
maximum fan speed multiplied by the air flow rate at the maximum fan 
speed. Minimum static pressure requirements only apply when the fan is 
running at the maximum speed.
    3.1.6.1  Testing conditions for steady-state wet coil tests. Tests A 
and B shall be performed at the maximum speed at conditions specified in 
section 3.1.1 of this Appendix. Test B2 and the low 
temperature test are performed at the minimum speed with outdoor dry 
bulb temperatures of 82 deg.F and 67 deg.F respectively. The 
intermediate speed wet coil test is performed at the outdoor dry bulb 
temperature of 87 deg.F. For units which reject condensate the outdoor 
wet bulb temperature shall be maintained at 75 deg.F for Test A, 
65 deg.F for Tests B and B2, 53.5 deg.F for the low 
temperature test and 69 deg.F for the intermediate test. The indoor 
conditions for all wet coil tests are the same as those given in section 
3.1.1 of this Appendix.
    3.1.6.2  Test conditions for dry coil tests. Dry coil Tests C and D 
are conducted at an outdoor dry bulb temperature of 67 deg.F. For units 
which reject condensate the outdoor wet bulb temperature shall be 
maintained at 53.5 deg.F. The indoor dry bulb temperature shall be 
80 deg.F and the wet bulb temperature shall be sufficiently low so no 
condensation occurs on the evaporator (It is recommended that an indoor 
wet bulb temperature of 57 deg.F or less be used).
    3.1.7  Split-type ductless systems. Test conditions shall be the 
same as those specified for the same single outdoor unit compressor 
type, assuming it was matched with a single indoor coil.
    3.1.7.1  Interconnection. For split-type ductless systems, all 
standard rating tests shall be performed with a minimum length of 25 
feet of interconnecting tubing between each indoor fan-coil unit and the 
common outdoor unit. Such equipment in which the interconnection tubing 
is furnished as an integral part of the machine not recommended for 
cutting to length shall be tested with complete length of tubing 
furnished, or with 25 feet of tubing, whichever is greater. At least 10 
feet of the interconnection tubing shall be exposed to the outside 
conditions. The line sizes, insulation and details of installation shall 
be in accordance with the manufacturer's published recommendation.
    3.1.7.2  Control testing conditions for split-type ductless systems. 
For split-type ductless systems, a single control circuit shall be 
substituted for any multiple thermostats in order to maintain a uniform 
cycling rate during test D and the high temperature heating cyclic test. 
During the steady-state tests, all thermostats shall be shunted 
resulting in all indoor fan-coil units being in operation.
    3.1.7.3  Split-type ductless systems with multiple coils or multiple 
discharge outlets shall have short plenums attached to each outlet. Each 
plenum shall discharge into a single common duct section, the duct 
section in turn discharging into the air measuring device (or a suitable 
dampering device when direct air measurement is not employed). Each 
plenum shall have an adjustable restrictor located in the plane where 
the plenums enter the common duct section for the purpose of equalizing 
the static pressures in each plenum. The length of the plenum is a 
minimum of 2.5 x (A x B).5, A=width and B=height of duct or 
outlet. Static pressure readings are taken at a distance of 
2 x (A x B).5 from the outlet.
    3.2  Testing conditions for air source heating only units. The 
equipment under test shall be installed according to the requirements of 
Section 11.2 of ASHRAE Standard 37-78 and Section 5.1.4.5 of ARI 
Standard 240-77. Test chamber requirements are the same as given in 
Section 11.1 of ASHRAE Standard 37-78. Units designed for both 
horizontal and vertical installation shall be tested in the orientation 
in which they are most often installed. All tests shall be performed at 
the normal residential voltage and frequency for which the equipment is 
designed (either 115 or 230 volts and 60 hertz). Values of capacity for 
rating purposes are to be rounded off to the nearest 100 Btu/hour for 
capacities less than 20,000 Btu/hour; to the nearest 200 Btu/hour for 
capacities between 20,000 and 37,999 Btu/hour; and to the nearest 500 
Btu/hour for capacities between 38,000 and 64,999 Btu/hour.
    3.2.1  Testing conditions for units with single speed compressors.
    3.2.1.1  High temperature test conditions. The High Temperature Test 
at 47 deg. F shall be conducted at an outdoor dry-bulb temperature of 
47 deg. F and an outdoor wet-bulb temperature at 43 deg. F. The High 
Temperature Test at 62 deg. F shall be conducted at an outdoor dry-bulb 
temperature of 62 deg. F and an outdoor wet-bulb temperature of 
56.5 deg. F. For both tests, the dry-bulb air temperature entering and 
surrounding the indoor portion of the unit shall be 70 deg. F and a 
maximum wet-bulb temperature of 60 deg. F. The duration of the tests 
shall be for a minimum of \1/2\ hour.
    3.2.1.2  Cycling test conditions. The Cycling Test at 47 deg. F 
shall be conducted at the same dry-bulb and wet-bulb temperature as the 
High Temperature Test at 47 deg. F as described in 3.2.1.1. During the 
Cycling Test, the indoor fan shall cycle ``on'' and ``off'', as the 
compressor cycles ``on'' and ``off'', except that the indoor fan cycling 
times may be delayed due to controls that are normally installed with 
the unit. The compressor cycling times shall be 6 minutes ``On'' and 24 
minutes ``off.'' The test installation shall be designed such that there 
will be no airflow through the indoor unit due to natural or forced 
convection while the indoor fan is ``off.'' This shall be accomplished 
by installing dampers

[[Page 177]]

upstream and downstream of the test unit to block the off period 
airflow.
    3.2.1.3  Frost accumulation test conditions. The dry-bulb 
temperature and the resultant dew-point temperature of the air entering 
the outdoor portion of the unit shall be 35 deg. F and 30 deg. F 
respectively. The indoor dry-bulb temperature shall be 70 deg. F and the 
maximum indoor wet-bulb temperature shall be 60 deg. F. The Frost 
Accumulation Test requires that the unit undergo a defrost prior to the 
actual test. The test then begins at defrost termination and ends at the 
next defrost termination. Defrost termination occurs when the controls 
normally installed within the unit are actuated to cause it to change 
defrost operation to normal heating operation. During the test, 
auxiliary resistance heaters shall not be employed during either the 
heating or defrost portion of the test.
    3.2.1.4  Low temperature test conditions. The Low Temperature Test 
shall be conducted at a dry-bulb temperature entering the outdoor 
portion of the unit of 17 deg. F and a wet-bulb temperature of 15 deg. 
F. The air entering the indoor portion of the unit shall have a dry-bulb 
temperature of 70 deg. F and a maximum wet-bulb temperature of 60 deg. 
F.
    3.2.1.5  Additional testing conditions. All tests shall be conducted 
at the indoor-side air quantities specified in Sections 4.1.4.3 and 
5.1.4.6 and Table 2 of ARI Standard 240-77. The following conditions 
listed in ARI Standard 240-77 shall apply to all tests performed in 
Section 3.2 of this Appendix.

    3.2.3  Testing conditions for units with triple-capacity 
compressors. (Reserved)
    3.2.4  Testing conditions for units with variable-speed compressors. 
The testing condition for variable-speed compressors shall be the same 
as those for single speed units as described in section 3.2.1 of this 
Appendix with the following exceptions; the cyclic test is performed 
with an outdoor dry bulb temperature of 62 deg.F and a wet bulb 
temperature of 56.5 deg.F. The optional, nominal capacity test shall be 
performed at the conditions specified for the 47 deg.F high temperature 
test.
    3.2.5  Testing conditions for split-type ductless system. The 
testing conditions for split-type ductless systems shall be based on the 
type of compressor installed in the single outdoor unit. The heating 
mode shall have the same piping and control requirements as in 3.1.7.
5.4.4.4  Outdoor-Side Air Quantity; and
5.1.4.5  Requirements for Separated Assemblies.

In all tests, the specified dry-bulb temperature entering the outdoor 
portion of the unit also applies to the air temperature surrounding the 
outdoor portion of the unit. Similarly, models where portions are 
intended to be installed indoors shall have the air temperature 
surrounding that portion of the unit the same as the indoor air 
temperature.
    3.2.2  Testing conditions for units with two-speed compressors, two 
compressors or cylinder unloading. The testing conditions for two-speed 
compressors, two compressors, or cylinder unloading shall be the same as 
those for single speed units as described in 3.2.1.
    3.3  Testing conditions for air source units which provide both 
heating and cooling. The testing conditions for units which provide both 
heating and cooling shall be the same as the requirements in Sections 
3.1 and 3.2 of this Appendix.
    4.0  Testing procedures. Measure all electrical inputs as described 
in the procedures below. All electrical measurements during all ``on'' 
and ``off'' periods shall include auxiliary power or energy (controls, 
transformers, crankcase heaters, etc.) delivered to the unit.
    4.1  Test procedures for air source cooling-only units. All steady-
state wet- and dry-coil performance tests on single package units shall 
simultaneously employ the Air-Enthalpy Method (Section 3 of ASHRAE 
Standard 37-78) on the indoor side and one other method consisting of 
either the Air-Enthalpy Method or the Compressor Calibration Method 
(Section 4 of ASHRAE Standard 37-78 on the outdoor side. All steady-
state wet- and dry-coil performance tests on split systems shall 
simultaneously employ the Air-Enthalpy Method or the Compressor 
Calibration Method on the indoor side and the Air-Enthalpy Method, the 
Compressor Calibration Method or the Volatile Refrigerant Flow Method 
(Section 5 of ASHRAE Standard 37-78) on the outside. All cyclic dry-coil 
performance tests shall employ the Air-Enthalpy Method, indoor side 
only. The values calculated from the two test methods must agree within 
6 percent in order to constitute a valid test. Only the results from the 
Air-Enthalpy Method on the indoor side shall be used in the calculations 
in Section 5.1. Units shall be installed and tested in such a manner 
that when operated under steady-state conditions, the cooling coil and 
condenser coil air flows meet the requirements of Sections 5.1.3.4, 
5.1.3.5, and 5.1.3.7 of ARI Standard 210.79.
    4.1.1  Test operating procedures.
    4.1.1.1  Steady-state wet-coil performance tests (Test A and Test 
B). Steady-state wet-coil performance tests (A and B) shall be conducted 
in accordance with the conditions described in sections 3.1.1.1, 3.1.2, 
3.1.3, 3.1.4, and 3.1.5 of this Appendix and the procedures described 
for cooling tests in Section 11.3 of ASHRAE standard 37-78 and evaluated 
in accordance with the cooling-related requirements of Section 12 of the 
ASHRAE Standard 37-78. The test room reconditioning apparatus and the 
equipment under test shall be operated until equilibrium conditions are 
attained.
    4.1.1.2  Steady-state and cyclic dry-coil performance tests (Test C 
and Test D). The steady-

[[Page 178]]

state and cyclic dry-coil tests (C and D) shall be conducted as 
described below in accordance with the conditions described in sections 
3.1.1.2, 3.1.2, 3.1.3, 3.1.4, and 3.1.5 of this Appendix. The results 
shall be evaluated in accordance with the cooling related requirements 
of Sections 12.1.5, 12.1.6, 12.1.7, of ASHRAE Standard 37.78. The test 
room reconditioning apparatus and the equipment under test shall be 
operated until equilibrium conditions are attained, but not for less 
than one hour before data for test C are recorded. For all equipment 
test methods including the Compressor Calibration Method, test C shall 
be performed with data recorded at 10-minute intervals until four 
consecutive sets of readings are attained with the tolerance prescribed 
in Section 11.6 of ASHRAE Standard 37-78. When the Air-Enthalpy Method 
is used on the outdoor side for test C, the requirements of this section 
shall apply to both the preliminary test and the regular equipment test; 
the requirements of Section 3.6 of ASHRAE Standard 37-78 shall also 
apply. Immediately after test C is completed the test unit shall be 
manually cycled ``off'' and ``on'' using the time periods from 3.1.1 of 
this Appendix until steadily repeating ambient conditions are again 
achieved in both the indoor and outdoor test chambers, but for not less 
than 2 complete ``off''/``on'' cycles. Without a break in the cycling 
pattern, the unit shall be run through an additional ``off''/``on'' 
cycle during which the test data required in 5.1 shall be recorded. 
During this last cycle, which is referred to as the test cycle, the 
indoor and outdoor test room ambient conditions shall remain within the 
tolerances specified in 4.1.3 of this Appendix during the cyclic dry-
coil tests, all air moving equipment on the condenser side shall cycle 
``on'' and ``off'' when the compressor cycles ``on'' and ``off''. The 
indoor air moving equipment shall also cycle ``off'' as governed by any 
automatic controls normally installed with the unit. This last 
requirement applies to units having an indoor fan time delay. Units not 
supplied with an indoor fan time delay shall have the indoor air moving 
equipment cycle ``on'' and ``off'' as the compressor cycles ``on'' and 
``off.''
    Cooling cyclic tests for variable-speed units shall be conducted by 
cycling the compressor 12 minutes ``on'' and 48 minutes ``off''. The 
capacity shall be measured for the integration time (), which 
is the compressor ``on'' time of 12 minutes or the ``on'' time as 
extended by fan delay, if so equipped. The electrical energy shall be 
measured for the total integration time (cyc) of 60 
minutes. In lieu of conducting C and D tests, an assigned value of 0.25 
shall be used for the degradation coefficient for cooling, 
CD.
    4.1.1.3  Testing procedures for triple-capacity compressors. 
(Reserved)
    4.1.1.4  Intermediate cooling steady-state test for units with 
variable-speed compressors. For units with variable-speed compressors, 
an intermediate cooling steady-state test shall be conducted in which 
the unit shall be operated at a constant, intermediate compressor speed 
(k=i) in which the dry/bulb and wet-bulb temperatures of the air 
entering the indoor coil are 80 deg.FDB and 
67 deg.FWB and the outdoor coil are 87 deg.DB and 
69 deg.FWB. The tolerances for the dry-bulb and wet-bulb 
temperatures of the air entering the indoor and outdoor coils shall be 
the test operating tolerance and test condition tolerance specified in 
Table 6.1.1 of this Appendix. The intermediate compressor speed shall be 
the minimum compressor speed plus one-third the difference between the 
maximum and minimum speeds of the cooling mode. (Inter. speed=min. 
speed+\1/3\ (max. speed-min. speed.) A tolerance of plus five percent or 
the next higher inverter frequency step from that calculated is allowed.
    4.1.1.5  Testing procedures for split-type ductless systems. Cyclic 
tests of ductless units will be conducted without dampers. The data 
cycle shall be preceded by a minimum of two cycles in which the indoor 
fan cycles on and off with the compressor. For the data cycle the indoor 
fan will operate three minutes prior to compressor cut-on and remain on 
for three minutes after compressor cut-off. The integration time for 
capacity and power shall be from compressor cut-on time to indoor fan 
cut-off time. The fan power for three minutes after compressor cut-off 
shall be added to the integrated cooling capacity.
    4.1.2  Test instrumentation. The steady-state and cyclic performance 
tests shall have the same requirements pertaining to instrumentation and 
data as those specified in Section 10 and Table II of ASHRAE Standard 
37.78. For the cyclic dry-coil performance tests, the dry-bulb 
temperature of the air entering and leaving the cooling coil, or the 
difference between these two dry-bulb temperatures, shall be 
continuously recorded with instrumentation accurate to within 
plus-minus0.3 deg. F of indicated value and have a response 
time of 2.5 seconds or less. Response time in the time required for the 
instrumentation to obtain 63 percent of the final steady-state 
temperature difference when subjected to a step change in temperature 
difference of 15 deg. F or more. Electrical measurement devices (watt-
hour meters) used during all tests shall be accurate to within 
plus-minus0.5 percent of indicated value.
    4.1.3  Test tolerances. All steady-state wet-and dry-coil 
performance tests shall be performed within the applicable operating and 
test condition tolerances specified in Section 11.6 and Table III of 
ASHRAE Standard 37-78.
    4.1.3.1  The indoor and outdoor average dry-bulb temperature for the 
cyclic dry coil test D shall both be within 1.0 deg. F of the indoor and 
outdoor average dry bulb temperature for the steady-state dry coil test 
C, respectively.

[[Page 179]]

    4.1.3.2  The test condition and test operating tolerances for 
conducting test D are stated in 6.1.1 of this Appendix. Variation in the 
test conditions greater than the tolerances prescribed in 6.1.1 of this 
Appendix shall invalidate the test. It is suggested that an electric 
resistance heater having a heating capacity approximately equal to the 
sum of the cooling capacity and compressor and condenser fan power 
should be installed in the outdoor test room and cycled ``off'' and 
``on'' as the unit cycles ``on'' and ``off'' respectively to improve 
control in the outdoor test room. Similarly, an electric resistance 
heater having a heating capacity approximately equal to the cooling 
capacity of the unit could be installed in the indoor test room, and 
cycled ``on'' and ``off'' as the test unit cycles ``on'' and ``off'' to 
improve indoor room control.
    4.2  Testing procedures for air source heating only units.
    4.2.1  Test operating procedures. All High Temperature Tests, the 
Cyclic Test, the Frost Accumulation Test, and the low Temperature test 
shall have the performance evaluated by the Air-Enthalpy Method on the 
indoor side. In addition, the High Temperature Test and the Low 
Temperature Test shall have a simultaneous test method (as described in 
4.1) used as a check. The values calculated from the two methods must 
agree within 6 percent in order to constitute a valid test. Only the 
results from the Air-Enthalpy Method on the indoor side shall be used in 
the calulations in section 5.2.
    4.2.1.1  Test procedure for high temperature test. When the outdoor 
Air-Enthalpy Method is used, the outdoor chamber must not interfere with 
the normal air circulating pattern during the preliminary test. It is 
necessary to determine and adjust for system resistance when the outdoor 
air measuring apparatus is attached to the outdoor portion of the unit. 
The test room apparatus and test units must be operated for at least one 
hour with at least \1/2\ hour at equilibrium and at the specified test 
conditions prior to starting the test. The High Temperature Test shall 
then be conducted for a minimum of \1/2\ hour with intermittent data 
being recorded at 10-minute intervals. For all units, especially those 
having controls which periodically cause the unit to operate in defrost 
mode, attention should be given to prevent defrost during the High 
Temperature Test. Units which have undergone a defrost should operate in 
the heating mode for at least 10-minutes after defrost termination prior 
to the start of the test. When the outdoor Air-Enthalpy Method is used 
as a second test then a preliminary test must be conducted for a minimum 
of 30 minutes with 4 or more sets of data recorded at 10 minute 
intervals, all remaining requirements of Section 3.6.1 in the ASHRAE 
Standard 37-78 shall then apply in conducting the preliminary test for 
the outdoor air enthalpy method. For some units, at the ambient 
condition of the test, frost may accumulate on the outdoor coil. If the 
supply air temperature or the difference between the supply air 
temperature and the indoor air entering temperature has decreased by 
more than 1.5 deg. F at the end of the test, the unit shall be defrosted 
and the test restarted. Only the results of this second High Temperature 
Test shall be used in the heating seasonal performance calculation in 
section 5.2. Prior to beginning the High Temperature Test, a unit shall 
operate in the heating mode for at least 10 minutes after defrost 
termination to establish equilibrium conditions for the unit and the 
room reconditioning apparatus. The High Temperature Test may only begin 
when the test unit and room conditions are within the test condition 
tolerances specified in Section 6.2.1 of this Appendix.
    4.2.1.2  Test procedures for the cyclic test. The cyclic test shall 
follow the High Temperature Test and by cycled ``on'' and ``off'' as 
specified in 3.2.1.2 until steadily repeating ambient conditions are 
achieved for both the indoor and outdoor test chambers, but for not less 
than 2 complete ``off''/``on'' cycles. Without a break in the cycling 
pattern, the unit shall be operated through an additional ``off''/``on'' 
cycle, during which the required test data shall be recorded. During the 
last cycle, which is referred to as the test cycle, the indoor and 
outdoor test room ambient conditions shall remain within the tolerance 
specified in section 6.2.2. of this Appendix. If, prior to the High 
Temperature Test, the unit underwent a defrost cycle to rid the outdoor 
coil of any accumulated frost, then prior to cycling the unit ``off'' 
and ``on'' it should be made to undergo a defrost. After defrost is 
completed and before starting the cycling process, the unit shall be 
operated continuously in the heating mode for a least 10 minutes to 
assure that equilibrium conditions have again been established for the 
unit and the room conditioning apparatus. Cycling the unit may begin 
when the test unit and room conditions are within the High Temperature 
Test condition tolerances specified in section 6.2.1 of this Appendix. 
Attention should be given to prevent defrost after the cycling process 
has begun.
    The cycle times for variable-speed units is the same as the cyclic 
time in the cooling mode as specified in section 4.1.1.2 of this 
Appendix. Cyclic tests of split-type ductless units will be conducted 
without dampers, and the data cycle shall be preceded by a minimum of 
two cycles in which the indoor fan cycles on and off with the 
compressor. During the data cycle for the split type ductless units, the 
indoor fan will operate three minutes prior to compressor ``cut-on'' and 
remain on for three minutes after compressor ``cut-off''. The 
integration time for capacity and power will be from compressor

[[Page 180]]

``cut-on'' time to indoor fan ``cut-off'' time. The fan power for the 
three minutes after compressor ``cut-off'' shall be subtracted from the 
integrated heating capacity. For split-type ductless systems which turn 
the indoor fan off during defrost, the indoor supply duct shall not be 
blocked.
    4.2.1.3  Test procedures for the frost accumulation test. The 
defrost controls shall be set at the normal settings which most typify 
those encountered in Region IV as described in section 6.2.4 and 6.2.5 
of this Appendix. The test room reconditioning equipment and the unit 
under test shall be operated for at least \1/2\ hour prior to the start 
of a ``preliminary'' test period. The preliminary test period and the 
test period itself are to be conducted within the test tolerances given 
in section 4.2.3.3 of this Appendix. In some cases, the preliminary 
defrost cycle may be manually induced, however, it is important that the 
normally operating controls govern the defrost termination in all cases. 
For units containing defrost controls which are likely to cause defrost 
at intervals less than one hour when the unit is operating at the 
required test conditions, the preliminary test period shall start at the 
termination of a defrost cycle which automatically occurs and shall end 
at the termination of the next automatically occurring defrost cycle. 
For units containing defrost controls which are likely to cause defrost 
at intervals exceeding one hour when operating at the required test 
condition, the preliminary test period consists of ``heating-only'' 
preliminary operation for at least one hour, after which a defrost may 
be manually or automatically induced. The test period then begins at the 
termination of this defrost cycle and ends at the termination of the 
next automatically occurring defrost cycle. If the unit has not 
undergone a defrost after 12 hours, then the tests shall be concluded 
and the results calculated for this 12-hour period. For units which turn 
the indoor fan off during defrost the indoor supply duct shall be 
blocked during all defrost cycles to prevent natural or forced 
convection through the indoor unit. During defrost, resistance heaters 
normally installed with the unit shall be prevented from operating.
    For units with variable-speed compressors, the frost accumulation 
test at the intermediate speed shall be conducted such that the unit 
will operate at a constant, intermediate compressor speed (k=i) as 
determined in section 4.1.1.4 of this Appendix. The following two 
equations may be used in lieu of the frost accumulation test for 
variable-speed.
[GRAPHIC] [TIFF OMITTED] TC04OC91.039

    4.2.1.4  Test procedures for the low temperature test. Where 
applicable, the High Temperature Test preparation and performance 
requirements shall also be used in the Low Temperature Test. The test 
room reconditioning equipment shall first be operated in a steady-state 
manner for at least one-half hour at equilibrium and at the specified 
test conditions. The unit shall then undergo a defrost, either automatic 
or manually induced. It is important that the unit terminate the defrost 
sequence by the action of its own defrost controls. The defrost controls 
are to remain at the same setting as specified in 4.2.1.3. At a time no 
earlier than 10 minutes after defrost termination, the test shall start. 
Test duration is one-half hour. For all units, defrost should be 
prevented during the one-half hour test period.
    4.2.2  Test instrumentation.
    4.2.2.1  Test instrumentation for the high temperature test. The 
indoor air flow rate shall be determined as described in Section 7.1 
through 7.4 of ASHRAE Standard 37-78. This requires the construction of 
an air receiving chamber and discharge chamber separated by partition in 
which one or more nozzles are located. The receiving chamber is 
connected to the indoor air discharge side of the test specimen through 
a short plenum. The exhaust side of the air flow rate measuring device 
contains an exhaust fan with some means to vary its capacity to obtain 
the desired external resistance to air flow rate. The exhaust side is 
then left open to the test room or is ducted through a conditioning 
apparatus and then back to the test specimen inlet. The static pressure 
across the nozzles, the velocity pressure, and the static pressure 
measurements at the nozzle throat shall be measured with manometers 
which will result in errors which are no greater than 
plus-minus1.0 percent of indicated value and having minimum 
scale divisions not exceeding 2.0 percent of the reading. Static 
pressure and temperature measurements must be taken at the nozzle throat 
in order to obtain density of the air. The areas of the nozzles shall be 
determined

[[Page 181]]

by measuring their diameter with an error no greater than 
plus-minus0.2 percent in four places approximately 45 degrees 
apart around the nozzle in each of two places through the nozzle throat, 
one at the outlets and the others in the straight section near the 
radius. The energy usage of the compressor, indoor and outdoor fan, and 
all other equipment components shall be measured with a watt-hour meter 
which is accurate to within plus-minus0.5 percent of the 
quantity measured. Measurements of the air temperature entering and 
leaving the indoor coil or the difference between these two shall be 
made in accordance with the requirements of ASHRAE Standard 41 part 1. 
These temperatures shall be continuously recorded with instrumentation 
having a total system accuracy within plus-minus0.3 deg. F of 
indicated value and a response time of 2.5 seconds or less. Temperature 
measurements are to be made upstream of the static pressure tap on the 
inlet and downstream of the static pressure taps on the outlet. The 
indoor and outdoor dry-bulb temperatures shall be continuously recorded 
with instrumentation which will result in an error no greater than 
plus-minus0.3 deg. F of indicated value. The outdoor wet-bulb 
temperature shall be continuously recorded. Static pressure measurements 
in the ducts and across the unit shall be made in accordance with 
Section 8 of ASHRAE Standard 37-78 using equipment which will result in 
an error no greater than plus-minus0.01 inch of water. Static 
pressure measurements shall be made and recorded at 5 minute intervals. 
All other data not continuously recorded shall be recorded at 10 minute 
intervals.
    4.2.2.2  Test instrumentation for the cycling test. The air flow 
rate during the on-period of the Cyclic Test shall be the same agreed 
within plus-minus1. percent as the air flow rate measured 
during the previously conducted High Temperature Test. All other 
instrumentation requirements are identical to 4.2.2.1 of this Appendix.
    4.2.2.3  Test instrumentation for the frost accumulation test. The 
air flow rate for the Frost Accumulation Test shall be the same as 
described in 4.2.2.1. The indoor-side dry-bulb temperature and outdoor-
side dry-bulb temperature shall be continuously recorded with 
instrumentation having a total system accuracy within 
plus-minus0.3 deg. F of indicated value. The outdoor dew 
point temperature shall be determined with an error no greater than 
plus-minus0.5 deg. F of indicated value using continuously 
recording instrumentation. All other data shall be recorded at 10 minute 
intervals during the heating cycle. Defrost initiation, termination and 
complete test cycle time (from defrost termination to defrost 
termination) shall be recorded. Defrost initiation is defined as the 
actuation (either automatically or manually) of the controls normally 
installed with the unit which cause it to alter its normal heating 
operation in order to eliminate possible accumulations of frost on the 
outdoor coil. Defrost termination occurs when the controls normally 
within the unit are actuated to change from defrost operation to normal 
heating operation. Provisions should be made so that instrumentation in 
capable of recording the cooling done during defrost as well as the 
total electrical energy usage during defrost. These data and the 
continuously recorded data need be the only data obtained during 
defrost.
    4.2.2.4  Test instrumentation for the low temperature test. 
Instrumentation for the Low Temperature Test is identical to that of the 
High Temperature Test described in section 4.2.2.1 of this Appendix.
    4.2.3  Test tolerances.
    4.2.3.1  Test tolerances for the high temperature test. All tests 
shall be conducted within the tolerances specified in Section 6.2.1. 
Variation greater than those given shall invalidate the test. The 
heating capacity results by the indoor Air Enthalpy Method shall agree 
within 6 percent of the value determined by any other simultaneously 
conducted capacity test in order for the test to be valid.
    4.2.3.2  Test tolerances for the cyclic test. The test condition 
tolerances and test operating tolerances for the on-period portion of 
the test cycle are specified in Section 6.2.2. Variation exceeding any 
specified test tolerance shall invalidate the test results.
    4.2.3.3  Test tolerances for the frost accumulation test. Test 
condition and test operating tolerances for Frost Accumulation Tests are 
specified in Section 6.2.3. Test operating tolerances during heating 
applies when the unit is in the heating mode, except for the first 5 
minutes after the termination of a defrost cycle. Test operating 
tolerance during defrost applies during a defrost cycle and during the 
first 5 minutes after defrost termination when the unit is operating in 
the heating mode. In determining whether the test condition tolerances 
are met, only the heating portion of the test period shall be used in 
calculating the average values. Variations exceeding the tolerances 
presented in Section 6.2.3 shall invalidate the test.
    4.2.3.4  Test tolerances for the low temperature test. During the 
test period for the Low Temperature Test, the operating conditions shall 
be within the tolerances specified in Section 6.2.1 of this Appendix.
    4.3  Testing procedures for air source units which provide both 
heating and cooling. The testing procedures for units which provide both 
heating and cooling shall be the same as those specified in Sections 4.1 
and 4.2 of this Appendix. Also during the off-period of the dry-coil 
cooling test (test D), the switch-over valve shall remain in the cooling 
mode, unless the controls normally supplied with the unit are designed 
to reverse it, in which case the controls shall operate the valve. 
During the off-period of the cyclic heating

[[Page 182]]

test at 47 deg. F, the switch-over valve shall remain in the heating 
mode, unless the controls normally supplied with the unit are designed 
to reverse it, in which case the controls shall operate the valve.
    5.0  Calculations for performance factors.
    5.1  Calculations of seasonal energy efficiency ratios (SEER) in 
air-source units.
    The testing data and results required to calculate the seasonal 
energy efficiency ratio (SEER) in Btu's per watt-hour shall include the 
following:
    (i) Cooling capacities (Btu/hr) from tests A and B and, if 
applicable, the cooling capacity (Btu/hr) from test C and the total 
cooling done from test D (Btu's).
Qssk (95F)
Qssk (82F)
Qss, dry
Qcyc, dry
    (ii) Electrical power input to all components and controls (watts) 
from tests A, B, and if applicable the electrical power input to all 
components and controls (watts) from test C and the electrical usage 
(watt-hour) from test D.
Essk (95F)
Essk (82F)
Essk, dry
Ecyc, dry
    (iii) Indoor air flow rate (SCFM) and external resistance to indoor 
air flow (inches of water).
    (iv) Air temperature ( deg. F)
Outdoor dry bulb
Outdoor wet bulb
Indoor dry bulb
Indoor wet bulb
    Where the cooling capacities Qssk  (95F), from 
test A, Qssk  (82), from test B, and 
Qss, dry, from test C, are calculated using the equations 
specified in section 3.7 of ASHRAE Standard 37-78. The total cooling 
done, Qcyc, dry from test D, is calculated using equation (1) 
below.
    Units which do not have indoor air circulating fans furnished as 
part of the model shall have their measured total cooling capacities 
adjusted by subtracting 1250 Btu/hr per 1,000 CFM of measured indoor air 
flow and adding to the total steady-state electrical power input 365 
watts per 1,000 CFM of measured indoor air flow.
    Energy efficiency ratios from tests A, B, and C, EERA, 
EERB, EERss, dry respectively, are each calculated 
as the ratio of the total cooling capacity in Btu/hr to the total 
electrical power input in watts.
    Units which do not have indoor air circulating fans furnished as 
part of the model shall adjust their total cooling done and energy used 
in one complete cycle for the effect of circulating indoor air equipment 
power. The value to be used for the circulating indoor air equipment 
power shall be 1250 Btu/hr per 1,000 CFM of circulating indoor air. The 
energy usage required in one complete cycle required for indoor air 
circulation is the product of the circulating indoor air equipment power 
and the duration of time in one cycle that the circulating indoor air 
equipment is on. The total cooling done shall then be the measured 
cooling in one complete cycle minus the energy usage required for indoor 
air circulation in one complete cycle. The total electrical energy usage 
shall be the sum of the energy usage required for indoor air circulation 
in one complete cycle and the energy used by the remaining equipment 
components (compressor(s), outdoor fan, crankcase heater, 
transformer(s), etc.) in one complete test cycle.
    Energy efficiency ratio from tests D, EERcyc dry is 
calculated as the ratio of the total cooling done in Btu's to the total 
electrical energy usage in watt-hours.

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    6.0  Reference material.
    6.1  Cooling reference material.
    6.1.1  Test operating and test condition tolerance for cyclic dry-
coil tests.

------------------------------------------------------------------------
                                                  Test          Test    
              Readings, remarks                 operating     condition 
                                              tolerance\1\  tolerance\2\
------------------------------------------------------------------------
Outdoor dry-bulb air temperature,                                       
 Fahrenheit: Entering.......................          2.0           0.5 
Indoor dry-bulb air temperature, Fahrenheit:                            
 Entering...................................          2.0           0.5 
Indoor wet-bulb air temperature, Fahrenheit:                            
 Entering...................................        (\3\)         (\3\) 
After the first 30 sec after compressor                                 
 startup:                                                               
  External resistance to airflow, inches                                
   water....................................         0.05          0.02 
  Nozzle pressure drops, percent of reading.          2.0   ............
  Electrical voltage inputs to the test                                 
   unit, percent............................          2.0   ............
------------------------------------------------------------------------
\1\Total observed range.                                                
\2\Variation of average from specified test condition.                  
\3\Shall at no time exceed that value of the wet-bulb temperature which 
  results in the production of condensate by the indoor coil at the dry-
  bulb temperature existing for the air entering the indoor portion of  
  the unit.                                                             

    6.1.2  Distribution of fractional hours in temperature bins to be 
used for calculation of the SEER for 2-speed compressor and 2-compressor 
units.

------------------------------------------------------------------------
                                    Bin      Representative  Fraction of
                                temperature    temperature      total   
          Bin No. j:               range         bin for     temperature
                                  (degrees      (degrees      bin hours 
                                Fahrenheit)    Fahrenheit)       nj/N   
------------------------------------------------------------------------
1.............................        65-69             67          .214
2.............................        70-74             72          .231
3.............................        75-79             77          .216
4.............................        80-84             82          .161
5.............................        85-89             87          .104
6.............................        90-94             92          .052
7.............................        95-99             97          .018
8.............................      100-104            102          .004
------------------------------------------------------------------------


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    6.2  Heating reference material.
    6.2.1  Test operating and test condition tolerance for Steady-State 
High Temperature Test [at 47 deg. F (8.3 deg. C) or 62 deg. F (16.7 deg. 
C)] and Low Temperature Test [at 17 deg. F (-8.3 deg. C)].

------------------------------------------------------------------------
                                                  Test          Test    
                                              operating\1\  condition\2\
                                                tolerance     tolerance 
------------------------------------------------------------------------
Indoor dry-bulb,  deg. F:                                               
  Entering..................................           2.0           0.5
  Leaving...................................           2.0  ............
Indoor wet-bulb,  deg. F:                                               
  Entering..................................           1.0  ............
  Leaving...................................           1.0  ............
Outdoor dry-bulb,  deg. F:                                              
  Entering..................................           2.0           0.5
  Leaving...................................           2.0  ............
Outdoor wet-bulb,  deg. F:                                              
  Entering..................................           1.0           0.3
  Leaving...................................           1.0  ............
External resistance to air flow, inches of                              
 water......................................           .05           .02
Electrical voltage, percent.................           2.0  ............
------------------------------------------------------------------------
\1\Test operating tolerance is the maximum permissible variation of any 
  measurement. When expressed as a percentage, the maximum allowable    
  variation is the specified percentage of the average value.           
\2\Test condition tolerance is the maximum permissible variation of the 
  average value of the measurement from the standard or desired test    
  condition.                                                            

    6.2.2  Test operating and test condition tolerances for the on-
period portion of cyclic performance tests.

------------------------------------------------------------------------
                                                  Test          Test    
                                               operating      condition 
                                             tolerances\1\  tolerance\2\
------------------------------------------------------------------------
Indoor dry-bulb,  deg. F:                                               
  Entering.................................           2.0            0.5
  Leaving..................................  .............  ............
Indoor wet-bulb,  deg. F:                                               
  Entering.................................           1.0   ............
  Leaving..................................  .............  ............
Outdoor dry-bulb,  deg. F:                                              
  Entering.................................           2.0            0.5
  Leaving..................................  .............  ............
Outdoor wet-bulb,  deg. F:                                              
  Entering.................................           2.0            1.0
  Leaving..................................  .............  ............
External resistance to air-flow, inches of                              
 water.....................................           .05            .02
Electrical voltage, percent................           2.0   ............
------------------------------------------------------------------------
\1\Test operating tolerance is the maximum permissible variation of any 
  measurement. When expressed as a percentage, the maximum allowable    
  variation is the specified percentage of the average value. (Applies  
  after the first 30 seconds after compressor start-up.)                
\2\Test condition tolerance is the maximum permissible variation of the 
  average value of the measurement from the standard or desired test    
  condition.                                                            

    6.2.3  Test operating and test tolerances for frost accumulation 
tests.

------------------------------------------------------------------------
                                      Testing operating                 
                                        tolerance\1\      Test condition
                                   ----------------------  tolerance\2\ 
                                      During     During      (heating   
                                     heating    defrost    portion only)
------------------------------------------------------------------------
Indoor dry-bulb,  deg. F:                                               
  Entering........................        2.0     \3\4.0             0.5
  Leaving.........................  .........  .........  ..............
Indoor wet-bulb,  deg. F:                                               
  Entering........................        1.0  .........  ..............
  Leaving.........................  .........  .........  ..............
Outdoor dry-bulb,  deg. F:                                              
  Entering........................        2.0       10.0             1.0
  Leaving.........................  .........  .........  ..............
Outdoor dew-point,  deg. F:                                             
  Entering........................        1.5  .........             0.7
  Leaving.........................  .........  .........  ..............
External resistance to air-flow,                                        
 inches of water..................        .05  .........             .02
Electrical voltage, percent.......        2.0  .........  ..............
------------------------------------------------------------------------
\1\Test operating tolerance is the maximum permissible variation of any 
  measurement. When expressed as a percentage, the maximum allowable    
  variation is the specified percentage of the average value. Test      
  Operating Tolerance During Heating applies when the heat pump is in   
  the heating mode, except for the first 5 minutes after termination of 
  a defrost cycle. Test Operating Tolerance During Defrost applies      
  during a defrost cycle and during the first 5 minutes after the       
  termination of a defrost cycle when the heat pump is operating in the 
  heating mode.                                                         
\2\Test condition tolerance is the maximum permissible variation of the 
  average value of the measurement from the standard or desired test    
  condition. Test Condition Tolerance applies only when the heat pump is
  operating in the heating mode.                                        
\3\Not applicable during defrost if the indoor fan is off.              

    6.2.4  Distribution of fractional hours in temperature bins, heating 
load hours and outdoor design temperature for the different climatic 
regions.

----------------------------------------------------------------------------------------------------------------
      Fractional hours                                              Region                                      
----------------------------------------------------------------------------------------------------------------
   Bin No.      Tj ( deg.F)         I            II            III           IV             V            VI     
----------------------------------------------------------------------------------------------------------------
                                                          Heating Load Hours, HLH                               
                                                                                                                
  ...........                         750         1,250         1,750         2,250         2,750     \1\ 2,750 
                             -----------------------------------------------------------------------------------
                                              Outdoor Design Temperature, TOD, for the region                   
                                                                                                                
  ...........                          37            27            17             5           -10            30 
                             -----------------------------------------------------------------------------------
j=1..........           62           .291          .215          .153          .132          .106          .113 
2............           57           .239          .189          .142          .111          .092          .206 
3............           52           .194          .163          .138          .103          .086          .215 
4............           47           .129          .143          .137          .093          .076          .204 
5............           42           .081          .112          .135          .100          .078          .141 

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6............           37           .041          .088          .118          .109          .087          .076 
7............           32           .019          .056          .092          .126          .102          .034 
8............           27           .005          .024          .047          .087          .094          .008 
9............           22           .001          .008          .021          .055          .074          .003 
10...........           17              0          .002          .009          .036          .055             0 
11...........           12              0             0          .005          .026          .047             0 
12...........            7              0             0          .002          .013          .038             0 
13...........            2              0             0          .001          .006          .029             0 
14...........           -3              0             0             0          .002          .018             0 
15...........           -8              0             0             0          .001          .010             0 
16...........          -13              0             0             0             0          .005             0 
17...........          -18              0             0             0             0          .002             0 
18...........          -23              0             0             0             0          .001             0 
----------------------------------------------------------------------------------------------------------------
\1\ Pacific Coast Region.                                                                                       


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    6.2.6  Standard Design Heating Requirements (Btu/hr)

5,000............         25,000             50,000            90,000   
10,000...........         30,000             60,000           100,000   
15,000...........         35,000             70,000           110,000   
20,000...........         40,000             80,000           130,000   
                                                                        

    6.3  Representative Cooling Load Hours (CLHR) for Each 
Heating Load Hours Region.

------------------------------------------------------------------------
                    Region                          CLHR         HLHR   
------------------------------------------------------------------------
I.............................................        2,400          750
II............................................        1,800        1,250
III...........................................        1,200        1,750
IV............................................          800        2,250
V.............................................          400        2,750
VI............................................          200        2,750
------------------------------------------------------------------------

    6.4  Ground Water Temperature Map (Reserved).

[44 FR 76707, Dec. 27, 1979, as amended at 54 FR 6076, Feb. 7, 1989]

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

    1. Definitions. Definitions shall include the definitions specified 
in section 3.0 of ANSI/ASHRAE 103-82 and the following additional 
definitions:
    1.1  ASHRAE means the American Society of Heating, Refrigerating and 
Air-Conditioning Engineers, Inc.
    1.2  ANSI/ASHRAE 103-82 means the test standard published in 1982 by 
ASHRAE, approved by the American National Standards Institute (ANSI) on 
June 21, 1983 and titled ``Methods of Testing for Heating Seasonal 
Efficiency of Central Furnaces And Boilers.''
    1.3  Electro-mechanical stack damper means a type of stack damper 
which is operated by electrical and/or mechanical means.
    1.4  Isolated combustion system means an installation in which a 
furnace is installed indoors and all combustion and ventilation air is 
admitted through grills or ducts from outdoors and (all such air) does 
not communicate with air in the conditioned space.
    1.5  Modulating control means either a step modulating or a ``two-
stage control''
    1.6  Reduced heat input rate means the factory adjusted lowest 
reduced heat input rate for furnaces equipped with either two stage 
thermostats or step-modulating thermostats.
    1.7  Single stage thermostat means a thermostat that cycles a burner 
from the maximum heat input rate and off.
    1.8  Step-modulating control means a modulating control that cycles 
a burner from the reduced input rate to off if the heating load is 
light. If a higher heating load is encountered which cannot be met with 
the reduced input rate, the control either gradually increases or steps 
up the input rate to meet the higher heating load. At that point if a 
lower heating load is encountered, the control either gradually 
decreases or steps down to a lower rate, or gradually increases the heat 
input to meet any higher heating load that cannot be met with the low 
firing rate.
    1.9  Thermal stack damper means a type of stack damper which is 
dependent for operation exclusively upon the direct conversion of 
thermal energy of the stack gases into closure of the damper.
    1.10  Two stage control means a modulating control that cycles a 
burner from reduced heat input rate and off or cycles a burner at the 
maximum heat input rate and off.
    2.0  Testing conditions. The testing conditions shall be as 
specified in section 8 of ANSI/ASHRAE 103-82 with the exception of 
section 8.4.2.3, and the inclusion of the following additional testing 
conditions:
    2.1  Gas burner adjustment at maximum input rate. The following 
paragraph is in addition to the requirements specified in section 
8.4.1.1 of ANSI/ASHRAE 103-82:
    For gas fueled furnaces and boilers equipped with modulating type 
controls, adjust the controls to operate the unit at the maximum fuel 
input rate. Set the thermostat control to the maximum setting. Start the 
furnace or boiler by turning the safety control valve to the ``on'' 
position. Use a supply water temperature for boilers that will allow for 
continuous operation without shut off by the thermostat control.
    2.2  Gas burner adjustment at reduced input rate. The following 
paragraph is in addition to the requirements specified in section 
8.4.1.1 of ANSI/ASHRAE 103-82:
    For gas fueled furnaces and boilers equipped with modulating type 
thermostat controls, adjust the controls to operate the unit at the 
reduced fuel input rate. Set the thermostat control to the lowest 
setting that does not cause the burner to cycle on and off. Start the 
furnace or boiler by turning the safety control valve to the ``on'' 
position. Use supply water temperature for boilers that will allow for 
continuous operation without shut off by the thermostat control. If 
necessary, supply water may be increased above 120 deg. F in order to 
maintain continuous operation at the reduced setting.
    2.3  Gas and oil fueled low pressure steam and hot water boilers 
(including direct vent systems). The following paragraphs are in place 
of section 8.4.2.3 of ANSI/ASHRAE 103-82:
    For non-condensing hot water boilers, the water flow rate shall be 
adjusted to produce a water temperature rise, during the steady-state 
test described in section 9.1 of ANSI/ASHRAE 103-82, of 19 deg. F -
24 deg. F. During the steady-state and heat-up tests, the hot water 
boiler shall be supplied with water having a temperature of at least 
120 deg. F but not more than 124 deg. F.

[[Page 202]]

    For steam boilers, the pressure shall be at atmospheric or at a 
pressure not exceeding 2 psig during the steady-state test.
    3.0  Test procedure. Testing and measurements shall be as specified 
in section 9 of ANSI/ASHRAE 103-82 with the exception of sections 9.2.2 
and 9.3.2, and the inclusion of the following additional procedures:
    3.1  Gas fueled gravity furnaces, forced air central furnaces, and 
low pressure steam and hot water boilers (including direct vent systems, 
excluding condensing furnaces or boilers). The following paragraphs are 
in addition to the requirements specified in section 9.1.1 of ANSI/
ASHRAE 103-82:
    For all gas fueled furnaces and boilers, the steady-state efficiency 
shall be determined at the maximum fuel input rate measured in 
accordance with sections 2.1 of this appendix and section 9.1.1 of ANSI/
ASHRAE 103-82. Also, for gas fueled furnaces and boilers equipped with 
either two stage thermostats or step-modulating thermostats, the steady-
state efficiency shall also be determined at the reduced fuel input rate 
measured in accordance with sections 2.2 of this appendix and section 
9.1.1 of ANSI/ASHRAE 103-82.
    In addition, for gas fueled furnances and boilers equipped with 
draft hoods, measure CO2 in stack after dilution during the 
steady state condition.
    3.2  Flue temperature measurements--cool down test. The following 
paragraphs are in addition to the requirements specified in section 9.2 
of ANSI/ASHRAE 103-82:
    For furnaces and boilers equipped with step-modulating thermostats, 
the cool down
test shall be conducted after steady-state conditions have been reached 
at the reduced input rate, as specified in section 2.2 of this appendix. 
For furnaces and boilers equipped with two stage controls, separate cool 
down tests shall be conducted after steady-state conditions have been 
reached at both the reduced and maximum fuel input rates.
    3.3  Gas and oil fueled boilers--cool down test. The following 
paragraphs are in place of the requirements specified in section 9.2.2 
of ASHRAE 103-82:
    After steady-state testing has been completed, turn the main 
burner(s) off and measure the flue gas temperature at 3.75 
(TF,OFF(t3)) and 22.5 (TF,OFF(t4)) minutes after 
the burner shuts off, using the thermocouple grid described above. 
During this off period for units that do not have pump delay after shut-
off, no water shall be allowed to circulate through the hot water 
boilers. For units that have pump delay on shut-off, except those having 
pump controls sensing water temperature, the pump shall be stopped by 
the unit control and the time, t+, between burner shut-off 
and pump shut-off shall be measured within one second accuracy. For 
units having pump delay controls which sense water temperature, the pump 
shall be operated for 15 minutes and t+ shall be 15 minutes. 
While the pump is operating, the inlet water temperature and flow rate 
shall be maintained at the same values as used during the preceding 
steady-state test.
    Make a third flue gas temperature measurement 45 minutes after the 
burner shuts off to determine the off-period minimum flue gas 
temperature (TF,OFF(I)).
    During this cool down test, measure the energy input rate to the 
pilot light (QP), if the unit is so equipped, to within an 
error no larger than  3 percent. Record all measured values. 
For oil fueled units not equipped with stack dampers, maintain the draft 
in the flue within the same ranges specified in section 9.2.1 of ANSI/
ASHRAE 103-82. For direct vent systems with flue dampers or boilers 
equipped with both stack dampers and barometric dampers, close the flue 
or stack damper during the cool down test.
    3.4  Flue gas temperature measurements--heat-up test. The following 
paragraph is in addition to the requirement specified in section 9.3 of 
ANSI/ASHRAE 103-82.
    For furnaces and boilers equipped with step-modulating thermostats, 
the heat-up test shall be conducted at the reduced fuel input rate, as 
specified in section 2.2 of this appendix. For furnaces and boilers 
equipped with two stage controls, separate heat-up tests shall be 
conducted at both the reduced and maximum fuel input rates.
    3.5  Gas and oil fueled boilers. The following paragraph is in place 
of the requirements specified in section 9.3.2 of ANSI/ASHRAE 103-82.
    Fifty minutes or more after the main burner(s) is turned off for the 
cool down test, turn on the steam or hot water boiler and measure the 
flue gas temperature at 1.0 (Tf,on(t1)) and 5.5 
(Tf,on(t2)) minutes after the main burners are turned on. The 
pump circulating the water through the hot water boiler shall be started 
simultaneously with the main burner(s). The water flow rate shall be the 
same as that maintained during the steady-state test described in 
section 9.1 of ANSI/ASHRAE 103-82. During the heat-up test for oil fired 
boilers maintain the draft in the flue pipe within  0.01 
inch of water column of the manufacturer's recommended on-period draft. 
Record the measured temperatures.
    3.6  Direct measurement of condensate. For condensing furnaces and 
boilers, the condensate heat loss shall be determined either by the 
method specified in section 11.2.33 of ANSI/ASHRAE 103-82 or by the 
following test procedures:
    Control devices shall be installed to allow cyclical operation of 
the unit and return water or air flows as described in sections 9.2 and 
9.3 of ANSI/ASHRAE 103-82 and sections 3.2, 3.3, 3.4 and 3.5 of this 
appendix. The test unit shall be leveled prior to test. Operating times 
and beginning and end of condensate collection shall be determined by a 
clock or

[[Page 203]]

timer with a minimum resolution of one second. Humidity of the room air 
shall, at no time, exceed 80 percent.
    Control of on or off operation actions shall be within 
plus-minus 6 seconds of the scheduled time. Condensate drain 
lines shall be attached to the unit as specified in the manufacturer's 
installation instructions. A continuous downward slope of drain lines 
from the unit shall be maintained. Additional precautions shall be taken 
to facilitate uninterrupted flow of condensate during the test.
    The flue pipe installation must not allow condensate formed in the 
flue pipe to flow back into the unit. An initial downward slope from the 
unit's exit, an offset with a drip leg, annular collection rings, or 
drain holes must be included in the flue pipe installation without 
disturbing normal flue gas flow, as specified in section 7.2.2 of ANSI/
ASHRAE 103-82. Flue gases should not flow out of the drain with the 
condensate.
    Collection-containers must be glass or polished stainless steel, so 
removal of interior deposits can be easily made. The collection-
container shall have a vent opening to the atmosphere.
    The scale for measuring the containers and sample condensate mass 
shall be calibrated with an error no larger than plus-minus 
0.5 percent over the range of interest.
    The condensing furnace or boiler shall be tested by the flue loss 
method in accordance with the provisions for condensing units, as 
specified in section 9 of ASNI/ASHRAE 103-82 and section 3 of this 
appendix. The condensate collection-containers shall be dried prior to 
each use and shall be at room ambient temperature prior to a sample 
collection. Tare weight of the collection-container must be measured and 
recorded prior to each sample collection.
    The unit should be operated in a cyclical manner until flue gas 
temperatures at the end of each on-cycle are within 5 deg. F (2.8 deg. 
C) of each other for two consecutive cycles. On-cycle and off-cycle 
times are listed in Table 2 of this appendix. Begin three test cycles. 
Return air temperature for furnaces shall be as specified in section 9 
of ANSI/ASHRAE 103-82 and section 3 of this appendix. Return water 
temperature for boilers shall be as specified in section 2.3 of this 
appendix. Operation of the furnace blower or boiler pump shall conform 
to the time delay requirements specified in sections 9.2 and 9.3 of 
ANSI/ASHRAE 103-82 and sections 3.2, 3.3, 3.4, and 3.5 of this appendix 
for cool down and heat up tests. Operation of the boiler pump shall 
conform to the time delay requirements specified in section 3.3 of this 
appendix.
    Begin condensate collection at one minute before the on-cycle period 
of the first test cycle. The container shall be removed one minute 
before the end of each off-cycle period of the sixth test cycle. 
Condensate mass shall be measured for each test cycle.
    Fuel input shall be recorded during the entire test period starting 
at the beginning of the on-time period of the first cycle to the 
beginning of the on-time period of the second cycle, etc., for each of 
the test cycles. Fuel higher heating value (HHV), temperature and 
pressures necessary for determining fuel energy input (Qc) 
shall be recorded. The fuel quantity and HHV shall be measured with 
errors no greater than one percent. Determine the mass of condensate for 
each cycle (mc) in pounds. If at the end of three cycles, the 
sample standard deviation is within 20% of the mean value for 3 cycles 
use total condensate collected in the three cycles as mc, if 
not, continue collection for an additional three cycles and use the 
total condensate collected for the six cycles as mc. 
Determine the fuel energy input during the three or six test cycles 
(Qc) expressed in Btu.
    Begin a steady-state condensate collection after steady-state 
conditions have been achieved as specified in section 8 of ANSI/ASHRAE 
103-82 and section 2 of this appendix. The steady-state collection 
period shall be 30 minutes. Condensate mass shall be measured 
immediately at the end of the collection period to prevent evaporation 
loss from the sample. Fuel input shall be recorded for the one hour 
steady-state test period. Fuel Higher Heating Value (HHV), temperature 
and pressures necessary for determining fuel energy input QC,SS 
will be observed and recorded in Btu's. The fuel quantity and HHV shall 
be measured with errors no greater than one percent. Determine the mass 
of condensate for the steady-state test, mC,SS, in pounds by 
subtracting the tare container weight from the total container and 
condensate weight measured at the end of the 30 minutes test period.
    3.7  Direct measurement of off-cycle losses testing method. 
Reserved.
    3.8  Direct measurement of the S/F factors for oil furnaces and 
boilers. For oil furnaces and boilers that are marketed and sold with 
attached barometric dampers, the S/F factor shall be determined either 
by using assigned factors in Table 2 of ANSI/ASHRAE 103-82 or by the 
following test procedure:
    To directly measure the S/F factor, seal the barometric damper plate 
in the closed position. Operate the furnace or boiler until steady-state 
temperatures are attained. Adjust the draft in the flue within one foot 
of the heat exchanger exit to be between 0.075 and 0.085 inch water 
column. A mechanical draft inducer or a natural draft developed by 
adjusting the height of the test stack may be used. Remove the seal from 
the barometric damper and adjust the damper gate to achieve proper 
draft, as specified by the manufacturer. If the draft over the fire is 
specified as a range, adjust the draft to the mid-point of that range.

[[Page 204]]

    After steady-state conditions are again achieved with the draft 
adjusted as specified, measure CO2 before and after dilution 
at points marked A and B in Figure 2 of this appendix. To ensure that 
the sample is well mixed after dilution obtain a representative sample 
of stack gas by sampling from several points on a horizontal plane 
through the cross section of the stack. The test setup shown in Figure 2 
enhances the mixing of dilution air and flue gases. Alternatively, a 
straight length of stack or other flue piping arrangement may be used 
with stack samples taken sufficiently downstream after dilution in order 
to obtain a well-mixed sample.
    3.9  Furnaces and boilers that includes small air passages in the 
flue. For furnaces and boilers that includes small air passages in the 
flue where such passage serves a utility other than for draft relief, 
the air passage shall be open during all tests and the test data shall 
be reduced as specified in section 4 of this appendix.
    These units shall be considered as direct exhaust systems, for the 
purposes of this test procedure. These provisions shall not apply to 
systems which allow for air flow through the air passage in excess of 10 
percent of maximum steady state total flue flow; in these cases, such 
passages are to be considered as draft diverters or draft hoods.
    4.0  Calculations. Calculations shall be as specified in section 11 
of ANSI/ASHRAE 103-82 with the exception of section 11.2.6, and the 
inclusion of the following additional calculations:
    4.1  Annual fuel utilization efficiency for electric furnaces and 
boilers. The annual fuel utilization efficiency for electric furnaces 
and boilers (AFUE) is equal to the heating seasonal efficiency for 
electric furnaces and boilers (Effyhs-e) as defined in 
section 11.1 of ANSI/ASHRAE 103-82.
    4.2.  Average ratio of stack gas mass flow rate to flue gas mass 
flow rate at steady-state operation. The following paragraphs are in 
place of the requirements specified in section 11.2.6 of ANSI/ASHRAE 
103-82:
    For gas furnaces and boilers with integral draft diverters, 
calculate the average ratio of stack gas mass flow rate to flue gas mass 
flow rate at steady-state operation (S/F) defined as:

S/F=1.3 RT,S/RT,F

where:

RT,S=as defined in 11.2.3 of ANSI/ASHRAE 103-82
RT,F=as defined in 11.2.2 of ANSI/ASHRAE 103-82

    For gas furnaces and boilers equipped with draft hoods determine the 
S/F by the method set out above or use the assigned value of 2.4. This 
alternative method may be used until 24 months from the effective date 
of the amendment. After that date, the assigned value may not be used 
and only the method set out above may be used.
    For oil furnaces and boilers, S/F shall be 1.40 for units not 
shipped with barometric dampers or for units shipped with barometric 
dampers, S/F shall be either 1.40 or determined by:

S/F=RT,S/RT,F

where:

RT,S=as defined in 11.2.3 of ANSI/ASHRAE 103-82 in which the 
          value of CO2 measured in the stack in 3.8 of this 
          appendix is used
RT,F=as defined in 11.2.2 of ANSI/ASHRAE 103-82 in which the 
          value of CO2 measured in the flue in 3.8 of this 
          appendix is used

    4.3  Optional direct condensate measurement method. For condensing 
furnaces and boilers for which the direct measurement of condensate is 
used, as specified in section 3.6 of this appendix, calculate the part-
load efficiency (u) and the steady-state efficiency 
(SS) expressed as a percent and defined as:

u=Effyhs+LG-LC

SS=EffySS+LG,SS-LC,
SS

where:

Effyhs=heating seasonal efficiency for non-condensing 
          furnaces and boilers, as defined in 11.2.34 of ANSI/ASHRAE 
          103-82
LG=latent heat gain under part-load conditions, as defined in 
          4.3.1 of this appendix
LC=part-load heat loss due to the condensate going down the 
          drain and corrected for the fact that the condensate did not 
          go up the flue as heated vapor, as was assumed in determining 
          LS,SS,A, as defined in 4.3.2 of this appendix
EffySS=steady-state efficiency for non-condensing furnaces 
          and boilers, as defined in 11.2.5 of ANSI/ASHRAE 103-82
LG,SS=latent heat gain under steady-state conditions, as 
          defined in 4.3.3 of this appendix
LC,SS=steady-state heat loss due to the condensate going down 
          the drain and corrected for the fact that the condensate did 
          not go up the flue as heated vapor, as was assumed in 
          determining LS,SS,A, as defined in 4.3.4 of this 
          appendix

    4.3.1  Latent heat gain under part-load conditions. Calculate the 
latent heat gain under part-load conditions (LG) expressed as 
a percent and defined as:

LG=100(1053.3) mc/Qc

where:

100=conversion factor to express a decimal as a percent
1053.3=latent heat vaporization of water, Btu per pound
mc=as defined in 3.6 of this appendix
Qc=as defined in 3.6 of this appendix


[[Page 205]]


    4.3.2  Part-load heat loss due to the condensate. Calculate the 
part-load heat loss due to the condensate going down the drain and 
corrected for the fact that the condensate did not go up the flue as 
heated vapor, as was assumed in determining LS,SS,A 
(LC) expressed as a percent and defined as:

LC=LG[1.0(TF,SS-70)-
    0.45(TF,SS-42)]/1053.3

where:

LG=as defined in 4.3.1 of this appendix
1.0=specific heat of water (liquid), Btu per pound - deg.F
TF,SS=as defined in 11.2.4 of ANSI/ASHRAE 103-82
70=assumed average indoor air temperature,  deg.F
0.45=specific heat of water vapor, Btu per pound - deg.F
42=average outdoor temperature corresponding to 5,200 degree day 
          location,  deg.F
1053.3-Latent heat of vaporization of water, Btu per pound

    4.3.3  Latent heat gain under steady-state conditions. Calculate the 
latent heat gain under steady-state conditions (LG,SS) 
expressed as a percent and defined as:

LG,SS=100(1053.3)mC,SS/QC,SS

where:

100=conversion factor to express a decimal as a percent
1053.3=latent heat of vaporization of water, Btu per pound
mC,SS=as defined in 3.6 of this appendix, pound
QC,SS=as defined in 3.6 of this appendix, Btu

    4.3.4  Steady-state heat loss due to the condensate. Calculate the 
steady-state heat loss due to the condensate going down the drain 
(LC,SS) expressed as a percent and defined as:
LC,SS=LG,SS[1.0(TF,SS-70)-0.45(TF,SS
          -42]/1053.3

where:

LG,SS=as defined in 4.3.3 of this appendix
1.0=specific heat of water (liquid), Btu per pound- deg. F
TF,SS=as defined in 11.2.4 of ANSI/ASHRAE 103-82
70=assumed average indoor air temperature,  deg. F
0.45=specific heat of water vapor, Btu per pound- deg. F
42=average outdoor temperature corresponding to 5200 degree day 
          location,  deg. F
1053.3=latent heat of vaporization of water, Btu per pound
    4.4  Direct determination of off-cycle losses for furnaces and 
boilers equipped with stack dampers. Reserved
    4.5  Modulating controls.
    4.5.1  Weighted-average part-load utilization efficiency. For 
furnaces and boilers equipped with two stage thermostats, calculate the 
weighted-average part-load utilization efficiency at each design heating 
requirement (U,WT) expressed as a percent and 
defined as:

U,WT=X1U,RED+X2
U,MAX

where:

X1=fraction of heating load at reduced operating mode, as 
          defined in 4.5.2 of this appendix
U,RED=the part-load efficiency at the reduced fuel 
          input rate and is defined as the heating seasonal efficiency 
          (Effyhs) in 11.2.34 of ANSI/ASHRAE 103-82, measured 
          at the reduced fuel input rate and calculated by using the 
          appropriate on and off times as specified from Table 2 of this 
          appendix
X2=fraction of heating load at maximum operating mode, as 
          defined in 4.5.3 of this appendix
U,MAX=the part-load efficiency at the maximum fuel 
          input rate and is defined as the heating seasonal efficiency 
          (Effyhs) in 11.2.34 of ANSI/ASHRAE 103-82, measured 
          at the maximum fuel input rate and calculated by using the 
          appropriate on and off times as specified from Table 2 of this 
          appendix

    For furnaces and boilers equipped with step-modulating thermostats, 
calculate u,WT expressed as a percent 
and defined as:

u,WT=X1
!U,RED+X2U,MOD

where:
X1=as defined in 4.5.2 of this appendix
U,RED=as defined in 4.5.1 of this appendix
X2=as defined in 4.5.3 of this appendix
U,MOD=average part-load efficiency for the 
          modulating mode, as defined in 4.5.8 of this appendix
    4.5.2  Fraction of heating load at reduced operating mode. Determine 
the fraction of heating load at the reduced operating mode 
(X1) expressed as a decimal and listed in either Figure 4 or 
Table 3 of this appendix for appropriate values of the balance point 
temperature (TC). TC is defined in section 4.5.4 
of this appendix.
    4.5.3  Fraction of heating load at maximum operating mode. Determine 
the fraction of heating load at the maximum operating mode 
(X2) expressed as a decimal and listed in either Figure 4 or 
Table 3 of this appendix for appropriate values of the balance point 
temperature (TC).
    4.5.4  Balance point temperature. Calculate the balance point 
temperature (TC) which represents a temperature used to 
apportion the annual heating load between the reduced input cycling mode 
and either the modulation mode or maximum input cycling mode. TC 
is defined as:

TC=65-[TD(1+DHR)
 [QOUT,RED/QOUT,MAX]]

where:

65=average outdoor temperature at which a furnace or boiler starts 
          operating, +F

[[Page 206]]

TD=the difference between the outdoor air 
          temperature where heating is typically required and the 
          outdoor design temperature, the national average temperature 
          difference is 65+ F-5+ F or 
          60+ F
5=outdoor design temperature
DHR=oversize factor at each design heating 
          requirement, as defined in 4.5.5 of this appendix
QOUT,RED=heat output rate at the reduced fuel input rate, as 
          defined in 4.5.6 of this appendix
QOUT,MAX=heat output rate at the maximum fuel input rate, as 
          defined in 4.5.7 of this appendix

    4.5.5  Oversize factor at each design heating requirement. Calculate 
the oversize factor at each design heating requirement 
(DHR) expressed as a decimal and defined as:

DHR=[QOUT,MAX/DHR]-1

where:

QOUT,MAX=as defined in 4.5.7 of this appendix
DHR=typical design heating requirements, as listed in Table 1 of this 
          appendix

    4.5.6  Heat output rate at the reduced fuel input rate. Calculate 
the heat output rate at the reduced fuel input rate 
(QOUT,RED) defined as:

QOUT,RED=SS,REDQIN,RED

where:

,=stead
          y-state efficiency at the reduced fuel input rate and is 
          defined as the steady-state efficiency (EffySS) in 
          11.2.5 of ANSI/ASHRAE 103-82, measured at the reduced fuel 
          input rate
QIN,RED=the reduced fuel input rate and is defined as 
          QIN in 11.2.34 of ANSI/ASHRAE 103-82, measured at 
          the reduced fuel input rate

    4.5.7  Heat output rate at the maximum fuel input rate. Calculate 
the heat output rate at the maximum fuel input rate 
(QOUT,MAX) defined as:

QOUT,MAX=,
QIN,MAX

where:

,=stea
          dy-state efficiency at the maximum fuel input rate and is 
          defined as the steady-state efficiency (EffySS) in 
          11.2.5 of ANSI/ASHRAE 103-82, measured at the maximum fuel 
          input rate
QIN,MAX=the maximum fuel input rate and is defined as 
          IN in 11.2.34 of ANSI/ASHRAE 103-82

    4.5.8  Average part-load efficiency for the modulating mode for 
furnaces and boilers equipped with step-modulating thermostats. For 
furnaces and boilers equipped with step-modulating thermostats and are 
located in heated spaces, calculate the average part-load efficiency for 
the modulating mode 
(,) expressed 
as a percent and defined as:

,=,
-LI,ON, MOD

where:

,=avera
          ge steady-state efficiency for the modulating mode as defined 
          in 4.5.9 of this appendix
LI,ON,MOD=average on-cycle infiltration heat loss for the 
          modulating mode as defined in 4.5.10 of this appendix

    For furnaces and boilers equipped with step-modulating thermostats 
and are located outside or are in unheated spaces, calculate 
, defined as:

,=,
-CJLL

where:

,=as 
          defined in 4.5.9 of this appendix
CJ=as defined in 4.6 of this appendix
LJ=as defined in 4.6 of this appendix

    4.5.9  Average steady-state efficiency for the modulating mode for 
furnaces and boilers equipped with step-modulating thermostats. For 
furnaces and boilers equipped with step-modulating thermostats, 
calculate the average steady-state efficiency for the modulating mode 
(-) 
expressed as a percent and defined as:

[[Page 207]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.055


where:

DHR=average design heating requirement as listed in Table 1 of this 
          appendix
QOUT,RED=as defined in 4.5.6 of this appendix
QOUT,MAX=as defined in 4.5.7 of this appendix
TC=as defined in 4.5.4 of this appendix and is based on the 
          average design heating requirement listed in Table 3 of this 
          appendix
TOA*=average outdoor air temperature during the modulating 
          mode, as defined in 4.5.1 of this appendix and is based on the 
          average design heating requirement listed in Table 3 of this 
          appendix
5=outdoor design temperature,  deg. F
,=as 
          defined in 4.5.7 of this appendix
,=as 
          defined in 4.5.6 of this appendix

    4.5.10  Average on-cycle infiltration heat loss for the modulating 
mode for furnaces and boilers equipped with step-modulating thermostats. 
For furnaces and boilers equipped with step-modulating thermostats, 
calculate the average on-cycle infiltration heat loss for the modulating 
mode (LI,ON,MOD) expressed as a percent and defined as:

LI,ON,MOD= [KI,ON,RED(70-TOA) + 
KI,ON,MAX(70-TOA*)]/2

where:

KI,ON,RED=multiplication factor for infiltration loss during 
          burner on-cycle at the reduced firing rate, and defined as 
          KI,ON in 11.2.18 of ANSI/ASHRAE 103-82 at the 
          reduced firing rate
70=average indoor temperature, deg. F
TOA=average outdoor temperature in the cycling mode, based on 
          the average design heating requirement, and is listed in 
          either Figure 3 or Table 2 of this appendix
KI,ON,MAX=multiplication factor for infiltration loss during 
          burner on-cycle at the maximum firing rate, and defined as 
          KI,ON in 11.2.18 of ANSI/ASHRAE 103-82 at the 
          maximum firing rate
TOA*=average outdoor temperature in the modulating mode, 
          based on the average design heating requirement, and is listed 
          in either Figure 3 or Table 3 of this appendix

    4.5.11  Average heat output rate for the modulating mode for 
furnaces and boilers equipped with step-modulating thermostats. For 
furnaces and boilers equipped with step-modulating thermostats, 
calculate the average heat output rate for the modulating mode 
(QOUT,MOD) defined as:

QOUT,MOD=[[DHR-QOUT,RED][TC-TOA*]
/[TC-5]]+QOUT,RED

where:

DHR=average design heating requirement, as listed in Table 1 of this 
          appendix
QOUT,RED=as defined in 4.5.6 of this appendix
TC=as defined in 4.5.4 of this appendix and is based on the 
          average design heating requirement listed in Table 3 of this 
          appendix
TOA*=as defined in 4.5.10 of this appendix and is based on 
          the average design heating requirement listed in Table 3 of 
          this appendix
5=outdoor design temperature; +F

    4.5.12  Average fuel input rate for the modulating mode for furnaces 
and boilers equipped with step-modulating thermostats. For furnaces and 
boilers equipped with step-modulating thermostats, calculate the average 
fuel input rate for the modulating mode (QIN,MOD) defined as:

QIN,MOD=QOUT,MOD/SS,MOD

where:

QOUT,MOD=as defined in 4.5.11 of this appendix
SS,MOD=as defined in 4.5.9 of this appendix

    4.5.13  Average outdoor temperature. For furnaces and boilers 
equipped with two stage thermostats or with step-modulating thermostats 
operating at the reduced operating mode, the average outdoor temperature 
shall be TOA, as obtained either from Figure 3 or Table 3 of 
this appendix. For furnaces and boilers equipped with two stage 
thermostats operating at the maximum operating mode or with step-
modulating thermostats operating at the modulating mode, the average 
outdoor temperature shall be TOA*, as obtained from either 
Figure 3 or Table 3 of this appendix. These values for the average 
outdoor temperature shall replace the value of 42 specified as the 
average outdoor temperature in sections 11.2.15, 11.2.17, 11.2.19, 
11.2.30, 11.2.31, and 11.2.33 of ANSI/ASHRAE 103-82.
    4.5.14  Weighted-average steady-state efficiency. For furnaces and 
boilers equipped with two stage thermostats, calculate the weighted-
average steady-state efficiency

[[Page 208]]

(SS,WT) expressed as a percent and defined as:

SS,WT=X2SS,MAX+X1
          SS,RED

where:

X1=as defined in 4.5.2 of this appendix
SS,MAX=as defined in 4.5.7 of this appendix
X2= as defined in 4.5.3 of this appendix
SS,RED=as defined in 4.5.6 of this appendix

    For furnaces and boilers equipped with step-modulating thermostats, 
calculate SS,WT defined as:

SS,WT=X2SS,MOD+X1
          SS,RED

where:

X1=as defined in 4.5.2 of this appendix
,=as 
          defined in 4.5.9 of this appendix
X2=as defined in 4.5.3 of this appendix
,=as 
          defined in 4.5.6 of this appendix

    4.6  Annual fuel utilization efficiency. The annual fuel utilization 
efficiency (AFUE) shall be expressed as a percent and defined as:

                                                                        
                                  5200Nss Nu QIN                        
  AFUE=   --------------------------------------------------------------
                        5200Nss QIN +2.5(1+0.7)(4600) Nu Qp             
                                                                        

where:

5200= average annual heating degree-days
Nss = as defined in 4.3 of this appendix for condensing 
          furnaces and boilers measured by the optional direct 
          condensate measurement method; as Nss,wt as defined 
          in 4.5.14 of this appendix at each design heating requirement 
          for modulating furnaces and boilers; or as Effyss 
          as defined in 11.2.5 of ANSI/ASHRAE 103-82 for all other 
          furnaces and boilers.
Nu= part load efficiency and is based on the assumption that 
          all weatherized warm air furnaces or boilers are located out-
          of-doors; warm air furnaces which are not weatherized are 
          installed as isolated combustion systems; and boilers which 
          are not weatherized are installed in doors. Part load 
          efficiency as defined in 4.3 of this appendix for condensing 
          furnaces and boilers measured by the optional direct 
          condensate measurement method; as Nu,wt as defined 
          in 4.5.1 of this appendix at each design heating requirement 
          for modulating furnaces and boilers; or as Effyhs 
          as defined in 11.2.34 of ANSI/ASHRAE 103-82 and in 4.2 of this 
          appendix for all other furnaces and boilers except that 
          Cj and Lj are defined as:
       0 for boilers which are not weatherized
      3.3 for furnaces which are weatherized
Cj =1.7 for furnaces which are not weatherized
      4.7 for boilers which are weatherized
Lj =jacket loss and is either assigned the value of 1 percent 
          or determined in accordance with 8.6 of ANSI/ASHRAE 103-82 in 
          percent
QIN = steady-state heat input as defined in 11.2.34 of NSI/
          ASHRAE 103-82
0.7= average oversizing factor for furnaces and boilers
4600= average non-heating season hours per year
Qp = pilot flame fuel input rate as defined in 9.2 of of 
          ANSI/ASHRAE 103-82
    4.7 National average number of burner operating hours. For furnaces 
and boilers equipped with single stage thermostats, calculate the 
national average number of burner operating hours (BOHSS) 
defined as:

BOHSS=2080(0.77)A DHR-2080 B

where:

2080=national average heating load hours
0.77=adjustment factor which serves to adjust the calculated design 
          heating requirement and heating load hours to the actual 
          heating load experienced by a heating system
DHR=typical design heating requirements, as listed in Table 1 of this 
          appendix using the proper value of QOUT where:

QOUT=(SS/100-(K) (Lj)/100) 
          (QIN) rounded off to the nearest 1,000 Btu/hr

where:

SS as defined in 4.3 of this appendix for 
          condensing furnaces and boilers measured by the optional 
          direct condensate measurement method: as SS,WT 
          as defined in 4.5.14 of this appendix at each design heating 
          requirement for modulating furnaces and boilers; or as 
          EffySS as defined in 11.2.5 of ANSI/ASHRAE 103-82 
          for all other furnaces and boilers.
QIN as defined in 11.2.34 of ANSI/ASHRAE 103-82
K=factor that adjusts jacket losses measured in the laboratory to those 
          that would be measured under outdoor design conditions.
0 for boilers which are not weatherized.
1.7 for furnaces which are not weatherized.
3.3 for furnaces or boilers which are weatherized.
1.0 for finned tubed boilers which are weatherized
LJ=jacket loss
A=100,000/[341,300(PE+y BE)+(QIN-
          QP)]
B=2 QPA/100,000
100,000=factor that accounts for percent and kBtu
PE=power burner electrical energy input rate at full-load steady-state 
          operation, as defined in 9.1 of ANSI/ASHRAE 103-82

[[Page 209]]

      

                               ratio of average blower or pump on time  
                                to average burner on time               
                                                                        
                               1, for furnaces without a fan delay      
                                                                        
y=                             1, for boilers without a pump delay      
                                                                        
                               1 + (t+--t-)/3.87, for single stage      
                                furnaces with fan delay                 
                                                                        
                               1 + (t+--t-)/10.00, for two stage and    
                                step modulating furnaces with fan delay 
                                                                        
                               1 + (t+/9.68), for single stage boilers  
                                with pump delay                         
                                                                        
                               1 + (t+/15.00), for two stage and step   
                                modulating boilers with pump delay      
                                                                        

BE=circulating air fan (or circulating water pump) electrical energy 
          input rate at full-load steady-state operation, as defined in 
          9.1 of ANSI/ASHRAE 103-82
QIN=as defined in 11.2.34 of ANSI/ASHRAE 103-82
QP=as defined in 11.2.34 of ANSI/ASHRAE 103-82
=as defined in 4.6 of this appendix
2=ratio of the average length of a heating season in hours to the 
          average heating load hours
t+=as defined in 3.3 of this appendix
t-=as defined in 9.3.1 of ANSI/ASHRAE 103-82

    For furnaces and boilers equipped with two stage thermostats or 
step-modulating thermostats, calculate the national average number of 
burner operating hours at the reduced operating mode (BOH 
RED) defined as:

BOHRED=X1 EM/QIN,RED

where:

X1=as defined in 4.5.2 of this appendix
EM=average annual energy used during the heating season
EM=(QIN,MAX-Qp)BOHSS+(8760-
          4600)Qp
QIN,RED=as defined in 4.5.6 of this appendix
QIN, MAX=as defined in 4.5.7 of this appendix
Qp=as defined in 11.2.34 of ANSI/ASHRAE 103-82
BOHSS=as defined in 4.7 of this appendix in which 
          , replaces 
           for calculating the values of 
          A and B and the term (PE + y BE) in the factor A is increased 
          by the ratio, R. It is defined as:

                               2.3 for two stage controls               
                                                                        
                               2.3 for step-modulating controls when the
                                ratio of minimum-to-maximum output is   
                                greater than or equal to 0.5            
                                                                        
R=                             3.0 for step modulating controls when the
                                ratio of minimum-to-maximum out is less 
                                than 0.5                                
                                                                        

A=100,000/[341,300(PE + y BE)R + 
          (QIN-Qp)]
8760=total number of hours per year
4600=as defined in 4.6 of this appendix

    For furnaces and boilers equipped with two stage thermostats, 
calculate the national average number of burner operating hours at the 
maximum operating mode (BOHMAX) defined as:

BOHMAX=X2EM/QIN,MAX

where:

X2=as defined in 4.5.3 of this appendix
EM=as defined in 4.7 of this appendix
QIN,MAX=as defined in 4.5.7 of this appendix

    For furnaces and boilers equipped with step-modulating thermostats, 
calculate the national average number of burner operating hours in the 
modulating mode (BOHMOD) defined as:

BOHMOD=X2EM/QIN,MOD

where:
X2=as defined in 4.5.3 of this appendix
EM=as defined in 4.7 of this appendix
QIN,MOD=as defined in 4.5.12 of this appendix

    4.8  Average annual fuel energy consumption for gas or oil fueled 
furnaces or boilers. For furnaces and boilers equipped with single stage 
thermostats, calculate the average annual fuel energy consumption for 
gas or oil fueled furnaces or boilers (EF) expressed in Btu's 
per year and defined as:

EF=BOH(QIN-QP)+8760 QP

where:

BOH=as defined in 4.7 of this appendix
QIN=as defined in 11.2.34 of ANSI/ASHRAE 103-82
QP=as defined in 11.2.34 of ANSI/ASHRAE 103-82
8760=as defined in 4.7 of this appendix

    For furnaces and boilers equipped with either two stage thermostats 
or step-modulating thermostats, calculate EF!as defined as:

EF=EM+4600 QP!

where:

EM=as defined in 4.7 of this appendix
4600=as defined in 4.6 of this appendix
QP=as defined in 11.2.34 of ANSI/ASHRAE 103-82

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

EAE=BOHSS!(PE+y BE)

where:

BOHSS=as defined in 4.7 of this appendix
PE=as defined in 9.1 of ANSI/ASHRAE 103-82

[[Page 210]]

y=as defined in 4.7 of this appendix
BE=as defined in 9.1 of ANSI/ASHRAE 103-82
    For furnaces and boilers equipped with two stage thermostats, 
calculate EAE!defined as:

EAE=BOHRED!(PERED+y BERED) 
+BOHMAX(PEMAX+y BEMAX)

where:

BOHRED=as defined in 4.7 of this appendix
PERED=as defined in 9.1 of ANSI/ASHRAE 103-82, measured at 
          the reduced fuel input rate
y=as defined in 4.7 of this appendix
BERED=as defined in 9.1 of ANSI/ASHRAE 103-82, measured at 
          the reduced fuel input rate
BOHMAX=as defined in 4.7 of this appendix
PEMAX=as defined in 9.1 of ANSI/ASHRAE 103-82, measured at 
          the maximum fuel input rate
BEMAX=as defined in 9.1 of ANSI/ASHRAE 103-82, measured at 
          the maximum fuel input rate

    For furnaces and boilers equipped with step-modulating thermostats, 
calculate EAE!defined as:

EAE=BOHRED!(PERED+y BERED) 
+BOHMOD(PEMAX+y BEMAX)

where:

BOHRED=as defined in 4.7 of this appendix
PERED=as defined in 4.9 of this appendix
y=as defined in 4.7 of this appendix
BERED=as defined in 4.9 of this appendix
BOHMOD=as defined in 4.7 of this appendix
PEMAX=as defined in 4.9 of this appendix
BEMAX=as defined in 4.9 of this appendix

    4.10  Average annual electric energy consumption for electric 
furnaces or boilers. For electric furnaces and boilers, calculate the 
average annual electric energy consumption (EE) expressed in 
kilowatt-hours per year and defined as:

EE=100(2080)(0.77) DHR/3.412 AFUE

where:

100=conversion to express a percent as a decimal
2080=as defined in 4.7 of this appendix
0.77=as defined in 4.7 of this appendix
DHR=as defined in 4.7 of this appendix
3.412=conversion to express energy in terms of watt-hours instead of Btu
AFUE=as defined in 4.1 of this appendix

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

EFR=[(EF-8760 QP)HLH/2080]+8760 
QP

where:

EF=as defined in 4.8 of this appendix
8760=as defined in 4.7 of this appendix
QP=as defined in 11.2.34 of ANSI/ASHRAE 103-82
HLH=heating load hours for a specific geographic region determined in 
          accordance with the heating load hour map in Figure 1 of this 
          appendix
2080=as defined in 4.7 of this appendix

    4.12  Average annual auxiliary electrical energy consumption for gas 
or oil fueled furnaces or boilers located in different geographic 
regions of the United States and in buildings with different design 
heating requirements. For gas or oil fueled furnaces and boilers, 
calculate the average annual auxiliary electrical energy consumption for 
a specific geographic region and for a specific typical design heating 
requirement (EAER) expressed in kilowatt-hours per year and 
defined as:

EAER=EAEHLH/2080

where:

EAE=as defined in 4.9 of this appendix
HLH=as defined in 4.11 of this appendix
2080=as defined in 4.7 of this appendix

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

EER=100(0.77)DHR HLH/3.412 AFUE

where:

100=as defined in 4.10 of this appendix
0.77=as defined in 4.7 of this appendix
DHR=as defined in 4.7 of this appendix
HLH=as defined in 4.11 of this appendix
3.412=as defined in 4.10 of this appendix
AFUE=as defined in 4.1 of this appendix

    4.14  Energy factor. For electric furnaces and boilers, the energy 
factor (EF) is equal to AFUE, as defined in section 4.1 of this 
appendix. For gas and oil furnaces and boilers, calculate EF as defined 
as:

EF=[EF-4600 QP]/
[EF+3412 EAE]

where:

=as defined in 4.6 of this appendix
EF=as defined in 4.8 of this appendix
4600=as defined in 4.6 of this appendix
QP=as defined in 11.2.34 of ANSI/ASHRAE 103-82
3142=as defined in 4.10 of this appendix
EAE=as defined in 4.9 of this appendix

[[Page 211]]



  Table 1--Average and Typical Design Heating Requirements for Furnaces 
              and Boilers With Different Output Capacities              
------------------------------------------------------------------------
                                        Average                         
                                        design         Typical design   
 Furnace or boiler output capacity,     heating     heating requirements
           Qout (Btu/hr)             requirements        (KBtu/hr)      
                                       (KBtu/hr)                        
------------------------------------------------------------------------
5,000-10,000.......................           5    5                    
11,000-16,000......................          10    5, 10                
17,000-25,000......................          15    10, 15               
26,000-34,000......................          20    15, 20               
35,000-42,000......................          25    20, 25, 30           
43,000-51,000......................          30    25, 30, 35           
52,000-59,000......................          35    30, 35, 40, 45       
60,000-76,000......................          40    35, 40, 45, 50       
77,000-93,000......................          50    40, 45, 50, 60       
94,000-110,000.....................          60    50, 60, 70, 80       
111,000-127,000....................          70    60, 70, 80, 90       
128,000-144,000....................          80    70, 80, 90, 100      
145,000-161,000....................          90    80, 90, 100, 110, 120
162,000-178,000....................         100    90, 100, 110, 120,   
                                                    130                 
179,000-195,000....................         110    100, 110, 120, 130,  
                                                    140                 
over 196,000.......................         130    120, 130, 140, 150,  
                                                    160                 
------------------------------------------------------------------------


 Table 2--Average Burner On-Time and Off-Time Per Cycle for Furnaces and
                            Boilers (Minutes)                           
------------------------------------------------------------------------
                                                Furnaces       Boilers  
               Thermostat type               ---------------------------
                                               ton    toff   ton    toff
------------------------------------------------------------------------
Single stage................................   3.87   13.3   9.68  33.26
Two stage...................................  10.0    10.0  15.0   15.0 
Step modulating.............................  10.0    10.0  15.0   15.0 
------------------------------------------------------------------------


 Table 3--Fractional Heating Loads and Average Outdoor Temperatures for 
         Furnaces and Boilers Equipped With Modulating Controls         
------------------------------------------------------------------------
                                Fractional heating     Average outdoor  
                                       load           temperature ( deg.
                              ----------------------          F)        
  Balance point temperature                         --------------------
       range ( deg. F)          Reduced  Modulating           Modulating
                                 rate    or maximum  Reduced  or maximum
                                            rate       rate      rate   
------------------------------------------------------------------------
(TC)                               (X1)       (X2)     (TOA)     (TOA*) 
                                                                        
6 to 15......................      0.95       0.05        41          9 
16 to 20.....................      0.90       0.10        42         14 
21 to 25.....................      0.84       0.16        43         18 
26 to 28.....................      0.77       0.23        44         22 
29 to 31.....................      0.70       0.30        45         24 
32 to 33.....................      0.66       0.34        46         26 
34 to 35.....................      0.60       0.40        47         27 
36 to 37.....................      0.54       0.46        48         28 
38 to 39.....................      0.48       0.52        48         30 
40 to 41.....................      0.42       0.58        49         31 
42 to 43.....................      0.35       0.65        50         32 
44 to 45.....................      0.29       0.71        51         33 
46 to 47.....................      0.23       0.77        52         35 
48 to 49.....................      0.18       0.82        54         36 
50 to 52.....................      0.12       0.88        55         37 
53 to 57.....................      0.07       0.93        58         39 
58 to 62.....................      0.02       0.98        61         40 
------------------------------------------------------------------------
Note.--This table is based on national average 5,200 degree-days.       


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[GRAPHIC] [TIFF OMITTED] TC04OC91.056


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[GRAPHIC] [TIFF OMITTED] TC04OC91.059

[49 FR 12159, Mar. 28, 1984, as amemded at 54 FR 6076, Feb. 7, 1989; 64 
FR 11320, Mar. 17, 1989]

[[Page 216]]



 Appendix O to Subpart B of Part 430-Uniform Test Method for Measuring 
         the Energy Consumption of Vented Home Heating Equipment

    1.0  Definitions.
    1.1  ``Air shutter'' means an adjustable device for varying the size 
of the primary air inlet(s) to the combustion chamber power burner.
    1.2  ``Air tube'' means a tube which carries combustion air from the 
burner fan to the burner nozzle for combustion.
    1.3  ``Barometic draft regulator or barometric damper'' means a 
mechanical device designed to maintain a constant draft in a vented 
heater.
    1.4  ``Draft hood'' means an external device which performs the same 
function as an integral draft diverter, as defined in section 1.17 of 
this appendix.
    1.5  ``Electro-mechanical stack damper'' means a type of stack 
damper which is operated by electrical and/or mechanical means.
    1.6  ``Excess air'' means air which passes through the combustion 
chamber and the vented heater flues in excess of that which is 
theoretically required for complete combustion.
    1.7  ``Flue'' means a conduit between the flue outlet of a vented 
heater and the integral draft diverter, draft hood, barometric damper or 
vent terminal through which the flue gases pass prior to the point of 
draft relief.
    1.8  ``Flue damper'' means a device installed between the furnace 
and the integral draft diverter, draft hood, barometric draft regulator, 
or vent terminal which is not equipped with a draft control device, 
designed to open the venting system when the appliance is in operation 
and to close the venting system when the appliance is in a standby 
condition.
    1.9  ``Flue gases'' means reaction products resulting from the 
combustion of a fuel with the oxygen of the air, including the inerts 
and any excess air.
    1.10  ``Flue losses'' means the sum of sensible and latent heat 
losses above room temperature of the flue gases leaving a vented heater.
    1.11  ``Flue outlet'' means the opening provided in a vented heater 
for the exhaust of the flue gases from the combustion chamber.
    1.12  ``Heat input'' (Qin) means the rate of energy 
supplied in a fuel to a vented heater operating under steady-state 
conditions, expressed in Btu's per hour. It includes any input energy to 
the pilot light and is obtained by multiplying the measured rate of fuel 
consumption by the measured higher heating value of the fuel.
    1.13  ``Heating capacity'' (Qout) means the rate of 
useful heat output from a vented heater, operating under steady-state 
conditions, expressed in Btu's per hour. For room and wall heaters, it 
is obtained by multiplying the ``heat input'' (Qin) by the 
steady-state efficency () divided 
by 100. For floor furnaces, it is obtained by multiplying (A) the ``heat 
input'' (Qin) by (B) the steady-state efficiency divided by 
100, minus the quantity (2.8) (Lj) divided by 100, where 
Lj is the jacket loss as determined in section 3.2 of this 
appendix.
    1.14  ``Higher heating value'' (HHV) means the heat produced per 
unit of fuel when complete combustion takes place at constant pressure 
and the products of combustion are cooled to the initial temperature of 
the fuel and air and when the water vapor formed during combustion is 
condensed. The higher heating value is usually expressed in Btu's per 
pound, Btu's per cubic foot for gaseous fuel, or Btu's per gallon for 
liquid fuel.
    1.15  ``Induced draft'' means a method of drawing air into the 
combustion chamber by mechanical means.
    1.16  ``Infiltration parameter'' means that portion of unconditioned 
outside air drawn into the heated space as a consequence of loss of 
conditioned air through the exhaust system of a vented heater.
    1.17  ``Integral draft diverter'' means a device which is an 
integral part of a vented heater, designed to: (1) Provide for the 
exhaust of the products of combustion in the event of no draft, back 
draft, or stoppage beyond the draft diverter, (2) prevent a back draft 
from entering the vented heater, and (3) neutralize the stack action of 
the chimney or gas vent upon the operation of the vented heater.
    1.18  ``Manually controlled vented heaters'' means either gas or oil 
fueled vented heaters equipped without thermostats.
    1.19  ``Modulating control'' means either a step-modulating or two-
stage control.
    1.20  ``Power burner'' means a vented heater burner which supplies 
air for combustion at a pressure exceeding atmospheric pressure, or a 
burner which depends on the draft induced by a fan incorporated in the 
furnace for proper operation.
    1.21  ``Reduced heat input rate'' means the factory adjusted lowest 
reduced heat input rate for vented home heating equipment equipped with 
either two stage thermostats or step-modulating thermostats.
    1.22  ``Single stage thermostat'' means a thermostat that cycles a 
burner at the maximum heat input rate and off.
    1.23  ``Stack'' means the portion of the exhaust system downstream 
of the integral draft diverter, draft hood or barometric draft 
regulator.
    1.24  ``Stack damper'' means a device installed downstream of the 
integral draft diverter, draft hood, or barometric draft regulator, 
designed to open the venting system when the appliance is in operation 
and to close off the venting system when the appliance is in the standby 
condition.

[[Page 217]]

    1.25  ``Stack gases'' means the flue gases combined with dilution 
air that enters at the integral draft diverter, draft hood or barometric 
draft regulator.
    1.26  ``Steady-state conditions for vented home heating equipment'' 
means equilibrium conditions as indicated by temperature variations of 
not more than 5 deg. F (2.8C) in the flue gas temperature for units 
equipped with draft hoods, barometric draft regulators or direct vent 
systems, in three successive readings taken 15 minutes apart or not more 
than 3 deg. F (1.7C) in the stack gas temperature for units equipped 
with integral draft diverters in three successive readings taken 15 
minutes apart.
    1.27  ``Step-modulating control'' means a control that either cycles 
off and on at the low input if the heating load is light, or gradually, 
increases the heat input to meet any higher heating load that cannot be 
met with the low firing rate.
    1.28  ``Thermal stack damper'' means a type of stack damper which is 
dependent for operation exclusively upon the direct conversion of 
thermal energy of the stack gases into movement of the damper plate.
    1.29  ``Two stage control'' means a control that either cycles a 
burner at the reduced heat input rate and off or cycles a burner at the 
maximum heat input rate and off.
    1.30  ``Vaporizing-type oil burner'' means a device with an oil 
vaporizing bowl or other receptacle designed to operate by vaporizing 
liquid fuel oil by the heat of combustion and mixing the vaporized fuel 
with air.
    1.31  ``Vent/air intake terminal'' means a device which is located 
on the outside of a building and is connected to a vented heater by a 
system of conduits. It is composed of an air intake terminal through 
which the air for combustion is taken from the outside atmosphere and a 
vent terminal from which flue gases are discharged.
    1.32  ``Vent limiter'' means a device which limits the flow of air 
from the atmospheric diaphragm chamber of a gas pressure regulator to 
the atmosphere. A vent limiter may be a limiting orifice or other 
limiting device.
    1.33  ``Vent pipe'' means the passages and conduits in a direct vent 
system through which gases pass from the combustion chamber to the 
outdoor air.
    2.0  Testing conditions. 
    2.1  Installation of test unit. 
    2.1.1  Vented wall furnaces (including direct vent systems). Install 
gas fueled vented wall furnaces for test as specified in sections 2.1.3 
and 2.1.4 of ANSI Z21.49-1975. Install gas fueled wall furnaces with 
direct vent systems for test as described in sections 2.1.3 and 2.1.4 of 
ANSI Z21.44-1973. Install oil fueled vented wall furnaces as specified 
in UL-730-1974, section 33. Install oil fueled vented wall furnaces with 
direct vent systems as specified in UL-730-1974, section 34.
    2.1.2  Vented floor furnaces. Install vented floor furnaces for test 
as specified in sections 35.1 through 35.5 of UL-729-1976.
    2.1.3  Vented room heaters. Install in accordance with 
manufacturer's instructions.
    2.2  Flue and stack requirements. 
    2.2.1  Gas fueled vented home heating equipment employing integral 
draft diverters and draft hoods (excluding direct vent systems). Attach 
to, and vertically above the outlet of gas fueled vented home heating 
equipment employing draft diverters or draft hoods with vertically 
discharging outlets, a five (5) foot long test stack having a cross 
sectional area the same size as the draft diverter outlet.
    Attach to the outlet of vented heaters having a horizontally 
discharging draft diverter or draft hood outlet a 90 degree elbow, and a 
five (5) foot long vertical test stack. A horizontal section of pipe may 
be used on the floor furnace between the diverter and the elbow if 
necessary to clear any framing used in the installation. Use the minimum 
length of pipe possible for this section. Use stack, elbow, and 
horizontal section with same cross sectional area as the diverter 
outlet.
    2.2.2  Oil fueled vented home heating equipment (excluding direct 
vent systems). Use flue connections for oil fueled vented floor furnaces 
as specified in section 35 of UL 729-1976, sections 34.10 through 34.18 
of UL 730-1974 for oil fueled vented wall furnaces and sections 36.2 and 
36.3 of UL 896-1973 for oil fueled vented room heaters.
    2.2.3  Direct vent systems. Have the exhaust/air intake system 
supplied by the manufacturer in place during all tests. Test units 
intended for installation with a variety of vent pipe lengths with the 
minimum length recommended by the manufacturer. Do not connect a heater 
employing a direct vent system to a chimney or induced draft source. 
Vent the gas solely on the provision for venting incorporated in the 
heater and the vent/air intake system supplied with it.
    2.3  Fuel supply. 
    2.3.1  Natural gas. For a vented heater utilizing natural gas, 
maintain the gas supply to the unit under test at a normal inlet test 
pressure immediately ahead of all controls at 7 to 10 inches water 
column. Maintain the regulator outlet pressure at normal test pressure 
approximately at that recommended by the manufacturer. Use natural gas 
having a specific gravity of approximately 0.65 and a higher heating 
value within plus-minus 5 percent of 1,025 Btu's per standard 
cubic foot. Determine the actual higher heating value in Btu's per 
standard cubic foot for the natural gas to be used in the test with an 
error no greater than one percent.
    2.3.2  Propane gas. For a vented heater utilizing propane gas, 
maintain the gas supply to the unit under test at a normal inlet 
pressure of 11 to 13 inches water column and a

[[Page 218]]

specific gravity of approximately 1.53. Maintain the regulator outlet 
pressure, on units so equipped, approximately at that recommended by the 
manufacturer. Use propane having a specific gravity of approximately 
1.53 and a higher heating value within plus-minus  5 percent 
of 2,500 Btu's per standard cubic foot. Determine the actual higher 
heating value in Btu's per standard cubic foot for the propane to be 
used in the test with an error no greater than one percent.
    2.3.3  Other test gas. Use other test gases with characteristics as 
described in section 2.2, table VII, of ANSI Standard Z21.11.1-1974. Use 
gases with a measured higher heating value within plus-minus 
5 percent of the values specified in the above ANSI standard. Determine 
the actual higher heating value of the gas used in the test with an 
error no greater than one percent.
    2.3.4  Oil supply. For a vented heater utilizing fuel oil, use No. 
1, fuel oil (kerosene) for vaporizing-type burners and either No. 1 or 
No. 2 fuel oil, as specified by the manufacturer, for mechanical 
atomizing type burners. Use No. 1 fuel oil with a viscosity meeting the 
specifications as specified in UL-730-1974, section 36.9. Use test fuel 
conforming to the specifications given in tables 2 and 3 of ANSI 
Standard Z91.1-1972
for No. 1 and No. 2 fuel oil. Measure the higher heating value of the 
test fuel with an error no greater than one percent.
    2.3.5  Electrical supply. For auxiliary electric components of a 
vented heater, maintain the electrical supply to the test unit within 
one percent of the nameplate voltage for the entire test cycle. If a 
voltage range is used for nameplate voltage, maintain the electrical 
supply within one percent of the mid-point of the nameplate voltage 
range.
    2.4  Burner adjustments.
    2.4.1  Gas burner adjustments. Adjust the burners of gas fueled 
vented heaters to their maximum Btu ratings at the test pressure 
specified in section 2.3 of this appendix. Correct the burner volumetric 
flow rate to 60 deg. F (15.6C) and 30 inches of mercury barometric 
pressure, set the fuel flow rate to obtain a heat rate of within 
2 percent of the hourly Btu rating specified by the 
manufacturer as measured after 15 minutes of operation starting with all 
parts of the vented heater at room temperature. Set the primary air 
shutters in accordance with the manufacturer's recommendations to give a 
good flame at this adjustment. Do not allow the deposit of carbon during 
any test specified herein.
    If a vent limiting means is provided on a gas pressure regulator, 
have it in place during all tests.
    For gas fueled heaters with modulating controls adjust the controls 
to operate the heater at the maximum fuel input rate. Set the thermostat 
control to the maximum setting. Start the heater by turning the safety 
control valve to the ``on'' position. In order to prevent modulation of 
the burner at maximum input, place the thermostat sensing element in a 
temperature control bath which is held at a temperature below the 
maximum set point temperature of the control.
    For gas fueled heaters with modulating controls adjust the controls 
to operate the heater at the reduced fuel input rate. Set the thermostat 
control to the minimum setting. Start the heater by turning the safety 
control valve to the ``on'' position. If ambient test room temperature 
is above the lowest control set point temperature, initiate burner 
operation by placing the thermostat sensing element in a temperature 
control bath that is held at a temperature below the minimum set point 
temperature of the control.
    2.4.2  Oil burner adjustments. Adjust the burners of oil fueled 
vented heaters to give the CO2 reading recommended by the 
manufacturer and an hourly Btu input, during the steady-state 
performance test described below, which is within 2 percent 
of the heater manufacturer's specified normal hourly Btu input rating. 
On units employing a power burner do not allow smoke in the flue to 
exceed a No. 1 smoke during the steady-state performance test as 
measured by the procedure in ANSI Standard Z11.182-1965 (R1971) (ASTM D 
2156-65 (1970)). If, on units employing a power burner, the smoke in the 
flue exceeds a No. 1 smoke during the steady-state test, readjust the 
burner to give a lower smoke reading, and, if necessary a lower 
CO2 reading, and start all tests over. Maintain the average 
draft over the fire and in the flue during the steady-state performance 
test at that recommended by the manufacturer within 0.005 
inches of water gauge. Do not make additional adjustments to the burner 
during the required series of performance tests. The instruments and 
measuring apparatus for this test are described in section 6.3 of ANSI 
standard Z91.1-1972.
    2.5  Circulating air adjustments.
    2.5.1  Forced air vented wall furnaces (including direct vent 
systems). During tests maintain the air flow through the heater as 
specified by the manufacturer and operate the vented heater with the 
outlet air temperature between 80 deg. F and 130 deg. F above room 
temperature. If adjustable air discharge registers are provided, adjust 
them so as to provide the maximum possible air restriction. Measure air 
discharge temperature as specified in section 2.14 of ANSI Z21.49-1975.
    2.5.2  Fan type vented room heaters and floor furnaces. During tests 
on fan type furnaces and heaters, adjust the air flow through the heater 
as specified by the manufacturer. If adjustable air discharge registers 
are provided, adjust them to provide the maximum possible air 
restriction.
    2.6  Location of temperature measuring instrumentation.
    2.6.1  Gas fueled vented home heating equipment (including direct 
vent systems). For units

[[Page 219]]

employing an integral draft diverter, install nine thermocouples, wired 
in parallel, in a horizontal plane in the five foot test stack located 
one foot from the test stack inlet. Equalize the length of all 
thermocouple leads before paralleling. Locate one thermocouple in the 
center of the stack. Locate eight thermocouples along imaginary lines 
intersecting at right angles in this horizontal plane at points one 
third and two thirds of the distance between the center of the stack and 
the stack wall.
    For units which employ a direct vent system, locate at least one 
thermocouple at the center of each flue way exiting the heat exchanger. 
Provide radiation shields if the thermocouples are exposed to burner 
radiation.
    For units which employ a draft hood or units which employ a direct 
vent system which does not significantly preheat the incoming combustion 
air, install nine thermocouples, wired in parallel, in a horizontal 
plane located within 12 inches (304.8 mm) of the heater outlet and 
upstream of the draft hood on units so equipped. Locate one thermocouple 
in the center of the pipe and eight thermocouples along imaginary lines 
intersecting at right angles in this horizontal plane at points one 
third and two thirds of the distance between the center of the pipe and 
the pipe wall.
    For units which employ direct vent systems that significantly 
preheat the incoming combustion air, install nine thermocouples, wired 
in parallel, in a plane parallel to and located within 6 inches (152.4 
mm) of the vent/air intake terminal. Equalize the length of all 
thermocouple leads before paralleling. Locate one thermocouple in the 
center of the vent pipe and eight thermocouples along imaginary lines 
intersecting at right angles in this plane at points one third and two 
thirds of the distance between the center of the flue pipe and the pipe 
wall.
    Use bead-type thermocouples having wire size not greater than No. 24 
American Wire Gauge (AWG). If there is a possibility that the 
thermocouples could receive direct radiation from the fire, install 
radiation shields on the fire side of the thermocouples only and 
position the shields so that they do not touch the thermocouple 
junctions.
    Install thermocouples for measuring conditioned warm air temperature 
as described in ANSI Z21.49-1975, section 2.14. Establish the 
temperature of the inlet air by means of single No. 24 AWG bead-type 
thermocouple, suitably shielded from direct radiation and located in the 
center of the plane of each inlet air opening.
    2.6.2  Oil fueled vented home heating equipment (including direct 
vent systems). Install nine thermocouples, wired in parallel and having 
equal length leads, in a plane perpendicular to the axis of the flue 
pipe. Locate this plane at the position shown in Figure 34.4 of UL 730-
1974, or Figures 35.1 and 35.2 of UL 729-1976 for a single thermocouple, 
except that on direct vent systems which significantly preheat the 
incoming combustion air, it shall be located within 6 inches (152.5 mm) 
of the outlet of the vent/air intake terminal. Locate one thermocouple 
in the center of the flue pipe and eight thermocouples along imaginary 
lines intersecting at right angles in this plane at points one third and 
two thirds of the distance between the center of the pipe and pipe wall.
    Use bead-type thermocouples having a wire size not greater than No. 
24 AWG. If there is a possibility that the thermocouples could receive 
direct radiation from the fire, install radiation shields on the fire 
side of the thermocouples only and position the shields so that they do 
not touch the thermocouple junctions.
    Install thermocouples for measuring the conditioned warm air 
temperature as described in sections 35.12 through 35.17 of UL 730-1974. 
Establish the temperature of the inlet air by means of a single No. 24 
AWG bead-type thermocouple, suitably shielded from direct radiation and 
located in the center of the plane of each inlet air opening.
    2.7  Combustion measurement instrumentation. Analyze the samples of 
stack and flue gases for vented heaters to determine the concentration 
by volume of carbon dioxide present in the dry gas with instrumentation 
which will result in a reading having an accuracy of 0.1 
percentage points.
    2.8  Energy flow instrumentation. Install one or more instruments, 
which measure the rate of gas flow or fuel oil supplied to the vented 
heater, and if appropriate, the electrical energy with an error no 
greater than one percent.
    2.9  Room ambient temperature. During the time period required to 
perform all the testing and measurement procedures specified in section 
3.0 of this appendix, maintain the room temperature within 
5 deg. F (2.8C) of the value TRA 
measured during the steady-state performance test. At no time during 
these tests shall the room temperature exceed 100 deg. F (37.8C) or fall 
below 65 deg. F (18.3C).
    Temperature (TRA) shall be the arithmetic average 
temperature of the test area, determined by measurement with four No. 24

[[Page 220]]

AWG bead-type thermocouples with junctions shielded against radiation, 
located approximately at 90-degree positions on a circle circumscribing 
the heater or heater
enclosure under test, in a horizontal plane approximately at the 
vertical midpoint of the appliance or test enclosure, and with the 
junctions approximately 24 inches from sides of the heater or test 
enclosure and located so as not to be affected by other than room air. 
Locate a thermocouple at each elevation of draft relief inlet opening 
and combustion air inlet opening at a distance of approximately 24 
inches from the inlet openings. The temperature of the air for 
combustion and the air for draft relief shall not differ more than 
5+ F from room temperature as measured above.
    2.10  Equipment used to measure mass flow rate in flue and stack. 
The tracer gas chosen for this task should have a density which is less 
than or approximately equal to the density of air. Use a gas unreactive 
with the environment to be encountered. Using instrumentation of either 
the batch or continuous type, measure the concentration of tracer gas 
with an error no greater than 2 percent of the value of the 
concentration measured.
    3.0  Testing and measurements.
    3.1  Steady-state testing.
    3.1.1  Gas fueled vented home heating equipment (including direct 
vent systems). Set up the vented heater as specified in sections 2.1, 
2.2, and 2.3 of this appendix. The draft diverter shall be in the normal 
open condition and the stack shall not be insulated. (Insulation of the 
stack is no longer required for the vented heater test.) Begin the 
steady-state performance test by operating the burner and the 
circulating air blower, on units so equipped, with the adjustments 
specified by sections 2.4.1 and 2.5 of this appendix, until steady-state 
conditions are attained as indicated by a temperature variation of not 
more than 3+F (1.7 C) in the stack gas temperature for vented 
heaters equipped with draft diverters or 5+F (2.8 C) in the 
flue gas temperature for vented heaters equipped with either draft hoods 
or direct vent systems; in three successive readings taken 15 minutes 
apart.
    On units employing draft diverters, measure the room temperature 
(TRA) as described in section 2.9 of this appendix and 
measure the steady-state stack gas temperature (TS,SS) using 
the nine thermocouples located in the 5 foot test stack as specified in 
section 2.6.1 of this appendix. Secure a sample of the stack gases in 
the plane where TS,SS is measured or within 3.5 feet 
downstream of this plane. Determine the concentration by volume of 
carbon dioxide (XCO2S) present in the dry stack gas. If the 
location of the gas sampling differs from the temperature measurement 
plane, there shall be no air leaks through the stack between these two 
locations.
    On units employing draft hoods or direct vent systems, measure the 
room temperature (TRA) as described in section 2.9 of this 
appendix and measure the steady-state flue gas temperature 
(TF,SS), using the nine thermocouples located in the flue 
pipe as described in section 2.6.1 of this appendix. Secure a sample of 
the flue gas in the plane of temperature measurement and determine the 
concentration by volume of CO2 (XCO2F) present in 
dry flue gas. In addition, for units employing draft hoods, secure a 
sample of the stack gas in a horizontal plane in the five foot test 
stack located one foot from the test stack inlet; and determine the 
concentration by volume of CO2 (XCO2S) present in 
dry stack gas.
    Determine the steady-state heat input rate (Qin) 
including pilot gas by multiplying the measured higher heating value of 
the test gas by the steady-state gas input rate corrected to standard 
conditions of 60+F and 30 inches of mercury. Use measured 
values of gas temperature and pressure at the meter and the barometric 
pressure to correct the metered gas flow rate to standard conditions.
    After the above test measurements have been completed on units 
employing draft diverters, secure a sample of the flue gases at the exit 
of the heat exchanger(s) and determine the concentration of 
CO2 (XCO2F) present. In obtaining this sample of 
flue gas, move the sampling probe around or use a sample probe with 
multiple sampling ports in order to assure that an average value is 
obtained for the CO2 concentration. For units with multiple 
heat exchanger outlets, measure the CO2 concentration in a 
sample from each outlet to obtain the average CO2 
concentration for the unit. A manifold (parallel connected sampling 
tubes) may be used to obtain this sample.
    For heaters with single stage thermostat control (wall mounted 
electric thermostats), determine the steady-state efficiency at the 
maximum fuel input rate as specified in section 2.4 of this appendix.
    For gas fueled vented heaters equipped with either two stage 
thermostats or step-modulating thermostats, determine the steady-state 
efficiency at the maximum fuel input rate, as specified in section 2.4.1 
of this appendix, and at the reduced fuel input rate, as specified in 
section 2.4.1 of this appendix.
    For manually controlled gas fueled vented heaters, with various 
input rates determine the steady-state efficiency at a fuel input rate 
that is within 5 percent of 50 percent of the maximum fuel 
input rate. If the heater is designed to use a control that precludes 
operation at other than maximum output (single firing rate) determine 
the steady state efficiency at the maximum input rate only.
    3.1.2  Oil fueled vented home heating equipment (including direct 
vent systems). Set up and adjust the vented heater as specified in

[[Page 221]]

sections 2.1, 2.2, and 2.3.4 of this appendix. Begin the steady-state 
performance test by operating the burner and the circulating air blower, 
on units so equipped, with the adjustments specified by sections 2.4.2 
and 2.5 of this appendix until steady-state conditions are attained as 
indicated by a temperature variation of not more than 5+F 
(2.8 C) in the flue gas temperature in three successive readings taken 
15 minutes apart.
    Do not allow smoke in the flue, for units equipped with power 
burners, to exceed a No. 1 smoke during the steady-state performance 
test as measured by the procedure described in ANSI standard Z11.182-
1965 (R1971) (ASTM D 2156-65 (1970)). Maintain the average draft over 
the fire and in the breeching during the steady-state performance test 
at that recommended by the manufacturer 0.005 inches of 
water gauge.
    Measure the room temperature (TRA) as described in 
section 2.9 of this appendix and measure the steady-state flue gas 
temperature (TF,SS) using nine thermocouples located in the 
flue pipe as described in section 2.6.2 of this appendix. Secure a 
sample of the flue gas in the plane of temperature measurement and 
determine the concentration by volume of 
CO2(XCO2F) present in dry flue gas. Measure and 
record the steady-state heat input rate (Qin).
    For manually controlled oil fueled vented heaters, determine the 
steady-state efficiency at a fuel input rate that is within 
5 percent of 50 percent of the maximum fuel input rate.
    3.1.3  Auxiliary Electric Power Measurement. Allow the auxiliary 
electrical system of a gas or oil vented heater to operate for at least 
five minutes before recording the maximum auxiliary electric power 
measurement from the wattmeter. Record the maximum electric power 
(PE) expressed in kilowatts. For vented heaters with 
modulating controls, the recorded (PE) shall be maximum 
measured electric power multiplied by the following factor (R). For two 
stage controls, R=1.3. For step modulating controls, R=1.4 when the 
ratio of minimum-to-maximum fuel input is greater than or equal to 0.7, 
R=1.7 when the ratio of minimum-to-maximum fuel input is less than 0.7 
and greater than or equal to 0.5, and R=2.2 when the ratio of minimum-
to-maximum fuel input is less than 0.5.
    3.2  Jacket loss measurement. Conduct a jacket loss test for vented 
floor furnaces. Measure the jacket loss (Lj) in accordance 
with the ANSI standard Z21.48-1976 section 2.12.
    3.3  Measurement of the off-cycle losses for vented heaters equipped 
with thermal stack dampers. Install the thermal stack damper according 
to the manufacturer's instructions. Unless specified otherwise, the 
thermal stack damper should be at the draft diverter exit collar. Attach 
a five foot length of bare stack to the outlet of the damper. Install 
thermocouples as specified in section 2.6.1 of this appendix.
    For vented heaters equipped with single stage thermostats, measure 
the off-cycle losses at the maximum fuel input rate. For vented heaters 
equipped with two stage thermostats, measure the off-cycle losses at the 
maximum fuel input rate and at the reduced fuel input rate. For vented 
heaters equipped with step-modulating thermostats, measure the off-cycle 
losses at the reduced fuel input rate.
    Let the vented heater heat up to a steady-state condition. Feed a 
tracer gas at a constant metered rate into the stack directly above and 
within one foot above the stack damper. Record tracer gas flow rate and 
temperature. Measure the tracer gas concentration in the stack at 
several locations in a horizontal plane through a cross section of the 
stack at a point sufficiently above the stack damper to ensure that the 
tracer gas is well mixed in the stack.
    Continuously measure the tracer gas concentration and temperature 
during a 10 minute cool down period. Shut the burner off and immediately 
begin measuring tracer gas concentration in the stack, stack 
temperature, room temperature, and barometric pressure. Record these 
values as the midpoint of each one-minute interval between burner shut 
down and ten minutes after burner shut down. Meter response time and 
sampling delay time shall be considered in timing these measurements.
    3.4  Measurement of the effectiveness of electro-mechanical stack 
dampers. For vented heaters equipped with electro-mechanical stack 
dampers, measure the cross sectional area of the stack (As), 
the net area of the damper plate (Ao), and the angle that the 
damper plate makes when closed with a plane perpendicular to the axis of 
the stack (). The net area of the damper plate means the area 
of the damper plate minus the area of any holes through the damper 
plate.
    3.5  Pilot light measurement. Measure the energy input rate to the 
pilot light (Qp) with an error no greater than 3 percent for 
vented heaters so equipped.
    3.6  Optional procedure for determining Dp'DF' 
and Ds for systems for all types of vented heaters. For all 
types of vented heaters, Dp'!DF'!and DS 
can be measured by the following optional cool down test.
    Conduct a cool down test by letting the unit heat up until steady-
state conditions are reached, as indicated by temperature variation of 
not more than 5 deg.F (2.8 deg.C) in the flue gas temperature in three 
successive readings taken 15 minutes apart, and then shutting the unit 
off with the stack or flue damper controls by-passed or adjusted so that 
the stack or flue damper remains open during the resulting cool down 
period. If a draft was maintained on oil fueled units in

[[Page 222]]

the flue pipe during the steady-state performance test described in 
section 3.1 of this appendix, maintain the same draft (within a range of 
-.001 to +.005 inches of water gauge of the average steady-state draft) 
during this cool down period.
    Measure the flue gas mass flow rate (mF,OFF) during the 
cool down test described above at a specific off-period flue gas 
temperature and corrected to obtain its value at the steady-state flue 
gas temperature (TF,SS), using the procedure described below.
    Within one minute after the unit is shut off to start the cool down 
test for determining DF, begin feeding a tracer gas into the 
combustion chamber at a constant flow rate of VT, and at a 
point which will allow for the best possible mixing with the air flowing 
through the chamber. (On units equipped with an oil fired power burner, 
the best location for injecting this tracer gas appears to be through a 
hole drilled in the air tube.) Periodically measure the value of VT 
with an instantaneously reading flow meter having an accuracy of 
3 percent of the quantity measured. Maintain VT 
at less than 1 percent of the air flow rate through the furnace. If a 
combustible tracer gas is used, there should be a delay period between 
the time the burner gas is shut off and the time the tracer gas is first 
injected to prevent ignition of the tracer gas.
    Between 5 and 6 minutes after the unit is shut off to start the cool 
down test, measure at the exit of the heat exchanger the average flue 
gas temperature, T*F,Off. At the same instant the flue gas 
temperature is measured, also measure the percent volumetric 
concentration of tracer gas CT in the flue gas in the same 
plane where T*F,Off is determined. Obtain the concentration 
of tracer gas using an instrument which will result in an accuracy of 
2 percent in the value of CT measured. If use of 
a continuous reading type instrument results in a delay time between 
drawing of a sample and its analysis, this delay should be taken into 
account so that the temperature measurement and the measurement of 
tracer gas concentration coincide. In addition, determine the 
temperature of the tracer gas entering the flow meter (TT) 
and the barometric pressure (PB).
    The rate of the flue gas mass flow through the vented heater and the 
factors DP, DF, and DS are calculated 
by the equations in sections 4.5.1 through 4.5.3 of this appendix.
    4.0  Calculations. 
    4.1  Annual fuel utilization efficiency for gas or oil fueled vented 
home heating equipment equipped without manual controls and without 
thermal stack dampers. The following procedure determines the annual 
fuel utilization efficiency for gas or oil fueled vented home heating 
equipment equipped without manual controls and without thermal stack 
dampers.
    4.1.1  System number. Obtain the system number from Table 1 of this 
appendix.
    4.1.2  Off-cycle flue gas draft factor. Based on the system number, 
determine the off-cycle flue gas draft factor (DF) from Table 
1 of this appendix.
    4.1.3  Off-cycle stack gas draft factor. Based on the system number, 
determine the off-cycle stack gas draft factor (Ds) from 
Table 1 of this appendix.
    4.1.4  Pilot fraction. Calculate the pilot fraction (PF) 
expressed as a decimal and defined as:

PF=QP/Qin

where:

QP=as defined in 3.5 of this appendix
Qin=as defined in 3.1 of this appendix at the maximum fuel 
          input rate

    4.1.5  Jacket loss for floor furnaces. Determine the jacket loss 
(Lj) expressed as a percent and measured in accordance with 
section 3.2 of this appendix. For other vented heaters 
Lj=0.0.
    4.1.6  Latent heat loss. Based on the fuel, obtain the latent heat 
loss (LL,A) from Table 2 of this appendix.
    4.1.7  Ratio of combustion air mass flow rate to stoichiometric air 
mass flow rate. Determine the ratio of combustion air mass flow rate to 
stoichiometric air mass flow rate (RT,F), and defined as:

RT,F=A+B/XCO2F

where:

A=as determined from Table 2 of this appendix
B=as determined from Table 2 of this appendix
XCO2F=as defined in 3.1 of this appendix
    4.1.8  Ratio of combustion and relief air mass flow rate to 
stoichiometric air mass flow rate. For vented heaters equipped with 
either an integral draft diverter or a drafthood, determine the ratio of 
combustion and relief air mass flow rate to stoichiometric air mass flow 
rate (RT,S), and defined as:

                 RT,S=A+[B/XCO2S]

where:

A=as determined from Table 2 of this appendix
B=as determined from Table 2 of this appendix
XCO2S=as defined in 3.1 of this appendix

    4.1.9  Sensible heat loss at steady-state operation. For vented 
heaters equipped with either an integral draft diverter or a draft hood, 
determine the sensible heat loss at steady-state operation 
(LS,SS,A) expressed as a percent and defined as:

where:

LS,SS,A=C(RT,S+D)(TS,SS-TRA)
C=as determined from Table 2 of this appendix
RT,S=as defined in 4.1.8 of this appendix

[[Page 223]]

D=as determined from Table 2 of this appendix
TS,SS=as defined in 3.1 of this appendix
TRA=as defined in 2.9 of this appendix

    For vented heaters equipped without an integral draft diverter, 
determine (LS,SS,A) expressed as a percent and defined as:

LS,SS,A=C(RT,F+D)(TF,SS-TRA)

where:

C=as determined from Table 2 of this appendix
RT,F=as defined in 4.1.7 of this appendix
D=as determined from Table 2 of this appendix
TF,SS=as defined in 3.1 of this appendix
TRA=as defined in 2.9 of this appendix

    4.1.10  Steady-state efficiency. For vented heaters equipped with 
single stage thermostats, calculate the steady-state efficiency 
(excluding jacket loss, SS, expressed in percent 
and defined as:

SS=100-LL,A-LS,SS,A

where:

LL,A=as defined in 4.1.6 of this appendix
LS,SS,A=as defined in 4.1.9 of this appendix

    For vented heaters equipped with either two stage thermostats or 
with step-modulating thermostats, calculate the steady-state efficiency 
at the reduced fuel input rate, SS,L, expressed in 
percent and defined as:

SS-L=100-LL,A-LS,SS,A
where:

LL,A=as defined in 4.1.6 of this appendix
LS,SS,A=as defined in 4.1.9 of this appendix in which 
          LS,SS,A!is determined at the reduced fuel input 
          rate
    For vented heaters equipped with two stage thermostats, calculate 
the steady-state efficiency at the maximum fuel input rate,
-, expressed in percent 
and defined as:

-=100-LL,A-LS,SS,A


where:

LL,A=as defined in 4.1.6 of this appendix
LS,SS,A=as defined in 4.1.9 of this appendix in which 
          LS,SS,A is measured at the maximum fuel input rate

    For vented heaters equipped with step-modulating thermostats, 
calculate the weighted-average steady-state efficiency in the modulating 
mode, 
-, 
expressed in percent and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.060

where:

-=as defined in 4.1.10 
          of this appendix
-=as defined in 4.1.10 
          of this appendix
TOA*=average outdoor temperature for vented heaters with 
          step-modulating thermostats operating in the modulating mode 
          and is obtained from Table 3 or Figure 1 of this appendix
TC=balance point temperature which represents a temperature 
          used to apportion the annual heating load between the reduced 
          input cycling mode and either the modulating mode or maximum 
          input cycling mode and is obtained either from Table 3 of this 
          appendix or calculated by the following equation:

TC=65-[(65-15)R]

where:

65=average outdoor temperature at which a vented heater starts operating
15=national average outdoor design temperature for vented heaters
R=ratio of reduced to maximum heat output rates, as defined in 4.1.13 of 
          this appendix

    4.1.11  Reduced heat output rate. For vented heaters equipped with 
either two stage thermostats or step-modulating thermostats, calculate 
the reduced heat output rate
(Qred-out) defined as:

Qred-out=-Qred-in


where:

-=as defined in 4.1.10 
          of this appendix
Qred-in=the reduced fuel input rate

    4.1.12  Maximum heat output rate. For vented heaters equipped with 
either two stage thermostats or step-modulating thermostas, calculate 
the maximum heat output rate (Qmax-out) defined as:

Qmax, out=, 
Qmax, in

where:

-=as defined in 4.1.10 
          of this appendix

Qmax-in=the maximum fuel input rate

    4.1.13  Ratio of reduced to maximum heat output rates. For vented 
heaters equipped with either two stage thermostats or step-modulating 
thermostats, calculate the ratio of reduced to maximum heat output rates 
(R) expressed as a decimal and defined as:

R=Qred-out/Qmax-out

where:


[[Page 224]]


Qred-out=as defined in 4.1.11 of this appendix
Qmax-out=as defined in 4.1.12 of this appendix

    4.1.14  Fraction of heating load at reduced operating mode. For 
vented heaters equipped with either two stage thermostats or step-
modulating thermostats, determine the fraction of heating load at the 
reduced operating mode (X1) expressed as a decimal and listed 
in Table 3 of this appendix or obtained from Figure 2 of this appendix.
    4.1.15  Fraction of heating load at maximum operating mode or 
noncycling mode. For vented heaters equipped with either two stage 
thermostats or step-modulating therostats, determine the fraction of 
heating load at the maximum operating mode or noncycling mode 
(X2) expressed as a decimal and listed in Table 3 of this 
appendix or obtained from Figure 2 of this appendix.
    4.1.16  Weighted-average steady-state efficiency. For vented heaters 
equipped with single stage thermostats, the weighted-average steady-
state efficiency (SS-WT) is equal to 
SS, as defined in section 4.1.10 of this appendix. 
For vented heaters equipped with two stage thermostats, 
SS-WT is defined as:

SS-WT=X1SS-
L+X2SS-H

where:

X1=as defined in 4.1.14 of this appendix
SS-L=as defined in 4.1.10 of this appendix
X2=as defined in 4.1.15 of this appendix
SS-H=as defined in 4.1.10 of this appendix
    For vented heaters equipped with step-modulating thermostats, 
SS-WT is defined as:

SS-WT=X1SS-
L+X2SS-MOD

where:
X1=as defined in 4.1.14 of this appendix
SS-L=as defined in 4.1.10 of this appendix
X2=as defined in 4.1.15 of this appendix
SS-MOD=as defined in 4.1.10 of this appendix

    4.1.17  Annual fuel utilization efficiency. Calculate the annual 
fuel utilization efficiency (AFUE) expressed as percent and defined as:

AFUE=[0.968SS-
WT]-1.78DF-1.89DS-129PF-2.8 
LJ+1.81

where:

SS-WT=as defined in 4.1.16 of this appendix
DF=as defined in 4.1.2 of this appendix
DS=as defined in 4.1.3 of this appendix
PF=as defined in 4.1.4 of this appendix
LJ=as defined in 4.1.5 of this appendix
    4.2  Annual fuel utilization efficiency for gas or oil fueled vented 
home heating equipment equipped with manual controls. The following 
procedure determines the annual fuel utilization efficiency for gas or 
oil fueled vented home heating equipment equipped with manual controls.
    4.2.1  Average ratio of stack gas mass flow rate to flue gas mass 
flow rate at steady-state operation. For vented heaters equipped with 
either direct vents or direct exhaust or are outdoor units, the average 
ratio of stack gas mass flow rate to flue gas mass flow rate at steady-
state operation (S/F) shall be equal to unity. (S/F=1.) For all other 
types of vented heaters, calculate (S/F) defined as:

S/F=1.3RT,S/RT,F

where:
RT,S=as defined in 4.1.8 of this appendix with 
          XCO2s measured at 50% fuel input rate
RT,F=as defined in 4.1.7 of this appendix with 
          XCO2F measured at 50% fuel input rate
    4.2.2  Multiplication factor for infiltration loss during burner on-
cycle. Calculate the multiplication factor for infiltration loss during 
burner on-cycle (KI,ON) defined as:

KI,ON=100(0.24) (S/F) (0.7) [1+RT,F(A/F)]/
HHVA

where:
100=converts a decimal fraction into a percent
0.24=specific heat of air
A/F=stoichiometric air/fuel ratio, determined in accordance with Table 2 
          of this appendix
S/F=as defined in 4.2.1 of this appendix at 50 percent of rated maximum 
          fuel input
0.7=infiltration parameter
RT,F=as defined in 4.1.7 of this appendix
HHVA=average higher heating value of the test fuel, 
          determined in accordance with Table 2 of this appendix

    4.2.3  On-cycle infiltration heat loss. Calculate the on-cycle 
infiltration heat loss (LI,ON) expressed as a percent and 
defined as:

LI,ON=KI,ON (70-45)

where:

KI,ON=as defined in 4.2.2 of this appendix
70=average indoor temperature
45=average outdoor temperature

    4.2.4  Weighted-Average Steady-State Efficiency. For manually 
controlled heaters with various input rates the weighted average steady-
state efficiency (-
), is at 50 percent of the maximum 
fuel input rate as measured in either section 3.1.1 to this appendix for 
manually controlled gas vented heaters or section 3.1.2 to this appendix 
for manually controlled oil vented heaters. For manually controlled 
heater with one single firing rate the weighted average steady-state 
efficiency is the steady state efficiency measured at the single firing 
rate.
    4.2.5  Part-load fuel utilization efficiency. Calculate the part-
load fuel utilization efficiency () 
expressed as a percent and defined as:

=-
          -LI,ON

where:

-
          =as defined in 4.2.4 of 
          this appendix
LI,ON=as defined in 4.2.3 of this appendix

    4.2.6  Annual fuel utilization efficiency. For manually controlled 
vented heaters. Calculate the annual fuel utilization efficiency (AFUE) 
expressed as a percent and defined as:

[[Page 225]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.061


where:

4400=average number of heating degree days
=as defined as 
          -
           in 4.2.4 of this 
          appendix
=as defined in 4.2.5 of this appendix
Qin-=as 
          defined as Qin at the maximum fuel input rate, as 
          defined in 3.1 of this appendix
4600=average number of non-heating season hours per year
Qp=as defined in 3.5 of this appendix

    4.3  Annual fuel utilization efficiency by the tracer gas method. 
The annual fuel utilization efficiency shall be determined by the 
following tracer gas method for all vented heaters equipped with thermal 
stack dampers. All other types of vented heaters can elect to use the 
following tracer gas method, as an optional procedure.
    4.3.1  On-cycle sensible heat loss. For vented heaters equipped with 
single stage thermostats, calculate the on-cycle sensible heat loss 
(LS,ON) expressed as a percent and defined as:

LS,ON=LS,SS,A

where:

LS,SS,A=as defined in 4.1.9 of this appendix

    For vented heaters equipped with two stage thermostats, calculate 
LS,ON defined as:
LS,ON=X1LS,SS,A-
          +X2LS,SS,A
          -

where:

X1=as defined in 4.1.14 of this appendix
LS,SS,A-=as 
          defined as LS,SS,A in 4.1.9 of this appendix at the 
          reduced fuel input rate
X2=as defined in 4.1.15 of this appendix
LS,SS,A-max=as defined as LS,SS,A!in 4.1.9 of this 
          appendix at the maximum fuel input rate

    For vented heaters with step-modulating thermostats, calculate 
LS,ON!defined as:

LS,ON=X1LS,SS,A-
          red+X2LS,SS,A-avg

where:

X=1-as defined in 4.1.14 of this appendix
LLS,SS,A-red=as defined in 4.3.1 of this appendix
X2=as defined in 4.1.15 of this appendix
LS,SS,A-avg=average sensible heat loss for step-modulating 
          vented heaters operating in the modulating mode
          [GRAPHIC] [TIFF OMITTED] TC04OC91.062
          
where:

LS,SS,A-avg=as defined in 4.3.1 of this appendix
TC=as defined in 4.1.10 of this appendix
TOA*=as defined in 4.1.10 of this appendix
15=as defined in 4.1.10 of this appendix

    4.3.2 On-cycle infiltration heat loss. For vented heaters equipped 
with single stage thermostats, calculate the on-cycle infiltration heat 
loss (LI,ON) expressed as a percent and defined as:

LI,ON=KI,ON(70-45)
where:

KI,ON=as defined in 4.2.2 of this appendix
70=as defined in 4.2.3 of this appendix
45=as defined in 4.2.3 of this appendix

    For vented heaters equipped with two stage thermostats, calculate 
LI,ON defined as:

LI,ON=X1KI,ON-Max(70-
          TOA*)+X2KI,ON,red(7
          0-TOA)

where:

X1=as defined in 4.1.14 of this appendix
KI,ON-max =as defined as KI,ON!in 4.2.2 of this 
          appendix at the maximum heat input rate
70=as defined in 4.2.3 of this appendix
TOA*=as defined in 4.3.4 of this appendix
KI,ON,red=as defined as KI,ON in 4.2.2 
          of this appendix at the minimum heat input rate
TOA=as defined in 4.3.4 of this appendix
X2=as defined in 4.1.15 of this appendix

    For vented heaters equipped with step-modulating thermostats, 
calculate LI,ON!defined as:

LI,ON=X1KI,ON-avg(70-
          TOA*)+X2KI,ON-red
          (70-TOA)

where:

X1=as defined in 4.1.14 of this appendix

[[Page 226]]



                                                                                                                
                                                            [KI,on,max+KI,ON,red]                               
                                          KI,on,avg=   -------------------------------                          
                                                                      2                                         
                                                                                                                

70=as defined in 4.2.3 of this appendix
TOA*=as defined in 4.3.4 of this appendix
X2=as defined in 4.1.15 of this appendix
TOA=as defined in 4.3.4 of this appendix

    4.3.3  Off-cycle sensible heat loss. For vented heaters equipped 
with single stage thermostats, calculate the off-cycle sensible heat 
loss (LS,OFF) at the maximum fuel input rate. For vented 
heaters equipped with step-modulating thermostats, calculate LS,OFF 
defined as:
LS,OFF=X1LS,OFF,red

where:

X1=as defined in 4.1.14 of this appendix
LS,OFF,red=as defined as LS,OFF in 4.3.3 of this 
          appendix at the reduced fuel input rate

    For vented heaters equipped with two stage thermostats, calculate 
LS,OFF defined as:

LS,OFF=X1LS,OFF,red+X2LS
,OFF,Max

where:

X1=as defined in 4.1.14 of this appendix
LS,OFF,red=as defined as LS,OFF in 4.3.3 of this 
          appendix at the reduced fuel input rate
X2=as defined in 4.1.15 of this appendix
LS,OFF,Max=as defined as LS,OFF in 4.3.3 of this 
          appendix at the maximum fuel input rate

    Calculate the off-cycle sensible heat loss (LS,OFF) 
expressed as a percent and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.063

where:

100=conversion factor for percent
0.24=specific heat of air in Btu per pound-+ F
Qin=fuel input rate, as defined in 3.1 of this appendix in 
          Btu per minute (as appropriate for the firing rate)
ton=average burner on-time per cycle and is 20 minutes
mS,OFF(TS,OFF-TRA)=summation 
          of the twenty values of the quantity, 
          mS,OFF(TS,OFF-TRA), measured 
          in accordance with 3.3 of this appendix
mS,OFF=stack gas mass flow rate pounds per minute
[GRAPHIC] [TIFF OMITTED] TC04OC91.064

TS,OFF=stack gas temperature measured in accordance with 3.3 
          of this appendix
TRA=average room temperature measured in accordance with 3.3 
          of this appendix
PB=barometric pressure in inches of mercury
VT=flow rate of the tracer gas through the stack in cubic 
          feet per minute
CT*=concentration by volume of the active tracer 
          gas in the mixture in percent and is 100 when the tracer gas 
          is a single component gas
CT=concentration by volume of the active tracer gas in the 
          diluted stack gas in percent
TT=temperature of the tracer gas entering the flow meter in 
          degrees Fahrenheit
(TT+460)=absolute temperature of the tracer gas entering the 
          flow meter in degrees Rankine

    4.3.4  Average outdoor temperature. For vented heaters equipped with 
single stage thermostats, the average outdoor temperature 
(TOA) is 45+F. For vented heaters equipped with 
either two stage thermostats or step-modulating thermostats, TOA 
during the reduced operating mode is obtained from Table 3 or Figure 1 
of this appendix. For vented heaters equipped with two stage 
thermostats, TOA* during the maximum operating mode is 
obtained from Table 3 or Figure 1 of this appendix.
4.3.5  Off-cycle infiltration heat loss. For vented heaters equipped 
          with single stage thermostats, calculate the off-cycle 
          infiltration heat loss (LI,OFF) at the maximum fuel 
          input rate. For vented heaters equipped with step-modulating 
          thermostats, calculate LI,OFF defined as:

LI,OFF=X1LI,OFF,red

where:

X1=as defined in 4.1.14 of this appendix
LI,OFF,red=as defined in LI,OFF in 4.3.3 of this 
          appendix at the reduced fuel input rate


[[Page 227]]


    For vented heaters equipped with two stage thermostats, calculate 
LI,OFF defined as:

LI,OFF=X1LI,OFF,red + 
          X2LI,OFF,max

where:

X1=as defined in 4.1.14 of this appendix
LI,OFF, red=as defined as LI,OFF in 4.3.3 of this 
          appendix at the reduced fuel input rate
X2=as defined in 4.1.15 of this appendix
LI,OFF,Max=as defined as LI,OFF in 4.3.3 of this 
          appendix at the maximum fuel input rate

    Calculate the off-cycle infiltration heat loss (LI,OFF ) 
expressed as a percent and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.065

where:

100=conversion factor for percent
0.24=specific heat of air in Btu per pound-+ F
1.3=dimensionless factor for converting laboratory measured stack flow 
          to typical field conditions
0.7=infiltration parameter
70=assumed average indoor air temperature, + F
TOA=average outdoor temperature as defined in 4.3.4 of this 
          appendix
Qin=fuel input rate, as defined in 3.1 of this appendix in 
          Btu per minute (as appropriate for the firing rate)
ton=average burner on-time per cycle and is 20 minutes
mS,OFF=summation of the twenty values of the 
          quantity, mS,OFF, measured in accordance with 3.3 
          of this appendix
mS,OFF=as defined in 4.3.3 of this appendix

    4.3.6  Part-load fuel utilization efficiency. Calculate the part-
load fuel utilization efficiency ( ) 
expressed as a percent and defined as:

                                                                                                                                                        
                                                                              ton                                                                       
                                    u=100-Ll,A-CjLj  <3-ln [> -------------- <3-ln ]> +    [Ls,on+Ls,OFF+LI,on+Ls,OFF]                        
                                                                          ton+PFtOFF                                                                    
                                                                                                                                                        

where:
Cj=2.8, adjustment factor
Lj=jacket loss as defined in 4.1.5
LL,A=as defined in 4.1.6 of this appendix
ton=as defined in 4.3.3 of this appendix
LS,ON=as defined in 4.3.1 of this appendix
LS,OFF=as defined in 4.3.3 of this appendix
LI,ON=as defined in 4.3.2 of this appendix
LI,OFF=as defined in 4.1.4 of this appendix
PF=as defined in 4.1.4 of this appendix
tOFF=average burner off-time per cycle and is 20 minutes

    4.3.7  Annual fuel utilization efficiency. Calculate the annual fuel 
utilization efficiency (AFUE) expressed as a percent and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.066

where:

4400=as defined in 4.2.6
SS-WT=as defined in 4.1.16 of this appendix
=as defined in 4.3.6 of this appendix
Qin-max=as defined in 4.2.6 of this appendix
4600=as defined in 4.2.6 of this appendix
Qp=as defined in 3.5 of this appendix

    4.4  Stack damper effectiveness for vented heaters equipped with 
electro-mechanical stack dampers. Determine the stack damper 
effectiveness for vented heaters equipped with electro-mechanical stack 
dampers (Do), defined as:

Do=1.62 [1--AD cos /AS]

where:

AD=as defined in 3.4 of this appendix
=as defined in 3.4 of this appendix
AS=as defined in 3.4 of this appendix


[[Page 228]]


    4.5  Addition requirements for vented home heating equipment using 
indoor air for combustion and draft control. For vented home heating 
equipment using indoor air for combustion and draft control, 
DF, as described in section 4.1.2 of this appendix, and 
DS, as described in section 4.1.3 of this appendix, shall be 
determined from Table 1 of this appendix.
    4.5.1  Optional procedure for determining DP for vented 
home heating equipment. Calculate the ratio (DP) of the rate 
of flue gas mass through the vented heater during the off-period, 
MF,OFF(TF,SS), to the rate of flue gas mass flow 
during the on-period, MF,SS(TF,SS), and defined 
as:

DP=MF,OFF(TF,SS)/
          MF,SS(TF,SS)

    For vented heaters in which no draft is maintained during the 
steady-state or cool down tests, MF,OFF(TF,SS) is 
defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.067

    For oil fueled vented heaters in which an imposed draft is 
maintained, as described in section 3.6 of this appendix, 
MF,OFF(TF,SS) is defined as:

MF,OFF(TF,SS)=MF,OFF(T*F,SS)

where:

TF,SS=as defined in 3.1.1 of this appendix
T*F,OFF=flue gas temperature during the off-period measured 
          in accordance with 3.6 of this appendix in degrees Fahrenheit
TRA=as defined in 2.9 of this appendix
[GRAPHIC] [TIFF OMITTED] TC04OC91.068

pB=barometric pressure measured in accordance with 3.6 of 
          this appendix in inches of mercury
VT=flow rate of tracer gas through the vented heater measured 
          in accordance with 3.6 of this appendix in cubic feet per 
          minute
CT=concentration by volume of tracer gas present in the flue 
          gas sample measured in accordance with 3.6 of this appendix in 
          percent
CT*=concentration by volume of the active tracer gas in the 
          mixture in percent and is 100 when the tracer gas is a single 
          component gas
TT=the temperature of the tracer gas entering the flow meter 
          measured in accordance with 3.6 of this appendix in degrees 
          Fahrenheit
(TT+460)=absolute temperature of the tracer gas entering the 
          flow meter in degrees Rankine
MF,SS(TF,SS)=Qin[RT,F(A/
          F)+1]/[60HHVA]
Qin=as defined in 3.1 of this appendix
RT,F=as defined in 4.1.7 of this appendix
A/F=as defined in 4.2.2 of this appendix
HHVA=as defined in 4.2.2 of this appendix

    4.5.2  Optional procedure for determining off-cycle draft factor for 
flue gas flow for vented heaters. For systems numbered 1 thru 10, 
calculate the off-cycle draft factor for flue gas flow (DF) 
defined as:

DF=DP

    For systems numbered 11 or 12: 
DF=DPDO

where:

Dp=as defined in 4.5.1. of this appendix
DO=as defined in 4.4 of this appendix

    4.5.3  Optional procedure for determining off-cycle draft factor for 
stack gas flow for vented heaters. Calculate the off-cycle draft factor 
for stack gas flow (DS) defined as:

For systems numbered 1 or 2: DS=1.0
For systems numbered 3 or 4: DS=(DP+0.79)/1.4
For systems numbered 5 or 6: DS=DO
For systems numbered 7 or 8 and if DO(S/
          F)<1:DS=DODP
For systems numbered 7 or 8 and if DO(S/F)>1:

DS=DODP+[0.85-DODP]
 [DO(S/F)-1]/[S/F-1]

where:

DP=as defined in 4.5.1 of this appendix
DO=as defined in 4.4 of this appendix
     

   Table 1--Off-Cycle Draft Factors for Flue Gas Flow (DF) and for Stack Gas Flow (DS) for Vented Home Heating  
                                Equipment Equipped Without Thermal Stack Dampers                                
----------------------------------------------------------------------------------------------------------------
              System number                  (DF)     (DS)         Burner type         Venting system type \1\  
----------------------------------------------------------------------------------------------------------------
1........................................      1.0      1.0  Atmospheric...........  Draft hood or diverter.    
2........................................      0.4      1.0  Power.................  Draft hood or diverter.    
3........................................      1.0      1.0  Atmospheric...........  Barometric draft regulator.
4........................................      0.4     0.85  Power.................  Barometric draft regulator.

[[Page 229]]

                                                                                                                
5........................................      1.0       Do  Atmospheric...........  Draft hood or diverter with
                                                                                      damper.                   
6........................................      0.4       Do  Power.................  Draft hood or diverter with
                                                                                      damper.                   
7........................................      1.0       Do  Atmospheric...........  Barometric draft regulator 
                                                                                      with damper.              
8........................................      0.4     DoDp  Power.................  Barometric draft regulator 
                                                                                      with damper.              
9........................................      1.0  .......  Atmospheric...........  Direct vent.               
10.......................................      0.4  .......  Power.................  Direct vent.               
11.......................................      Do.  .......  Atmospheric...........  Direct vent with damper.   
12.......................................   0.4 Do  .......  Power.................  Direct vent with damper.   
----------------------------------------------------------------------------------------------------------------
\1\ Venting systems listed with dampers means electro-mechanical dampers only.                                  

     

Table 2--Values of Higher Heating Value (HHV(A), Stoichiometric Air/Fuel (A/F), Latent Heat Loss (LL,A) and Fuel-
                             Specified Parameters (A, B, C, and D) for Typical Fuels                            
----------------------------------------------------------------------------------------------------------------
                                                     HHVA                                                       
                      Fuels                        (Btu/lb)    A/F      LL,A      A        B        C        D  
----------------------------------------------------------------------------------------------------------------
No. 1 oil........................................    19,800    14.56     6.55   0.0679    14.22   0.0179   0.167
No. 2 oil........................................    19,500    14.49     6.50   0.0667    14.34   0.0181   0.167
Natural gas......................................    20,120    14.45     9.55   0.0919    10.96   0.0175   0.171
Manufactured gas.................................    18,500    11.81    10.14   0.0965    10.10   0.0155   0.235
Propane..........................................    21,500    15.58     7.99   0.0841    12.60   0.0177   0.151
Butane...........................................    20,000    15.36     7.79   0.0808    12.93   0.0180   0.143
----------------------------------------------------------------------------------------------------------------

     

 Table 3--Fraction of Heating Load at Reduced Operating Mode (X1) and at
   Maximum Operating Mode (X2), Average Outdoor Temperatures (TOA and   
  TOA*), and Balance Point Temperature (TC) for Vented Heaters Equipped 
    With Either Two-Stage Thermostats or Step-Modulating Thermostats    
------------------------------------------------------------------------
         Heat output ratio a             X1     X2    TOA    TOA*    TC 
------------------------------------------------------------------------
0.20 to 0.24.........................    .12    .88     57     40     53
0.25 to 0.29.........................    .16    .84     56     39     51
0.30 to 0.34.........................    .20    .80     54     38     49
0.35 to 0.39.........................    .30    .70     53     36     46
0.40 to 0.44.........................    .36    .64     52     35     44
0.45 to 0.49.........................    .43    .57     51     34     42
0.50 to 0.54.........................    .52    .48     50     32     39
0.55 to 0.59.........................    .60    .40     49     30     37
0.60 to 0.64.........................    .70    .30     48     29     34
0.65 to 0.69.........................    .76    .24     47     27     32
0.70 to 0.74.........................    .84    .16     46     25     29
0.75 to 0.79.........................    .88    .12     46     22     27
0.80 to 0.84.........................    .94    .06     45     20     23
0.85 to 0.89.........................    .96    .04     45     18     21
0.90 to 0.94.........................    .98    .02     44     16     19
0.95 to 0.99.........................    .99    .01     44     13     17
------------------------------------------------------------------------
a The heat output ratio means the ratio of minimum to maximum heat      
  output rates as defined in 4.1.13.                                    


[[Page 230]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.069


[[Page 231]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.070


[49 FR 12169, Mar. 28, 1984]

[[Page 232]]



 Appendix P to Subpart B of Part 430--Uniform Test Method for Measuring 
                 the Energy Consumption of Pool Heaters

    1. Test method. The test method for testing gas- and oil-fired pool 
heaters shall be as specified in American National Standards Institute 
Standard for Gas-Fired Pool Heaters, Z21.56-1986.
    2. Test conditions. Establish the test conditions specified in 
section 2.8 of ANSI Z21.56-1986.
    3. Measurements. Measure the quantities delineated in section 2.8 of 
ANSI Z21.56-1986, except in the case of oil-fired heaters the 
measurement of energy consumption in Btu's is to be carried out in 
appropriate units, e.g., gallons.
    4. Calculations. Calculate the thermal efficiency (expressed as a 
percent) as specified in section 2.8 of ANSI Z21.56-1986, except in the 
case of oil-fired heaters the expression of fuel consumption shall be in 
Btu's.

[54 FR 6076, Feb. 7, 1989]

 Appendix Q to Subpart B of Part 430--Uniform Test Method for Measuring 
           the Energy Consumption of Fluorescent Lamp Ballasts

                             1. Definitions

    1.1  ANSI Standard means a standard developed by a committee 
accredited by the American National Standards Institute.
    1.2  Ballast input voltage means the rated input voltage of a 
fluorescent lamp ballast.
    1.3  F4OT12 lamp means a nominal 40 watt tubular fluorescent lamp 
which is 48 inches in length and one and a half inches in diameter, and 
conforms to ANSI standard C78.1-1978(R1984).
    1.4  F96T12 lamp means a nominal 75 watt tubular fluorescent lamp 
which is 96 inches in length and one and one-half inches in diameter, 
and conforms to ANSI Standard C78.1-1978 (R1984).
    1.5  F96T12HO lamp means a nominal 110 watt tubular fluorescent lamp 
which is 96 inches in length and one and a half inches in diameter, 
andto operate.
    1.6  Input current means the root-mean-square (RMS) current in 
amperes delivered to a fluorescent lamp ballast.
    1.7  Luminaire means a complete lighting unit consisting of a 
fluorescent lamp or lamps, together with parts designed to distribute 
the light, to position and protect such lamps, and to connect such lamps 
to the power supply through the ballast.
    1.8  Nominal lamp watts means the wattage at which a fluorescent 
lamp is designed to operate.
    1.9  Power factor means the power input divided by the product of 
ballast input voltage and input current of a fluorescent lamp ballast, 
as measured under test conditions specified in ANSI Standard C-82.2-
1984.
    1.10  Power input means the power consumption in watts of a ballast 
and fluorescent lamp or lamps, as determined in accordance with the test 
procedures specified in ANSI Standard C82.2-1984.
    1.11  Relative light output means the light output delivered through 
the use of a ballast divided by the light output delivered through the 
use of a reference ballast, expressed as a percent, as determined in 
accordance with the test procedures specified in ANSI Standard C82.2-
1984.
    1.12  Residential building means a structure or portion of a 
structure which provides facilities or shelter for human residency, 
except that such term does not include any multifamily residential 
structure of more than three stores above grade.
    1.13  ANSI Standard C82.2-1984 means the test standard published by 
the American National Standard Institute (ANSI), titled ``American 
National Standard for Fluorescent Lamp Ballasts--Method of Measurement, 
1984'', and designated as ANSI C82.2-1984.
    2. Test conditions. The test conditions for testing fluorescent lamp 
ballasts shall be done in accordance with the American National Standard 
Institute (ANIS) Standard C82.2-1984, ``American National Standard for 
Fluorescent Lamp Ballasts--Methods of Measurement,'' approved October 
21, 1983. This incorporation by reference was approved by the Director 
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. Copies may be obtained from ANSI Publication Sales, 1430 
Broadway, New York, NY 10068. Copies may be inspected at the Department 
of Energy, Freedom of Information Reading Room, Room 1E-190, Fluorescent 
Lamp Ballasts, Docket No. CE-RM-89-102, 1000 Independence Avenue, SW, 
Washington DC 20585, or at the Office of the Federal Register, 800 North 
Capitol Street, NW., suite 700, Washington, DC 20001. Any subsequent 
amendment to this standard by the standard-setting organization will not 
affect the DOE test procedures unless and until amended by DOE. The test 
conditions are described in sections 4, 5, 6, 7, and 21 of ANSI Standard 
C82.2-1984.
    3.  Test Method and Measurements.
    3.1.  The test method for testing fluorescent lamp ballasts shall be 
done in accordance with ANSI Standard C82.2-1984.
    3.2  Instrumentation. The instrumentation shall be as specified by 
sections 8, 9, 10, 11, 12, 19.1, and 23.2 of ANSI Standard C82.2-1984.
    3.3  Electric Supply.
    3.3.1.  Input Power. Measure the input power (watts) to the ballast 
in accordance

[[Page 233]]

with ANSI Standard C82.2-1984, section 3.2.1(3) and section 4.
    3.3.2  Input Voltage. Measure the input voltage (volts) (RMS) to the 
ballast in accordance with ANSI Standard C82.2-1984, section 3.2.1(1) 
and section 4.
    3.3.3  Input Current. Measure the input current (amps) (RMS) to the 
ballast in accordance with ANSI Standard C82.2-1984, section 3.2.1(2) 
and section 4.
    3.4  Light Output.
    3.4.1  Measure the light output of the reference lamp with the 
reference ballast in accordance with ANSI Standard C82.2-1984, section 
16.
    3.4.2  Measure the light output of the reference lamp with the test 
ballast in accordance with ANSI Standard C82.2-1984, section 16.
    4.  Calculations.
    4.1  Calculate relative light output:

                                                                        
 Photocell output of lamp on test ballast                               
-------------------------------------------    x  100 = relative light  
 Photocell output of lamp on ref. ballast              output           
                                                                        

Where:

photocell output of lamp on test ballast is determined in accordance 
          with section 3.4.2, expressed in watts, and photocell output 
          of lamp on ref. ballast is determined in accordance with 
          section 3.4.1, expressed in watts.
    4.2.  Determine the Ballast Efficacy Factor (BEF) using the 
following equations:
(a) Single lamp ballast

                                                                                                                
                                                         relative light output                                  
                                              BEF =  ----------------------------                               
                                                              input power                                       
                                                                                                                

(b) Multiple lamp ballast

                                                                                                                
                                                        average relative light                                  
                                                                output                                          
                                              BEF =  ----------------------------                               
                                                              input power                                       
                                                                                                                

Where:

input power is determined in accordance with section 3.3.1,
relative light output as defined in section 4.1, and
average relative light output is the relative light output, as defined 
          in section 4.1, for all lamps, divided by the total number of 
          lamps.

    4.3  Determine Ballast Power Factor (PF):

                                                                        
                                           Input power                  
         PF =          -------------------------------------------------
                                 Input voltage  x  input current        
                                                                        

Where:

Input power is as defined in section 3.3.1,
Input voltage is determined in accordance with section 3.3.2, expressed 
          in volts, and
Input current is determined in accordance with section 3.3.3, expressed 
          in amps.

[54 FR 6076, Feb. 7, 1989, as amended at 56 FR 18682, April 24, 1991]

 Appendix R to Subpart B of Part 430--Uniform Test Method for Measuring 
 Average Lamp Efficacy (LE) and Color Rendering Index (CRI) of Electric 
                                  Lamps

    1. Scope: This appendix applies to the determination of the lamp 
efficacy (LE) and Color Rendering Index (CRI) for fluorescent lamps and 
to the determination of the lamp efficacy for incandescent lamps. The 
scope of this appendix shall also include that specified in section 1.1 
of IES LM-9, section 1 of IES LM-16, section 2.0 of IES LM-20, section 1 
of IES LM-45, section 1 of IES LM-58, section 1.1 of IES LM-66 and 
section II.2 of CIE Publication No. 13.2. (See Sec. 430.22) References 
in the text of this Appendix R are undated but are understood to be 
dated as specified in the list of Incorporated by Reference materials at 
Sec. 430.22.

    2. Definitions
    2.1  Definitions shall include the definitions specified in section 
1.2 of IES LM-9, section 3.0 of IES LM-20, section 2 of IES LM-45, 
section 2 of IES LM-58, section 1.2 of IES LM-66 and section IV of CIE 
Publication No. 13.2. (See Sec. 430.22)
    2.2  ANSI Standard means a standard developed by a committee 
accredited by the American National Standards Institute (ANSI).
    2.3  CIE means the International Commission on Illumination.
    2.4  CRI means Color Rendering Index as defined in Section 430.2.
    2.5  IES means the Illuminating Engineering Society of North 
America.
    2.6  Lamp efficacy means the ratio of measured lamp lumen output in 
lumens to the measured lamp electrical power input in watts, rounded to 
the nearest whole number, in units of lumens per watt.
    2.7  Lamp lumen output means the total luminous flux produced by the 
lamp at the measured reference condition, in units of lumens.
    2.8  Lamp electrical power input means the total electrical power 
input to the lamp, including both arc and cathode power where 
appropriate, at the measured reference condition, in units of watts.
    2.9  Reference condition means the test condition specified in IES 
LM-9 for general service fluorescent lamps, in IES LM-20 for 
incandescent reflector lamps, in IES LM-45 for

[[Page 234]]

general service incandescent lamps and in IES LM-66 for medium base 
compact fluorescent lamps. (See Sec. 430.22)
    3.0  Test Conditions
    3.1  General Service Fluorescent Lamps: Test ambient conditions, 
electrical circuits, reference ballasts, stabilization requirements, 
instruments and detectors shall be as described in the relevant sections 
of IES LM-9. The photometric test procedure and test report shall 
conform to sections 11 and 13 of IES LM-9. (See Sec. 430.22)
    3.2  General Service Incandescent Lamps: The selection and seasoning 
of the test lamps, the equipment and instrumentation, and the test 
conditions shall conform to sections 3, 4, 5 and 6 of IES LM-45. (See 
Sec. 430.22)
    3.3  Incandescent Reflector Lamps: The selection and seasoning of 
the test lamps, and the test conditions shall conform to sections 4.0 
and 5.0 of IES LM-20. (See Sec. 430.22)
    3.4  Medium Base Compact Fluorescent Lamps: The selection, seasoning 
and stabilization of the test lamps, and the test conditions, shall be 
as described in sections 1, 2, 3, and 7 of IES LM-66. (See Sec. 430.22)
    4. Test Methods and Measurements
    4.1  General Service Fluorescent Lamps
    4.1.1  The measurement procedure shall be as described in IES LM-9, 
except as noted below. Lamps shall be operated at the appropriate 
voltage and current conditions as described in ANSI C78.375 and ANSI 
C78.1, C78.2 or C78.3. Lamps shall be operated using the appropriate 
reference ballast as described in ANSI C82.3. (See Sec. 430.22)
    4.1.2  Lamp lumen output (lumens) and lamp electrical power input 
(watts) at the reference condition shall be measured and recorded. Lamp 
efficacy shall be determined by computing the ratio of the measured lamp 
lumen output and lamp electrical power input at equilibrium for the 
reference condition.
    4.2  General Service Incandescent Lamps
    4.2.1  The measurement procedure shall be as described in IES LM-45, 
except as noted below. Lamps shall be operated at 120 volts and 60 hertz 
regardless of the rated lamp voltage. (See Sec. 430.22)
    4.2.2  The test procedure shall follow section 7 and lamp lumen 
output determined in accordance with sections 4.2a or b of IES LM-45 at 
the reference condition. Lamp electrical power input in watts shall also 
be measured and recorded. Lamp efficacy shall be determined by computing 
the ratio of the measured lamp lumen output and lamp electrical power 
input at equilibrium for the reference condition. The test report shall 
conform to section 8 of IES LM-45. (See Sec. 430.22)
    4.3  Incandescent Reflector Lamps
    4.3.1  The measurement procedure shall be as described in IES LM-20, 
except as noted below. Lamps shall be operated at 120 volts and 60 hertz 
regardless of the rated lamp voltage. (See Sec. 430.22)
    4.3.2  Lamp intensity distribution shall be measured in accordance 
with section 6.0 and lamp lumen output, or total flux, shall be 
determined in accordance with section 7.3 of IES LM-20, at the reference 
condition. The integrating sphere measurement method, section 7.1, shall 
not be used. Lamp electrical power input in watts shall also be measured 
and recorded. (See Sec. 430.22)
    4.3.3  Lamp efficacy shall be determined by computing the ratio of 
the measured lamp lumen output and lamp electrical power input at 
equilibrium for the reference condition. The test report shall conform 
to section 10.0 of IES LM-20. (See Sec. 430.22)
    4.4  Medium Base Compact Fluorescent Lamps
    4.4.1  The measurement procedure shall be as described in IES LM-66, 
as it pertains to lamps with integral ballasts. Lamps shall be operated 
at 120 Volts and 60 Hertz. Lamp lumen output shall be measured according 
to section 11 of IES LM-66 at the reference condition. Lamp electrical 
power input in watts shall also be measured and recorded. (See 
Sec. 430.22)
    4.4.2  Lamp efficacy shall be determined by computing the ratio of 
the measured lamp lumen output and lamp electrical power input at 
equilibrium for the reference condition. The test report shall conform 
to section 13 of IES LM-66. (See Sec. 430.22)
    4.5  Determination of Color Rendering Index (CRI)
    4.5.1  The CRI shall be determined in accordance with the method 
specified in CIE Publication 13.2 for general service fluorescent lamps. 
The required spectroradiometric measurement and characterization shall 
be conducted in accordance with the methods given in IES LM-58 and IES 
LM-16. (See Sec. 430.22)
    4.5.2  The test report shall include a description of the test 
conditions, equipment, and measured lamps, spectroradiometric 
measurement results and CRI determination.

[59 FR 49476, Sept. 28, 1994]



                Subpart C--Energy Conservation Standards



Sec. 430.31  Purpose and scope.

    This subpart contains any energy conservation standards for classes 
of covered products that are required to be administered by the 
Department of Energy pursuant to the Energy Conservation Program for 
Consumer Products Other Than Automobiles under the Energy Policy and 
Conservation Act, as amended (42 U.S.C. 6291 et seq.). Basic models of 
covered products manufactured before the date on which an amended energy 
conservation standard

[[Page 235]]

becomes effective (or revisions of such models manufactured after such 
date and have the same energy efficiency or energy use characteristics) 
that comply with the energy conservation standard applicable to such 
covered products on the day before such date shall be deemed to comply 
with the amended energy conservation standard.

[54 FR 6077, Feb. 7, 1989, as amended at 55 FR 42177, Oct. 17, 1990]



Sec. 430.32  Energy conservation standards and effective dates.

    The energy conservation standards for the covered product classes 
are:
    (a) Refrigerators/refrigerator-freezers/freezers. These standards do 
not apply to refrigerators and refrigerator-freezers with total 
refrigerated volume exceeding 39 cubic feet or freezers with total 
refrigerated volume exceeding 30 cubic feet.

----------------------------------------------------------------------------------------------------------------
                                                                          Energy standards equations (Kwh/yr)   
                                                                                    Effective dates             
                            Product class                            -------------------------------------------
                                                                         January 1, 1990       January 1, 1993  
----------------------------------------------------------------------------------------------------------------
1. Refrigerators and Refrigerator-Freezers with manual defrost......          (16.3AV+316)          (13.5AV+299)
2. Refrigerator-Freezer--partial automatic defrost..................          (21.8AV+429)          (10.4AV+398)
3. Refrigerator-Freezers--automatic defrost with: Top-mounted                                                   
 freezer without through-the-door ice service \1\...................          (23.5AV+471)          (16.0AV+355)
4. Refrigerator-Freezers--automatic defrost with: Side-mounted                                                  
 freezer without through-the-door ice service.......................          (27.7AV+488)          (11.8AV+501)
5. Refrigerator-Freezers--automatic defrost with: Bottom-mounted                                                
 freezer without through-the-door ice service.......................          (27.7AV+488)          (16.5AV+367)
6. Refrigerator-Freezers--automatic defrost with: Top-mounted                                                   
 freezer with through-the-door ice service..........................          (26.4AV+535)          (17.6AV+391)
7. Refrigerator-Freezers--automatic defrost with: Side-mounted                                                  
 freezer with through-the-door ice service..........................          (30.9AV+547)          (16.3AV+527)
8. Upright Freezers with: Manual defrost............................          (10.9AV+422)          (10.3AV+264)
9. Upright Freezers with: Automatic defrost.........................          (16.0AV+623)          (14.9AV+391)
10. Chest Freezers and all other Freezers...........................          (14.8AV+223)          (11.0AV+160)
----------------------------------------------------------------------------------------------------------------
\1\ Including all refrigerators with automatic defrost                                                          
AV=Total adjusted volume, expressed in Ft.\3\, as determined in Appendices A1 and B1 of Subpart B of this Part. 

    (b) Room air conditioners.

------------------------------------------------------------------------
                                                                Energy  
                                                              efficiency
                       Product class                          ratio Jan.
                                                               1, 1990  
------------------------------------------------------------------------
1. Without reverse cycle and with louvered sides less than              
 6,000 Btu.................................................          8.0
2. Without reverse cycle and with louvered sides 6,000 to               
 7,999 Btu.................................................         8.5.
3. Without reverse cycle and with louvered sides 8,000 to               
 13,999 Btu................................................          9.0
4. Without reverse cycle and with louvered sides 14,000 to              
 19,999 Btu................................................          8.8
5. Without reverse cycle and with louvered sides 20,000 and             
 more Btu..................................................          8.2
6. Without reverse cycle and without louvered sides Less                
 than 6,000 Btu............................................          8.0
7. Without reverse cycle and without louvered sides 6,000               
 to 7,999 Btu..............................................          8.5
8. Without reverse cycle and without louvered sides 8,000               
 to 13,999 Btu.............................................          8.5
9. Without reverse cycle and without louvered sides 14,000              
 to 19,999 Btu.............................................          8.5
10. Without reverse cycle and without louvered sides 20,000             
 and more Btu..............................................          8.2
11. With reverse cycle, and with louvered sides............          8.5
12. With reverse cycle, without louvered sides.............          8.0
------------------------------------------------------------------------

    (c) Central air conditioners and central air conditioning heat 
pumps.

------------------------------------------------------------------------
                                       Seasonal     Heating             
                                        energy      seasonal   Effective
            Product class             efficiency  performance     date  
                                         ratio       factor             
------------------------------------------------------------------------
1. Split systems....................        10.0         6.8    01/01/92
2. Single package systems...........         9.7         6.6    01/01/93
------------------------------------------------------------------------

    (d) Water heaters.
    The energy factor of water heaters shall not be less than the 
following products manufactured on or after the indicated dates:

------------------------------------------------------------------------
                                   Energy factor, as   Energy factor, as
          Product class             of Jan. 1, 1990    of April 15, 1991
------------------------------------------------------------------------
1. Gas Water Heater.............  0.62-(.0019  x      0.62-(.0019  x    
                                   Rated Storage       Rated Storage    
                                   Volume in           Volume in        
                                   gallons).           gallons).        
2. Oil Water Heater.............  0.59-(.0019  x      0.59-(.0019  x    
                                   Rated Storage       Rated Storage    
                                   Volume in           Volume in        
                                   gallons).           gallons).        
3. Electric Water Heater........  0.95-(.00132  x     0.93-(.00132  x   
                                   Rated Storage       Rated Volume     
                                   Volume in           Storage in       
                                   gallons).           gallons).        
------------------------------------------------------------------------
Note: Rated Storage Volume=the water storage capacity of a water heater,
  in gallons, as specified by the manufacturer.                         

    (e) Furnaces

[[Page 236]]



------------------------------------------------------------------------
                                                     AFUE \1\  Effective
                   Product class                    (percent)     date  
------------------------------------------------------------------------
1. Furnaces (excluding classes noted below)                             
 (percent)........................................         78   01/01/92
2. Mobile Home Furnaces (percent).................         75   09/01/90
3. Small furnaces (other than furnaces designed                         
 solely for installation in mobile homes) having                        
 an input rate of less than 45,000 Btu/hr                               
  (A) Weatherized (outdoor).......................         78   01/01/92
  (B) Non-weatherized (indoor)....................         78   01/01/92
4. Boilers (excluding gas steam) (percent)........         80   01/01/92
5. Gas steam boilers (percent)....................         75   01/01/92
------------------------------------------------------------------------
\1\ Annual Fuel Utilization Efficiency, as determined in Sec.           
  430.22(n)(2) of this part.                                            

    (f) Dishwashers. (1) Dishwashers manufactured between January 1, 
1988, and May 14 1994 shall be equipped with an option to dry without 
heat.
    (2) Dishwashers manufactured on or after May 14, 1994, shall have an 
energy factor no less than:

------------------------------------------------------------------------
                                                          Energy factor 
                     Product class                         (cycles/KWh) 
------------------------------------------------------------------------
i. Compact Dishwasher (less than 22 inches in exterior                  
 width)................................................             0.62
ii. Standard Dishwasher (equal to or greater than 22                    
 inches in exterior width).............................             0.46
------------------------------------------------------------------------

    (g) Clothes washers. (1) Clothes washers manufactured between 
January 1, 1988, and May 14, 1994, shall include an unheated rinse water 
option.
    (2) Clothes washers manufactured on or after May 14, 1994, shall 
have an energy factor no less than:

------------------------------------------------------------------------
                                           Energy factor (cu. ft./Kwh/  
             Product class                           cycle)             
------------------------------------------------------------------------
i. Top Loading, Compact (less than 1.6  0.90.                           
 ft.\3\ capacity).                                                      
ii. Top Loading, Standard (1.6 ft.\3\   1.18.                           
 or greater capacity).                                                  
iii. Top Loading, Semi-Automatic......  Not Applicable.\1\              
iv. Front Loading.....................  Not Applicable.\1\              
v. Suds saving........................  Not Applicable.\1\              
------------------------------------------------------------------------
\1\ These classes shall have an unheated rinse water option.            

    (h) Clothes dryers. (1) Gas clothes dryers manufactured between 
January 1, 1988, and May 14, 1994, shall not be equipped with a constant 
burning pilot.
    (2) Clothes dryers manufactured on or after May 14, 1994, shall have 
an energy factor no less than;

------------------------------------------------------------------------
                                                                Energy  
                        Product class                           factor  
                                                               (lbs/KWh)
------------------------------------------------------------------------
i. Electric, Standard (4.4 ft \3\ or greater capacity)......        3.01
ii. Electric, Compact (120v) (less than 4.4 ft \3\ capacity)        3.13
iii. Electric, Compact (240v) (less than 4.4 ft \3\                     
 capacity)..................................................        2.90
iv. Gas.....................................................        2.67
------------------------------------------------------------------------

    (i) Direct heating equipment.

------------------------------------------------------------------------
                                                             Annual fuel
                                                             utilization
                                                             efficiency,
                       Product class                           Jan. 1,  
                                                                 1990   
                                                              (percent) 
------------------------------------------------------------------------
1. Gas wall fan type up to 42,000 Btu/hour.................           73
2. Gas wall fan type over 42,000 Btu/hour..................           74
3. Gas wall gravity type up to 10,000 Btu/hour.............           59
4. Gas wall gravity type over 10,000 Btu/hour up to 12,000              
 Btu/hour..................................................           60
5. Gas wall gravity type over 12,000 Btu/hour up to 15,000              
 Btu/hour..................................................           61
6. Gas wall gravity type over 15,000 Btu/hour up to 19,000              
 Btu/hour..................................................           62
7. Gas wall gravity type over 19,000 Btu/hour up to 27,000              
 Btu/hour..................................................           63
8. Gas wall gravity type over 27,000 Btu/hour up to 46,000              
 Btu/hour..................................................           64
9. Gas wall gravity type over 46,000 Btu/hour..............           65
10. Gas floor up to 37,000 Btu/hour........................           56
11. Gas floor over 37,000 Btu/hour.........................           57
12. Gas room up to 18,000 Btu/hour.........................           57
13. Gas room over 18,000 Btu/hour up to 20,000 Btu/hour....           58
14. Gas room over 20,000 Btu/hour up to 27,000 Btu/hour....           63
15. Gas room over 27,000 Btu/hour up to 46,000 Btu/hour....           64
16. Gas room over 46,000 Btu/hour..........................           65
------------------------------------------------------------------------

    (j) Kitchen ranges and ovens. Gas kitchen ranges and ovens with an 
electrical supply cord shall not be equipped with a constant burning 
pilot. The standard is effective on January 1, 1990.
    (k) Pool heaters. The thermal efficiency of pool heaters must be no 
less than 78%. The standard is effective on January 1, 1990.
    (l) Television sets. [Reserved]
    (m) Fluorescent lamp ballasts. (1) Except as provided in paragraph 
(m)(2) of this section, each fluorescent lamp ballast--
    (i)(A) Manufactured on or after January 1, 1990;
    (B) Sold by the manufacturer on or after April 1, 1990; or
    (C) Incorporated into a luminarie by a luminarie manufacturer on or 
after April 1, 1991; and
    (ii) Designed--
    (A) To operate at nominal input voltages of 120 or 277 volts;
    (B) To operate with an input current frequency of 60 Hertz; and
    (C) For use in connection with F40T12, F96T12, or F96T12HO lamps;

[[Page 237]]

shall have a power factor of 0.90 or greater and shall have a ballast 
efficacy factor not less than the following:

------------------------------------------------------------------------
                                                        Total           
                                             Ballast   nominal   Ballast
       Application for operation of           input     lamp    efficacy
                                             voltage    watts    factor 
------------------------------------------------------------------------
One F40T12 lamp...........................       120        40     1.805
                                                 277        40     1.805
Two F40T12 lamps..........................       120        80     1.060
                                                 277        80     1.050
Two F9T12 lamps...........................       120       150     0.570
                                                 277       150     0.570
Two F96T12HO lamps........................       120       220     0.390
                                                 277       220     0.390
------------------------------------------------------------------------

    (2) The standards described in paragraph (m)(1) of this section do 
not apply to (i) a ballast which is designed for dimming or for use in 
ambient temperatures of 0 deg.F or less, or (ii) a ballast which has a 
power factor of less than 0.90 and is designed for use only in 
residential building applications.
    (n) General service fluorescent lamps and incandescent reflector 
lamps. (1) Each of the following general service fluorescent lamps 
manufactured after the effective dates specified in the table shall meet 
or exceed the lamp efficacy and CRI standards shown in the table below:

                                                Fluorescent Lamps                                               
----------------------------------------------------------------------------------------------------------------
                                                                        Minimum                                 
                                                                        average                                 
               Lamp type                Nominal lamp wattage  Minimum     lamp            Effective date        
                                                                CRI     efficacy                                
                                                                         (LPW)                                  
----------------------------------------------------------------------------------------------------------------
4-foot medium bi-pin..................  >35W                       69       75.0  Nov. 1, 1995.                 
                                        35W             45       75.0  Nov. 1, 1995.                 
2-foot U-shaped.......................  >35W                       69       68.0  Nov. 1, 1995.                 
                                        35W             45       64.0  Nov. 1, 1995.                 
8-foot slimline.......................  >65W                       69       80.0  May 1, 1994.                  
                                        65W             45       80.0  May 1, 1994.                  
8-foot high output....................  >100W                      69       80.0  May 1, 1994.                  
                                        100W            45       80.0  May 1, 1994.                  
----------------------------------------------------------------------------------------------------------------

    (2) Each of the following incandescent reflector lamps manufactured 
after November 1, 1995, shall meet or exceed the lamp efficacy standards 
shown in the table in this paragraph:

                      Incandescent Reflector Lamps                      
------------------------------------------------------------------------
                                                                Minimum 
                                                                average 
                     Nominal lamp wattage                         lamp  
                                                                efficacy
                                                                 (LPW)  
------------------------------------------------------------------------
40-50........................................................       10.5
51-66........................................................       11.0
67-85........................................................       12.5
86-115.......................................................       14.0
116-155......................................................       14.5
156-205......................................................       15.0
------------------------------------------------------------------------


[54 FR 6077, Feb. 7, 1989, as amended at 54 FR 47943, Nov. 17, 1989; 55 
FR 42177, Oct. 17, 1990; 56 FR 22279, May 14, 1991; 56 FR 24333, May 30, 
1991; 59 FR 49475, Sept. 28, 1994]



Sec. 430.33  Preemption of state regulations.

    Any state regulation providing for any energy conservation standard, 
or other requirement with respect to the energy efficiency or energy 
use, of a covered product that is not identical to a Federal standard in 
effect under this subpart is preempted by that standard, except as 
provided for in section 327 (b) and (c) of the Act.

[54 FR 6077, Feb. 7, 1989]

  Appendix A to Subpart C of Part 430--Procedures, Interpretations and 
    Policies for Consideration of New or Revised Energy Conservation 
                     Standards for Consumer Products

1. Objectives
2. Scope
3. Setting Priorities for Rulemaking Activity
4. Process for Developing Efficiency Standards and Factors to be 
Considered
5. Policies on Selection of Standards
6. Effective Date of a Standard
7. Test Procedures
8. Joint Stakeholder Recommendations
9. Principles for the Conduct of Engineering Analysis
10. Principles for the Analysis of Impacts on Manufacturers
11. Principles for the Analysis of Impacts on Consumers

[[Page 238]]

12. Consideration of Non-Regulatory Approaches
13. Crosscutting Analytical Assumptions
14. Deviations, Revisions, and Judicial Review

                              1. Objectives

    This Appendix establishes procedures, interpretations and policies 
to guide the DOE in the consideration and promulgation of new or revised 
appliance efficiency standards under the Energy Policy and Conservation 
Act (EPCA). The Department's objectives in establishing these guidelines 
include:
    (a) Provide for early input from stakeholders. The Department seeks 
to provide opportunities for public input early in the rulemaking 
process so that the initiation and direction of rulemakings is informed 
by comment from interested parties. Under the guidelines established by 
this Appendix, DOE will seek early input from interested parties in 
setting rulemaking priorities and structuring the analyses for 
particular products. Interested parties will be invited to provide input 
for the selection of design options and will help DOE identify analysis, 
data, and modeling needs. DOE will gather input from interested parties 
through a variety of mechanisms, including public workshops.
    (b) Increase predictability of the rulemaking timetable. The 
Department seeks to make informed, strategic decisions about how to 
deploy its resources on the range of possible standards development 
activities, and to announce these prioritization decisions so that all 
interested parties have a common expectation about the timing of 
different rulemaking activities. The guidelines in this Appendix provide 
for setting priorities and timetables for standards development and test 
procedure modification and reflect these priorities in the Regulatory 
Agenda.
    (c) Increase use of outside technical expertise. The Department 
seeks to expand its use of outside technical experts in evaluating 
product-specific engineering issues to ensure that decisions on 
technical issues are fully informed. The guidelines in this Appendix 
provide for increased use of outside technical experts in developing, 
performing and reviewing the analyses. Draft analytical results will be 
distributed for peer and stakeholder review.
    (d) Eliminate problematic design options early in the process. The 
Department seeks to eliminate from consideration, early in the process, 
any design options that present unacceptable problems with respect to 
manufacturability, consumer utility, or safety, so that the detailed 
analysis can focus only on viable design options. Under the guidelines 
in this Appendix, DOE will eliminate from consideration design options 
if it concludes that manufacture, installation or service of the design 
will be impractical, or that the design option will adversely affect the 
utility of the product, or if the design has adverse safety or health 
impacts. This screening will be done at the outset of a rulemaking.
    (e) Fully consider non-regulatory approaches. The Department seeks 
to understand the effects of market forces and voluntary programs on 
encouraging the purchase of energy efficient products so that the 
incremental impacts of a new or revised standard can be accurately 
assessed and the Department can make informed decisions about where 
standards and voluntary ``market pull'' programs can be used most 
effectively. Under the guidelines in this Appendix, DOE will solicit 
information on the effectiveness of market forces and non-regulatory 
approaches for encouraging the purchase of energy efficient products, 
and will carefully consider this information in assessing the benefits 
of standards. In addition, DOE will continue to support voluntary 
efforts by manufacturers, retailers, utilities and others to increase 
product efficiency.
    (f) Conduct thorough analysis of impacts. In addition to 
understanding the aggregate costs and benefits of standards, the 
Department seeks to understand the distribution of those costs and 
benefits among consumers, manufacturers and others, and the uncertainty 
associated with these analyses of costs and benefits, so that any 
adverse impacts on significant subgroups and uncertainty concerning any 
adverse impacts can be fully considered in selecting a standard. Under 
the guidelines in this Appendix, the analyses will consider the 
variability of impacts on significant groups of manufacturers and 
consumers in addition to aggregate costs and benefits, report the range 
of uncertainty associated with these impacts, and take into account 
cumulative impacts of regulation on manufacturers.
    (g) Use transparent and robust analytical methods.  The Department 
seeks to use qualitative and quantitative analytical methods that are 
fully documented for the public and that produce results that can be 
explained and reproduced, so that the analytical underpinnings for 
policy decisions on standards are as sound and well-accepted as 
possible. Under the guidelines in this Appendix, DOE will solicit input 
from interested parties in identifying analysis, data, and modeling 
needs with respect to measurement of impacts on manufacturers and 
consumers.
    (h) Articulate policies to guide selection of standards. The 
Department seeks to adopt policies elaborating on the statutory criteria 
for selecting standards, so that interested parties are aware of the 
policies that will guide these decisions. Under the guidelines in this 
Appendix, policies for screening design options, selecting candidate 
standard levels, selecting a proposed standard level, and establishing 
the final standard are established.

[[Page 239]]

    (i) Support efforts to build consensus on standards. The Department 
seeks to encourage development of consensus proposals for new or revised 
standards because standards with such broad-based support are likely to 
balance effectively the economic, energy, and environmental interests 
affected by standards. Under the guidelines in this Appendix, DOE will 
support the development and submission of consensus recommendations for 
standards by representative groups of interested parties to the fullest 
extent possible.
    (j) Reduce time and cost of developing standards. The Department 
seeks to establish a clear protocol for initiating and conducting 
standards rulemakings in order to eliminate time-consuming and costly 
missteps. Under the guidelines in this Appendix, increased and earlier 
involvement by interested parties and increased use of technical experts 
should minimize the need for re-analysis. This process should reduce the 
period between the publication of an Advance Notice of Proposed 
Rulemaking (ANOPR) and the publication of a final rule to not more than 
18 months, and should decrease the government and private sector 
resources required to complete the standard development process.

                                2. Scope

    (a) The procedures, interpretations and policies described in this 
Appendix will be fully applicable to:
    (1) Rulemakings concerning new or revised Federal energy 
conservation standards for consumer products initiated after August 14, 
1996, and
    (2) Rulemakings concerning new or revised Federal energy 
conservation standards for consumer products that have been initiated 
but for which a Notice of Proposed Rulemaking (NOPR) has not been 
published as of August 14, 1996.
    (b) For rulemakings described in paragraph (a)(2) of this section, 
to the extent analytical work has already been done or public comment on 
an ANOPR has already been provided, such analyses and comment will be 
considered, as appropriate, in proceeding under the new process.
    (c) With respect to incomplete rulemakings concerning new or revised 
Federal energy conservation standards for consumer products for which a 
NOPR was published prior to August 14, 1996, the Department will conduct 
a case-by-case review to decide whether any of the analytical or 
procedural steps already completed should be repeated. In any case, the 
approach described in this Appendix will be used to the extent possible 
to conduct any analytical or procedural steps that have not been 
completed.

              3. Setting Priorities for Rulemaking Activity

    (a) Priority-setting analysis and development of list of priorities. 
At least once a year, the Department will prepare an analysis of each of 
the factors identified in paragraph (d) of this section based on 
existing literature, direct communications with interested parties and 
other experts, and other available information. The results of this 
analysis will be used to develop rulemaking priorities and proposed 
schedules for the development and issuance of all rulemakings. The DOE 
analysis, priorities and proposed rulemaking schedules will be 
documented and distributed for review and comment.
    (b) Public review and comment. Each year, DOE will invite public 
input to review and comment on the priority analysis.
    (c) Issuance of final listing of rulemaking priorities. Each fall, 
the Department will issue, simultaneously with the issuance of the 
Administration's Regulatory Agenda, a final set of rulemaking 
priorities, the accompanying analysis, and the schedules for all 
priority rulemakings that it anticipates within the next two years.
    (d) Factors for priority-setting. The factors to be considered by 
DOE in developing priorities and establishing schedules for conducting 
rulemakings will include:
    (1) Potential energy savings.
    (2) Potential economic benefits.
    (3) Potential environmental or energy security benefits.
    (4) Applicable deadlines for rulemakings.
    (5) Incremental DOE resources required to complete rulemaking 
process.
    (6) Other relevant regulatory actions affecting products.
    (7) Stakeholder recommendations.
    (8) Evidence of energy efficiency gains in the market absent new or 
revised standards.
    (9) Status of required changes to test procedures.
    (10) Other relevant factors.

    4. Process for Developing Efficiency Standards and Factors to be 
                               Considered

    This section describes the process to be used in developing 
efficiency standards and the factors to be considered in the process. 
The policies of the Department to guide the selection of standards and 
the decisions preliminary thereto are described in section 5.
    (a) Identifying and screening design options. Once the Department 
has initiated a rulemaking for a specific product but before publishing 
an ANOPR, DOE will identify the product categories and design options to 
be analyzed in detail, and identify those design options eliminated from 
further consideration. Interested parties will be consulted to identify 
key issues, develop a list of design options, and to help the Department 
identify the expertise necessary to conduct the analysis.

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    (1) Identification of issues for analysis. The Department, in 
consultation with interested parties, will identify issues that will be 
examined in the standards development process.
    (2) Identification of experts and other interested parties for peer 
review. DOE, in consultation with interested parties, will identify a 
group of independent experts and other interested parties who can 
provide expert review of the results of the engineering analysis and the 
subsequent impact analysis.
    (3) Identification and screening of design options. In consultation 
with interested parties, the Department will develop a list of design 
options for consideration. Initially, the candidate design options will 
encompass all those technologies considered to be technologically 
feasible. Following the development of this initial list of design 
options, DOE will review each design option based on the factors 
described in paragraph (a)(4) of this section and the policies stated in 
section 5(b). The reasons for eliminating any design option at this 
stage of the process will be fully documented and published as part of 
the ANOPR. The technologically feasible design options that are not 
eliminated in this screening will be considered further in the 
Engineering Analysis described in paragraph (b) of this section.
    (4) Factors for screening of design options. The factors for 
screening design options include:
    (i) Technological feasibility. Technologies incorporated in 
commercial products or in working prototypes will be considered 
technologically feasible.
    (ii) Practicability to manufacture, install and service. If mass 
production of a technology in commercial products and reliable 
installation and servicing of the technology could be achieved on the 
scale necessary to serve the relevant market at the time of the 
effective date of the standard, then that technology will be considered 
practicable to manufacture, install and service.
    (iii) Adverse Impacts on Product Utility or Product Availability.
    (iv) Adverse Impacts on Health or Safety.
    (5) Selection of contractors. Using the specifications of necessary 
contractor expertise developed in consultation with interested parties, 
DOE will select appropriate contractors, subcontractors, and as 
necessary, expert consultants to perform the engineering analysis and 
the impact analysis.
    (b) Engineering analysis of design options and selection of 
candidate standard levels. After design options are identified and 
screened, DOE will perform the engineering analysis and the benefit/cost 
analysis and select the candidate standard levels based on these 
analyses. The results of the analyses will be published in a Technical 
Support Document (TSD) to accompany the ANOPR.
    (1) Identification of engineering analytical methods and tools. DOE, 
in consultation with outside experts, will select the specific 
engineering analysis tools (or multiple tools, if necessary to address 
uncertainty) to be used in the analysis of the design options identified 
as a result of the screening analysis.
    (2) Engineering and life-cycle cost analysis of design options. The 
DOE and its contractor will perform engineering and life-cycle cost 
analyses of the design options.
    (3) Review by expert group and stakeholders. The results of the 
engineering and life-cycle cost analyses will be distributed for review 
by experts and interested parties. If appropriate, a public workshop 
will be conducted to review these results. The analyses will be revised 
as appropriate on the basis of this input.
    (4) New information relating to the factors used for screening 
design options. If further information or analysis leads to a 
determination that a design option, or a combination of design options, 
has unacceptable impacts based on the policies stated in section 5(b), 
that design option or combination of design options will not be included 
in a candidate standard level.
    (5) Selection of candidate standard levels. Based on the results of 
the engineering and life-cycle cost analysis of design options and the 
policies stated in section 5(c), DOE will select the candidate standard 
levels for further analysis.
    (c) Advance Notice of Proposed Rulemaking.
    (1) Documentation of decisions on candidate standard selection. (i) 
If the screening analysis indicates that continued development of a 
standard is appropriate, the Department will publish an ANOPR in the 
Federal Register and will distribute a draft TSD containing the analyses 
performed to this point. The ANOPR will specify candidate standard 
levels but will not propose a particular standard. The ANOPR will also 
include the preliminary analysis of consumer life-cycle costs, national 
net present value, and energy impacts for the candidate standard levels 
based on the engineering analysis.
    (ii) If the preliminary analysis indicates that no candidate 
standard level is likely to meet the criteria specified in law, that 
conclusion will be announced. In such cases, the Department may decide 
to proceed with a rulemaking that proposes not to adopt new or amended 
standards, or it may suspend the rulemaking and conclude that further 
action on such standards should be assigned a low priority under section 
3.
    (2) Public comment and hearing. There will be 75 days for public 
comment on the ANOPR with at least one public hearing or workshop.
    (3) Revisions based on comments. Based on consideration of the 
comments received, any

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necessary changes to the engineering analysis or the candidate standard 
levels will be made.
    If major changes are required at this stage, interested parties and 
experts will be given an opportunity to review the revised analysis.
    (d) Analysis of impacts and selection of proposed standard level. 
After the ANOPR, economic analyses of the impacts of the candidate 
standard levels will be conducted. The Department will propose updated 
standards based on the results of the impact analysis.
    (1) Identification of issues for analysis. The Department, in 
consultation with interested parties, will identify issues that will be 
examined in the impacts analysis.
    (2) Identification of analytical methods and tools. DOE, in 
consultation with outside experts, will select the specific economic 
analysis tools (or multiple tools if necessary to address uncertainty) 
to be used in the analysis of the candidate standard levels.
    (3) Analysis of impacts. DOE will conduct the analysis of the 
impacts of candidate standard levels including analysis of the factors 
described in paragraphs (d)(7)(ii)-(viii) of this section.
    (4) Review by expert group and stakeholders. The results of the 
analysis of impacts will be distributed for review by experts and 
interested parties. If appropriate, a public workshop will be conducted 
to review these results. The analysis will be revised as appropriate on 
the basis of this input.
    (5) Efforts to develop consensus among stakeholders. If a 
representative group of interested parties undertakes to develop joint 
recommendations to the Department on standards, DOE will consider 
deferring its impact analysis until these discussions are completed or 
until participants in the efforts indicate that they are unable to reach 
a timely agreement.
    (6) Selection of proposed standard level based on analysis of 
impacts. On the basis of the analysis of the factors described in 
paragraph (d)(7) of this section and the policies stated in section 
5(e), DOE will select a proposed standard level.
    (7) Factors to be considered in selecting a proposed standard. The 
factors to be considered in selection of a proposed standard include:
    (i) Consensus stakeholder recommendations.
    (ii) Impacts on manufacturers. The analysis of manufacturer impacts 
will include: Estimated impacts on cash flow; assessment of impacts on 
manufacturers of specific categories of products and small 
manufacturers; assessment of impacts on manufacturers of multiple 
product-specific Federal regulatory requirements, including efficiency 
standards for other products and regulations of other agencies; and 
impact on manufacturing capacity, plant closures, and loss of capital 
investment.
    (iii) Impacts on consumers. The analysis of consumer impacts will 
include: Estimated impacts on consumers based on national average energy 
prices and energy usage; assessments of impacts on subgroups of 
consumers based on major regional differences in usage or energy prices 
and significant variations in installation costs or performance; 
sensitivity analyses using high and low discount rates and high and low 
energy price forecasts; consideration of changes to product utility and 
other impacts of likely concern to all or some consumers, based to the 
extent practicable on direct input from consumers; estimated life-cycle 
cost with sensitivity analysis; and consideration of the increased first 
cost to consumers and the time required for energy cost savings to pay 
back these first costs.
    (iv) Impacts on competition.
    (v) Impacts on utilities. The analysis of utility impacts will 
include estimated marginal impacts on electric and gas utility costs and 
revenues.
    (vi) National energy, economic and employment impacts. The analysis 
of national energy, economic and employment impacts will include: 
Estimated energy savings by fuel type; estimated net present value of 
benefits to all consumers; and estimates of the direct and indirect 
impacts on employment by appliance manufacturers, relevant service 
industries, energy suppliers and the economy in general.
    (vii) Impacts on the environment and energy security. The analysis 
of environmental and energy security impacts will include estimated 
impacts on emissions of carbon and relevant criteria pollutants, impacts 
on pollution control costs, and impacts on oil use.
    (viii) Impacts of non-regulatory approaches. The analysis of energy 
savings and consumer impacts will incorporate an assessment of the 
impacts of market forces and existing voluntary programs in promoting 
product efficiency, usage and related characteristics in the absence of 
updated efficiency standards.
    (ix) New information relating to the factors used for screening 
design options.
    (e) Notice of Proposed Rulemaking.
    (1) Documentation of decisions on proposed standard selection. The 
Department will publish a NOPR in the Federal Register that proposes 
standard levels and explains the basis for the selection of those 
proposed levels, and will distribute a draft TSD documenting the 
analysis of impacts. As required by Sec. 325(p)(2) of EPCA, the NOPR 
also will describe the maximum improvement in energy efficiency or 
maximum reduction in energy use that is technologically feasible and, if 
the proposed standards would not achieve these levels, the reasons for 
proposing different standards.
    (2) Public comment and hearing. There will be 75 days for public 
comment on the NOPR,

[[Page 242]]

with at least one public hearing or workshop.
    (3) Revisions to impact analyses and selection of final standard. 
Based on the public comments received and the policies stated in section 
5(f), DOE will review the proposed standard and impact analyses, and 
make modifications as necessary. If major changes to the analyses are 
required at this stage, interested parties and experts will be given an 
opportunity to review the revised analyses.
    (f) Notice of Final Rulemaking. The Department will publish a Notice 
of Final Rulemaking in the Federal Register that promulgates standard 
levels and explains the basis for the selection of those standards, 
accompanied by a final TSD.

                 5. Policies on Selection of Standards.

    (a) Purpose. (1) Section 4 describes the process that will be used 
to consider new or revised energy efficiency standards and lists a 
number of factors and analyses that will be considered at specified 
points in the process. Department policies concerning the selection of 
new or revised standards, and decisions preliminary thereto, are 
described in this section.
    These policies are intended to elaborate on the statutory criteria 
provided in section 325 of the EPCA, 42 U.S.C. 6295.
    (2) The policies described below are intended to provide guidance 
for making the determinations required by EPCA. This statement of policy 
is not intended to preclude consideration of any information pertinent 
to the statutory criteria. The Department will consider all pertinent 
information in determining whether a new or revised standard is 
consistent with the statutory criteria. Moreover, the Department will 
not be guided by a policy in this section if, in the particular 
circumstances presented, such a policy would lead to a result 
inconsistent with the criteria in section 325 of EPCA.
    (b) Screening design options. Section 4(a)(4) lists factors to be 
considered in screening design options. These factors will be considered 
as follows in determining whether a design option will receive any 
further consideration:
    (1) Technological feasibility. Technologies that are not 
incorporated in commercial products or in working prototypes will not be 
considered further.
    (2) Practicability to manufacture, install and service. If it is 
determined that mass production of a technology in commercial products 
and reliable installation and servicing of the technology could not be 
achieved on the scale necessary to serve the relevant market at the time 
of the effective date of the standard, then that technology will not be 
considered further.
    (3) Impacts on product utility to consumers. If a technology is 
determined to have significant adverse impact on the utility of the 
product to significant subgroups of consumers, or result in the 
unavailability of any covered product type with performance 
characteristics (including reliability), features, sizes, capacities, 
and volumes that are substantially the same as products generally 
available in the U.S. at the time, it will not be considered further.
    (4) Safety of technologies. If it is determined that a technology 
will have significant adverse impacts on health or safety, it will not 
be considered further.
    (c) Identification of candidate standard levels. Based on the 
results of the engineering and cost and benefit analyses of design 
options, DOE will identify the candidate standard levels for further 
analysis. Candidate standard levels will be selected as follows:
    (1) Costs and savings of design options. Design options which have 
payback periods that exceed the average life of the product or which 
cause life-cycle cost increases relative to the base case, using typical 
fuel costs, usage and discount rates, will not be used as the basis for 
candidate standard levels.
    (2) Further information on factors used for screening design 
options. If further information or analysis leads to a determination 
that a design option, or a combination of design options, has 
unacceptable impacts under the policies stated in paragraph (b) of this 
section, that design option or combination of design options will not be 
included in a candidate standard level.
    (3) Selection of candidate standard levels. Candidate standard 
levels, which will be identified in the ANOPR and on which impact 
analyses will be conducted, will be based on the remaining design 
options.
    (i) The range of candidate standard levels will typically include:
    (A) The most energy efficient combination of design options;
    (B) The combination of design options with the lowest life-cycle 
cost; and
    (C) A combination of design options with a payback period of not 
more than three years.
    (ii) Candidate standard levels that incorporate noteworthy 
technologies or fill in large gaps between efficiency levels of other 
candidate standard levels also may be selected.
    (d) Advance notice of proposed rulemaking. New information provided 
in public comments on the ANOPR will be considered to determine whether 
any changes to the candidate standard levels are needed before 
proceeding to the analysis of impacts. This review, and any appropriate 
adjustments, will be based on the policies in paragraph (c) of this 
section.
    (e) Selection of proposed standard. Based on the results of the 
analysis of impacts, DOE will select a standard level to be proposed for 
public comment in the NOPR. Section 4(d)(7) lists the factors to be 
considered in selecting a proposed standard level. Section

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325(o)(2)(A) of EPCA provides that any new or revised standard must be 
designed to achieve the maximum improvement in energy efficiency that is 
determined to be technologically feasible and economically justified.
    (1) Statutory policies. The fundamental policies concerning 
selection of standards are established in the EPCA, including the 
following:
    (i) A candidate standard level will not be proposed or promulgated 
if the Department determines that it is not technologically feasible and 
economically justified. See EPCA section 325(o)(3)(B). A standard level 
is economically justified if the benefits exceed the burdens. See EPCA 
section 325(o)(2)(B)(i). A standard level is rebuttably presumed to be 
economically justified if the payback period is three years or less. See 
EPCA section 325(o)(2)(B)(iii).
    (ii) If the Department determines that a standard level is likely to 
result in the unavailability of any covered product type with 
performance characteristics (including reliability), features, sizes, 
capacities, and volumes that are substantially the same as products 
generally available in the U.S. at the time, that standard level will 
not be proposed. See EPCA section 325(o)(4).
    (iii) If the Department determines that a standard level would not 
result in significant conservation of energy, that standard level will 
not be proposed. See EPCA section 325(o)(3)(B).
    (2) Selection of proposed standard on the basis of consensus 
stakeholder recommendations. Development of consensus proposals for new 
or revised standards is an effective mechanism for balancing the 
economic, energy, and environmental interests affected by standards. 
Thus, notwithstanding any other policy on selection of proposed 
standards, a consensus recommendation on an updated efficiency level 
submitted by a group that represents all interested parties will be 
proposed by the Department if it is determined to meet the statutory 
criteria.
    (3) Considerations in assessing economic justification.
    (i) The following policies will guide the application of the 
economic justification criterion in selecting a proposed standard:
    (A) If the Department determines that a candidate standard level 
would result in a negative return on investment for the industry, would 
significantly reduce the value of the industry, or would cause 
significant adverse impacts to a significant subgroup of manufacturers 
(including small manufacturing businesses), that standard level will be 
presumed not to be economically justified unless the Department 
determines that specifically identified expected benefits of the 
standard would outweigh this and any other expected adverse effects.
    (B) If the Department determines that a candidate standard level 
would be the direct cause of plant closures, significant losses in 
domestic manufacturer employment, or significant losses of capital 
investment by domestic manufacturers, that standard level will be 
presumed not to be economically justified unless the Department 
determines that specifically identified expected benefits of the 
standard would outweigh this and any other expected adverse effects.
    (C) If the Department determines that a candidate standard level 
would have a significant adverse impact on the environment or energy 
security, that standard level will be presumed not to be economically 
justified unless the Department determines that specifically identified 
expected benefits of the standard would outweigh this and any other 
expected adverse effects.
    (D) If the Department determines that a candidate standard level 
would not result in significant energy conservation relative to non-
regulatory approaches, that standard level will be presumed not to be 
economically justified unless the Department determines that other 
specifically identified expected benefits of the standard would outweigh 
the expected adverse effects.
    (E) If the Department determines that a candidate standard level is 
not consistent with the policies relating to practicability to 
manufacture, consumer utility, or safety in paragraphs (b) (2), (3) and 
(4) of this section, that standard level will be presumed not to be 
economically justified unless the Department determines that 
specifically identified expected benefits of the standard would outweigh 
this and any other expected adverse effects.
    (F) If the Department determines that a candidate standard level is 
not consistent with the policies relating to consumer costs in paragraph 
(c)(1) of this section, that standard level will be presumed not to be 
economically justified unless the Department determines that 
specifically identified expected benefits of the standard would outweigh 
this and any other expected adverse effects.
    (G) If the Department determines that a candidate standard level 
will have significant adverse impacts on a significant subgroup of 
consumers (including low-income consumers), that standard level will be 
presumed not to be economically justified unless the Department 
determines that specifically identified expected benefits of the 
standard would outweigh this and any other expected adverse effects.
    (H) If the Department or the Department of Justice determines that a 
candidate standard level would have significant anticompetitive effects, 
that standard level will be presumed not to be economically justified 
unless the Department determines that specifically identified expected 
benefits of the

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standard would outweigh this and any other expected adverse effects.
    (ii) The basis for a determination that triggers any presumption in 
paragraph (e)(3)(i) of this section and the basis for a determination 
that an applicable presumption has been rebutted will be supported by 
substantial evidence in the record and the evidence and rationale for 
making these determinations will be explained in the NOPR.
    (iii) If none of the policies in paragraph (e)(3)(i) of this section 
is found to be dispositive, the Department will determine whether the 
benefits of a candidate standard level exceed the burdens considering 
all the pertinent information in the record.
    (f) Selection of a final standard. New information provided in the 
public comments on the NOPR and any analysis by the Department of 
Justice concerning impacts on competition of the proposed standard will 
be considered to determine whether any change to the proposed standard 
level is needed before proceeding to the final rule. The same policies 
used to select the proposed standard level, as described in section 5(e) 
above, will be used to guide the selection of the final standard level.

                     6. Effective Date of a Standard

    The effective date for new or revised standards will be established 
so that the period between the publication of the final rule and the 
effective date is not less than any period between the dates for 
publication and effective date provided for in EPCA. The effective date 
of any revised standard will be established so that the period between 
the effective date of the prior standard and the effective date of such 
revised standard is not less than period between the two effective dates 
provided for in EPCA.

                           7. Test Procedures

    (a) Identifying the need to modify test procedures. DOE, in 
consultation with interested parties, experts, and the National 
Institute of Standards and Technology, will attempt to identify any 
necessary modifications to established test procedures when initiating 
the standards development process.
    (b) Developing and proposing revised test procedures. Needed 
modifications to test procedures will be identified in consultation with 
experts and interested parties early in the screening stage of the 
standards development process. Any necessary modifications will be 
proposed before issuance of an ANOPR in the standards development 
process.
    (c) Issuing final test procedure modification. Final, modified test 
procedures will be issued prior to the NOPR on proposed standards.
    (d) Effective date of modified test procedures. If required only for 
the evaluation and issuance of updated efficiency standards, modified 
test procedures typically will not go into effect until the effective 
date of updated standards.

                  8. Joint Stakeholder Recommendations

    (a) Joint recommendations. Consensus recommendations, and supporting 
analyses, submitted by a representative group of interested parties will 
be given substantial weight by DOE in the development of a proposed 
rule. See section 5(e)(2). If the supporting analyses provided by the 
group addresses all of the statutory criteria and uses valid economic 
assumptions and analytical methods, DOE expects to use this supporting 
analyses as the basis of a proposed rule. The proposed rule will explain 
any deviations from the consensus recommendations from interested 
parties.
    (b) Breadth of participation. Joint recommendations will be of most 
value to the Department if the participants are reasonably 
representative of those interested in the outcome of the standards 
development process, including manufacturers, consumers, utilities, 
states and representatives of environmental or energy efficiency 
interest groups.
    (c) DOE support of consensus development, including impact analyses. 
In order to facilitate such consensus development, DOE will make 
available, upon request, appropriate technical and legal support to the 
group and will provide copies of all relevant public documents and 
analyses. The Department also will consider any requests for its active 
participation in such discussions, recognizing that the procedural 
requirements of the Federal Advisory Committee Act may apply to such 
participation.

          9. Principles for the Conduct of Engineering Analysis

    (a) The purpose of the engineering analysis is to develop the 
relationship between efficiency and cost of the subject product. The 
Department will use the most appropriate means available to determine 
the efficiency/cost relationship, including an overall system approach 
or engineering modeling to predict the improvement in efficiency that 
can be expected from individual design options as discussed in the 
paragraphs below. From this efficiency/cost relationship, measures such 
as payback, life cycle cost, and energy savings can be developed. The 
Department, in consultation with interested parties, will identify 
issues that will be examined in the engineering analysis and the types 
of specialized expertise that may be required. With these 
specifications, DOE will select appropriate contractors, subcontractors, 
and expert consultants, as necessary, to

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perform the engineering analysis and the impact analysis. Also, the 
Department will consider data, information and analyses received from 
interested parties for use in the analysis wherever feasible.
    (b) The engineering analysis begins with the list of design options 
developed in consultation with the interested parties as a result of the 
screening process. In consultation with the technology/industry expert 
peer review group, the Department will establish the likely cost and 
performance improvement of each design option. Ranges and uncertainties 
of cost and performance will be established, although efforts will be 
made to minimize uncertainties by using measures such as test data or 
component or material supplier information where available. Estimated 
uncertainties will be carried forward in subsequent analyses. The use of 
quantitative models will be supplemented by qualitative assessments as 
appropriate.
    (c) The next step includes identifying, modifying or developing any 
engineering models necessary to predict the efficiency impact of any one 
or combination of design options on the product. A base case 
configuration or starting point will be established as well as the order 
and combination/blending of the design options to be evaluated. The DOE, 
utilizing expert consultants, will then perform the engineering analysis 
and develop the cost efficiency curve for the product. The cost 
efficiency curve and any necessary models will be subject to peer review 
before being issued with the ANOPR.

       10. Principles for the Analysis of Impacts on Manufacturers

    (a) Purpose. The purpose of the manufacturer analysis is to identify 
the likely impacts of efficiency standards on manufacturers. The 
Department will analyze the impact of standards on manufacturers with 
substantial input from manufacturers and other interested parties. The 
use of quantitative models will be supplemented by qualitative 
assessments by industry experts. This section describes the principles 
that will be used in conducting future manufacturing impact analysis.
    (b) Issue identification. In the impact analysis stage (section 
4(d)), the Department, in consultation with interested parties, will 
identify issues that will require greater consideration in the detailed 
manufacturer impact analysis. Possible issues may include identification 
of specific types or groups of manufacturers and concerns over access to 
technology. Specialized contractor expertise, empirical data 
requirements, and analytical tools required to perform the manufacturer 
impact analysis also would be identified at this stage.
    (c) Industry characterization. Prior to initiating detailed impact 
studies, the Department will seek input on the present and past industry 
structure and market characteristics. Input on the following issues will 
be sought:
    (1) Manufacturers and their relative market shares;
    (2) Manufacturer characteristics, such as whether manufacturers make 
a full line of models or serve a niche market;
    (3) Trends in the number of manufacturers;
    (4) Financial situation of manufacturers;
    (5) Trends in product characteristics and retail markets; and
    (6) Identification of other relevant regulatory actions and a 
description of the nature and timing of any likely impacts.
    (d) Cost impacts on manufacturers. The costs of labor, material, 
engineering, tooling, and capital are difficult to estimate, 
manufacturer-specific, and usually proprietary. The Department will seek 
input from interested parties on the treatment of cost issues. 
Manufacturers will be encouraged to offer suggestions as to possible 
sources of data and appropriate data collection methodologies. Costing 
issues to be addressed include:
    (1) Estimates of total cost impacts, including product-specific 
costs (based on cost impacts estimated for the engineering analysis) and 
front-end investment/conversion costs for the full range of product 
models.
    (2) Range of uncertainties in estimates of average cost, considering 
alternative designs and technologies which may vary cost impacts and 
changes in costs of material, labor and other inputs which may vary 
costs.
    (3) Variable cost impacts on particular types of manufacturers, 
considering factors such as atypical sunk costs or characteristics of 
specific models which may increase or decrease costs.
    (e) Impacts on product sales, features, prices and cost recovery. In 
order to make manufacturer cash flow calculations, it is necessary to 
predict the number of products sold and their sale price. This requires 
an assessment of the likely impacts of price changes on the number of 
products sold and on typical features of models sold. Past analyses have 
relied on price and shipment data generated by economic models. The 
Department will develop additional estimates of prices and shipments by 
drawing on multiple sources of data and experience including: actual 
shipment and pricing experience, data from manufacturers, retailers and 
other market experts, financial models, and sensitivity analyses. The 
possible impacts of candidate standard levels on consumer choices among 
competing fuels will be explicitly considered where relevant.
    (f) Measures of impact. The manufacturer impact analysis will 
estimate the impacts of candidate standard levels on the net cash flow 
of manufacturers. Computations will be performed for the industry as a 
whole and for typical and atypical manufacturers. The exact nature and 
the process by which the

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analysis will be conducted will be determined by DOE, in conjunction 
with interested parties. Impacts to be analyzed include:
    (1) Industry net present value, with sensitivity analyses based on 
uncertainty of costs, sales prices and sales volumes;
    (2) Cash flows, by year;
    (3) Other measures of impact, such as revenue, net income and return 
on equity, as appropriate;
    The characteristics of atypical manufacturers worthy of special 
consideration will be determined in consultation with manufacturers and 
other interested parties and may include: manufacturers incurring higher 
or lower than average costs; and manufacturers experiencing greater or 
fewer adverse impacts on sales. Alternative scenarios based on other 
methods of estimating cost or sales impacts also will be performed, as 
needed.
    (g) Cumulative impacts of other Federal regulatory actions. (1) The 
Department will recognize and seek to mitigate the overlapping effects 
on manufacturers of new or revised DOE standards and other regulatory 
actions affecting the same products. DOE will analyze and consider the 
impact on manufacturers of multiple product-specific regulatory actions. 
These factors will be considered in setting rulemaking priorities, 
assessing manufacturer impacts of a particular standard, and 
establishing the effective date for a new or revised standard. In 
particular, DOE will seek to propose effective dates for new or revised 
standards that are appropriately coordinated with other regulatory 
actions to mitigate any cumulative burden.
    (2) If the Department determines that a proposed standard would 
impose a significant impact on product manufacturers within three years 
of the effective date of another DOE standard that imposes significant 
impacts on the same manufacturers (or divisions thereof, as 
appropriate), the Department will, in addition to evaluating the impact 
on manufacturers of the proposed standard, assess the joint impacts of 
both standards on manufacturers.
    (3) If the Department is directed to establish or revise standards 
for products that are components of other products subject to standards, 
the Department will consider the interaction between such standards in 
setting rulemaking priorities and assessing manufacturer impacts of a 
particular standard. The Department will assess, as part of the 
engineering and impact analyses, the cost of components subject to 
efficiency standards.
    (h) Summary of quantitative and qualitative assessments. The summary 
of quantitative and qualitative assessments will contain a description 
and discussion of uncertainties. Alternative estimates of impacts, 
resulting from the different potential scenarios developed throughout 
the analysis, will be explicitly presented in the final analysis 
results.
    (i) Key modeling and analytical tools. In its assessment of the 
likely impacts of standards on manufacturers, the Department will use 
models which are clear and understandable, feature accessible 
calculations, and have assumptions that are clearly explained. As a 
starting point, the Department will use the Government Regulatory Impact 
Model (GRIM). The Department will consider any enhancements to the GRIM 
that are suggested by interested parties. If changes are made to the 
GRIM methodology, DOE will provide notice and seek public input. The 
Department will also support the development of economic models for 
price and volume forecasting. Research required to update key economic 
data will be considered.

         11. Principles for the Analysis of Impacts on Consumers

    (a) Early consideration of impacts on consumer utility. The 
Department will consider at the earliest stages of the development of a 
standard whether particular design options will lessen the utility of 
the covered products to the consumer. See section 4(a).
    (b) Impacts on product availability. The Department will determine, 
based on consideration of information submitted during the standard 
development process, whether a proposed standard is likely to result in 
the unavailability of any covered product type with performance 
characteristics (including reliability), features, sizes, capacities, 
and volumes that are substantially the same as products generally 
available in the U.S. at the time. DOE will not promulgate a standard if 
it concludes that it would result in such unavailability.
    (c) Department of justice review. As required by law, the Department 
will solicit the views of the Justice Department on any lessening of 
competition that is likely to result from the imposition of a proposed 
standard and will give the views provided full consideration in 
assessing economic justification of a proposed standard. In addition, 
DOE may consult with the Department of Justice at earlier stages in the 
standards development process to seek to obtain preliminary views on 
competitive impacts.
    (d) Variation in consumer impacts. The Department will use regional 
analysis and sensitivity analysis tools, as appropriate, to evaluate the 
potential distribution of impacts of candidate standards levels among 
different subgroups of consumers. The Department will consider impacts 
on significant segments of consumers in determining standards levels. 
Where there are significant negative impacts on identifiable subgroups, 
DOE will consider the efficacy of voluntary approaches as a means to 
achieve potential energy savings.

[[Page 247]]

    (e) Payback period and first cost. (1) In the assessment of consumer 
impacts of standards, the Department will consider Life-Cycle Cost, 
Payback Period and Cost of Conserved Energy to evaluate the savings in 
operating expenses relative to increases in purchase price. The 
Department intends to increase the level of sensitivity analysis and 
scenario analysis for future rulemakings. The results of these analyses 
will be carried throughout the analysis and the ensuing uncertainty 
described.
    (2) If, in the analysis of consumer impacts, the Department 
determines that a candidate standard level would result in a substantial 
increase in the product first costs to consumers or would not pay back 
such additional first costs through energy cost savings in less than 
three years, Department will specifically assess the likely impacts of 
such a standard on low-income households, product sales and fuel 
switching.

             12. Consideration of Non-Regulatory Approaches

    (a) The Department recognizes that voluntary or other non-regulatory 
efforts by manufacturers, utilities and other interested parties can 
result in substantial efficiency improvements. The Department intends to 
consider fully the likely effects of non-regulatory initiatives on 
product energy use, consumer utility and life cycle costs, 
manufacturers, competition, utilities and the environment, as well as 
the distribution of these impacts among different regions, consumers, 
manufacturers and utilities. DOE will attempt to base its assessment on 
the actual impacts of such initiatives to date, but also will consider 
information presented regarding the impacts that any existing initiative 
might have in the future. Such information is likely to include a 
demonstration of the strong commitment of manufacturers, distribution 
channels, utilities or others to such voluntary efficiency improvements. 
This information will be used in assessing the likely incremental 
impacts of establishing or revising standards, in assessing appropriate 
effective dates for new or revised standards and in considering DOE 
support of non-regulatory initiatives.
    (b) DOE believes that non-regulatory approaches are valuable 
complements to the standards program. In particular, DOE will consider 
pursuing voluntary programs where it appears that highly efficient 
products can obtain a significant market share but less efficient 
products cannot be eliminated altogether because, for instance, of 
unacceptable adverse impacts on a significant subgroup of consumers. In 
making this assessment, the Department will consider the success more 
efficient designs have had in the market, their acceptance to date, and 
their potential market penetration.

                 13. Crosscutting Analytical Assumptions

    In selecting values for certain crosscutting analytical assumptions, 
DOE expects to continue relying upon the following sources and general 
principles:
    (a) Underlying economic assumptions. The appliance standards 
analyses will generally use the same economic growth and development 
assumptions that underlie the most current Annual Energy Outlook (AEO) 
published by the Energy Information Administration (EIA).
    (b) Energy price and demand trends. Analyses of the likely impact of 
appliance standards on typical users will generally adopt the mid-range 
energy price and demand scenario of the EIA's most current AEO. The 
sensitivity of such estimated impacts to possible variations in future 
energy prices are likely to be examined using the EIA's high and low 
energy price scenarios.
    (c) Product-specific energy-efficiency trends, without updated 
standards. Product specific energy-efficiency trends will be based on a 
combination of the efficiency trends forecast by the EIA's residential 
and commercial demand model of the National Energy Modeling System 
(NEMS) and product-specific assessments by DOE and its contractors with 
input from interested parties.
    (d) Discount rates. For residential and commercial consumers, ranges 
of three different real discount rates will be used. For residential 
consumers, the mid-range discount rate will represent DOE's 
approximation of the average financing cost (or opportunity costs of 
reduced savings) experienced by typical consumers. Sensitivity analyses 
will be performed using discount rates reflecting the costs more likely 
to be experienced by residential consumers with little or no savings and 
credit card financing and consumers with substantial savings. For 
commercial users, a mid-range discount rate reflecting the DOE's 
approximation of the average real rate of return on commercial 
investment will be used, with sensitivity analyses being performed using 
values indicative of the range of real rates of return likely to be 
experienced by typical commercial businesses. For national net present 
value calculations, DOE would use the Administration's approximation of 
the average real rate of return on private investment in the U.S. 
economy. For manufacturer impacts, DOE plans to use a range of real 
discount rates which are representative of the real rates of return 
experienced by typical U.S. manufacturers affected by the program.
    (e) Environmental impacts. The emission rates of carbon, sulfur 
oxides and nitrogen oxides used by DOE to calculate the physical 
quantities of emissions likely to be avoided by candidate standard 
levels will be based on the current average carbon emissions of the U.S. 
electric utilities and on the projected

[[Page 248]]

rates of emissions of sulfur and nitrogen oxides. Projected rates of 
emissions, if available, will be used for the estimation of any other 
environmental impacts. The Department will consider the effects of the 
proposed standards on these emissions in reaching a decision about 
whether the benefits of the proposed standards exceed their burdens but 
will not determine the monetary value of these environmental 
externalities.

             14. Deviations, Revisions, and Judicial Review

    (a) Deviations. This Appendix specifies procedures, interpretations 
and policies for the development of new or revised energy efficiency 
standards in considerable detail. As the approach described in this 
Appendix is applied to the development of particular standards, the 
Department may find it necessary or appropriate to deviate from these 
procedures, interpretations or policies. If the Department concludes 
that such deviations are necessary or appropriate in a particular 
situation, DOE will provide interested parties with notice of the 
deviation and an explanation.
    (b) Revisions. If the Department concludes that changes to the 
procedures, interpretations or policies in this Appendix are necessary 
or appropriate, DOE will provide notice in the Federal Register of 
modifications to this Appendix with an accompanying explanation. DOE 
expects to consult with interested parties prior to any such 
modification.
    (c) Judicial review. The procedures, interpretations, and policies 
stated in this Appendix are not intended to establish any new cause of 
action or right to judicial review.

[61 FR 36981, July 15, 1996]



    Subpart D--Petitions To Exempt State Regulation From Preemption; 
           Petitions to Withdraw Exemption of State Regulation

    Source: 54 FR 6078, Feb. 7, 1989, unless otherwise noted.



Sec. 430.40  Purpose and scope.

    (a) The regulations in this subpart prescribe the procedures to be 
followed in connection with petitions requesting a rule that a State 
regulation prescribing an energy conservation standard or other 
requirement respecting energy use or energy efficiency of a type (or 
class) of covered product not be preempted.
    (b) The regulations in this subpart also prescribe the procedures to 
be followed in connection with petitions to withdraw a rule exempting a 
State regulation prescribing an energy conservation standard or other 
requirement respecting energy use or energy efficiency of a type (or 
class) of covered product.



Sec. 430.41  Prescriptions of a rule.

    (a) Criteria for exemption from preemption. Upon petition by a State 
which has prescribed an energy conservation standard or other 
requirement for a type or class of a covered product for which a Federal 
energy conservation standard is applicable, the Secretary shall 
prescribe a rule that such standard not be preempted if he determines 
that the State has established by a preponderance of the evidence that 
such requirement is needed to meet unusual and compelling State or local 
energy interests. For the purposes of this regulation, the term 
``unusual and compelling State or local energy interests'' means 
interests which are substantially different in nature or magnitude than 
those prevailing in the U.S. generally; and are such that when evaluated 
within the context of the State's energy plan and forecast, the costs, 
benefits, burdens, and reliability of energy savings resulting from the 
State regulation make such regulation preferable or necessary when 
measured against the costs, benefits, burdens, and reliability of 
alternative approaches to energy savings or production, including 
reliance on reasonably predictable market-induced improvements in 
efficiency of all products subject to the State regulation. The 
Secretary may not prescribe such a rule if he finds that interested 
persons have established, by a preponderance of the evidence, that the 
State's regulation will significantly burden manufacturing, marketing, 
distribution, sale or servicing of the covered product on a national 
basis. In determining whether to make such a finding, the Secretary 
shall evaluate all relevant factors including: The extent to which the 
State regulation will increase manufacturing or distribution costs of 
manufacturers, distributors, and others; the extent to which the State 
regulation will disadvantage smaller manufacturers, distributors, or 
dealers or lessen competition in the sale of the covered product in the 
State; the extent to which the

[[Page 249]]

State regulation would cause a burden to manufacturers to redesign and 
produce the covered product type (or class), taking into consideration 
the extent to which the regulation would result in a reduction in the 
current models, or in the projected availability of models, that could 
be shipped on the effective date of the regulation to the State and 
within the U.S., or in the current or projected sales volume of the 
covered product type (or class) in the State and the U.S.; and the 
extent to which the State regulation is likely to contribute 
significantly to a proliferation of State appliance efficiency 
requirements and the cumulative impact such requirements would have. The 
Secretary may not prescribe such a rule if he finds that such a rule 
will result in the unavailability in the State of any covered product 
(or class) of performance characteristics (including reliability), 
features, sizes, capacities, and volumes that are substantially the same 
as those generally available in the State at the time of the Secretary's 
finding. The failure of some classes (or types) to meet this criterion 
shall not affect the Secretary's determination of whether to prescribe a 
rule for other classes (or types).
    (1) Requirements of petition for exemption from preemption. A 
petition from a State for a rule for exemption from preemption shall 
include the information listed in paragraphs (a)(1)(i) through 
(a)(1)(viii) of this section. A petition for a rule and correspondence 
relating to such petition shall be available for public review except 
for confidential or proprietary information submitted in accordance with 
the Department of Energy's Freedom of Information Regulations set forth 
in 10 CFR part 1004:
    (i) The name, address and telephone number of the petitioner;
    (ii) A copy of the State standard for which a rule exempting such 
standard is sought;
    (iii) A copy of the State's energy plan and forecast;
    (iv) Specification of each type or class of covered product for 
which a rule exempting a standard is sought;
    (v) Other information, if any, believed to be pertinent by the 
petitioner; and
    (vi) Such other information as the Secretary may require.
    (b) Criteria for exemption from preemption when energy emergency 
conditions exist within State. Upon petition by a State which has 
prescribed an energy conservation standard or other requirement for a 
type or class of a covered product for which a Federal energy 
conservation standard is applicable, the Secretary may prescribe a rule, 
effective upon publication in the Federal Register, that such regulation 
not be preempted if he determines that in addition to meeting the 
requirements of paragraph (a) of this section the State has established 
that: an energy emergency condition exists within the State that 
imperils the health, safety and welfare of its residents because of the 
inability of the State or utilities within the State to provide adequate 
quantities of gas or electric energy to its residents at less than 
prohibitive costs; and cannot be substantially alleviated by the 
importation of energy or the use of interconnection agreements; and the 
State regulation is necessary to alleviate substantially such condition.
    (1) Requirements of petition for exemption from preemption when 
energy emergency conditions exist within a State. A petition from a 
State for a rule for exemption from preemption when energy emergency 
conditions exist within a State shall include the information listed in 
paragraphs (a)(1)(i) through (a)(1)(vi) of this section. A petition 
shall also include the information prescribed in paragraphs (b)(1)(i) 
through (b)(1)(iv) of this section, and shall be available for public 
review except for confidential or proprietary information submitted in 
accordance with the Department of Energy's Freedom of Information 
Regulations set forth in 10 CFR part 1004:
    (i) A description of the energy emergency condition which exists 
within the State, including causes and impacts.
    (ii) A description of emergency response actions taken by the State 
and utilities within the State to alleviate the emergency condition;

[[Page 250]]

    (iii) An analysis of why the emergency condition cannot be 
alleviated substantially by importation of energy or the use of 
interconnection agreements;
    (iv) An analysis of how the State standard can alleviate 
substantially such emergency condition.
    (c) Criteria for withdrawal of a rule exempting a State standard. 
Any person subject to a State standard which, by rule, has been exempted 
from Federal preemption and which prescribes an energy conservation 
standard or other requirement for a type or class of a covered product, 
when the Federal energy conservation standard for such product 
subsequently is amended, may petition the Secretary requesting that the 
exemption rule be withdrawn. The Secretary shall consider such petition 
in accordance with the requirements of paragraph (a) of this section, 
except that the burden shall be on the petitioner to demonstrate that 
the exemption rule received by the State should be withdrawn as a result 
of the amendment to the Federal standard. The Secretary shall withdraw 
such rule if he determines that the petitioner has shown the rule should 
be withdrawn.
    (1) Requirements of petition to withdraw a rule exempting a State 
standard. A petition for a rule to withdraw a rule exempting a State 
standard shall include the information prescribed in paragraphs 
(c)(1)(i) through (c)(1)(vii) of this section, and shall be available 
for public review, except for confidential or proprietary information 
submitted in accordance with the Department of Energy's Freedom of 
Information Regulations set forth in 10 CFR part 1004:
    (i) The name, address and telephone number of the petitioner;
    (ii) A statement of the interest of the petitioner for which a rule 
withdrawing an exemption is sought;
    (iii) A copy of the State standard for which a rule withdrawing an 
exemption is sought;
    (iv) Specification of each type or class of covered product for 
which a rule withdrawing an exemption is sought;
    (v) A discussion of the factors contained in paragraph (a) of this 
section;
    (vi) Such other information, if any, believed to be pertinent by the 
petitioner; and
    (vii) Such other information as the Secretary may require.



Sec. 430.42  Filing requirements.

    (a) Service. All documents required to be served under this subpart 
shall, if mailed, be served by first class mail. Service upon a person's 
duly authorized representative shall constitute service upon that 
person.
    (b) Obligation to supply information. A person or State submitting a 
petition is under a continuing obligation to provide any new or newly 
discovered information relevant to that petition. Such information 
includes, but is not limited to, information regarding any other 
petition or request for action subsequently submitted by that person or 
State.
    (c) The same or related matters. A person or State submitting a 
petition or other request for action shall state whether to the best 
knowledge of that petitioner the same or related issue, act, or 
transaction has been or presently is being considered or investigated by 
any State agency, department, or instrumentality.
    (d) Computation of time. (1) Computing any period of time prescribed 
by or allowed under this subpart, the day of the action from which the 
designated period of time begins to run is not to be included. If the 
last day of the period is Saturday, or Sunday, or Federal legal holiday, 
the period runs until the end of the next day that is neither a 
Saturday, or Sunday or Federal legal holiday.
    (2) Saturdays, Sundays, and intervening Federal legal holidays shall 
be excluded from the computation of time when the period of time allowed 
or prescribed is 7 days or less.
    (3) When a submission is required to be made within a prescribed 
time, DOE may grant an extension of time upon good cause shown.
    (4) Documents received after regular business hours are deemed to 
have been submitted on the next regular business day. Regular business 
hours for the DOE's National Office, Washington, DC, are 8:30 a.m. to 
4:30 p.m.

[[Page 251]]

    (5) DOE reserves the right to refuse to accept, and not to consider, 
untimely submissions.
    (e) Filing of petitions. (1) A petition for a rule shall be 
submitted in triplicate to: The Assistant Secretary for Conservation and 
Renewable Energy, U.S. Department of Energy, Section 327 Petitions, 
Appliance Efficiency Standards, Forrestal Building, 1000 Independence 
Avenue, SW., Washington, DC 20585.
    (2) A petition may be submitted on behalf of more than one person. A 
joint petition shall indicate each person participating in the 
submission. A joint petition shall provide the information required by 
Sec. 430.41 for each person on whose behalf the petition is submitted.
    (3) All petitions shall be signed by the person(s) submitting the 
petition or by a duly authorized representative. If submitted by a duly 
authorized representative, the petition shall certify this 
authorization.
    (4) A petition for a rule to withdraw a rule exempting a State 
regulation, all supporting documents, and all future submissions shall 
be served on each State agency, department, or instrumentality whose 
regulation the petitioner seeks to supersede. The petition shall contain 
a certification of this service which states the name and mailing 
address of the served parties, and the date of service.
    (f) Acceptance for filing. (1) Within fifteen (15) days of the 
receipt of a petition, the Secretary will either accept it for filing or 
reject it, and the petitioner will be so notified in writing. The 
Secretary will serve a copy of this notification on each other party 
served by the petitioner. Only such petitions which conform to the 
requirements of this subpart and which contain sufficient information 
for the purposes of a substantive decision will be accepted for filing. 
Petitions which do not so conform will be rejected and an explanation 
provided to petitioner in writing.
    (2) For purposes of the Act and this subpart, a petition is deemed 
to be filed on the date it is accepted for filing.
    (g) Docket. A petition accepted for filing will be assigned an 
appropriate docket designation. Petitioner shall use the docket 
designation in all subsequent submissions.



Sec. 430.43  Notice of petition.

    (a) Promptly after receipt of a petition and its acceptance for 
filing, notice of such petition shall be published in the Federal 
Register. The notice shall set forth the availability for public review 
of all data and information available, and shall solicit comments, data 
and information with respect to the determination on the petition. 
Except as may otherwise be specified, the period for public comment 
shall be 60 days after the notice appears in the Federal Register. 
    (b) In addition to the material required under paragraph (a) of this 
section, each notice shall contain a summary of the State regulation at 
issue and the petitioner's reasons for the rule sought.



Sec. 430.44  Consolidation.

    DOE may consolidate any or all matters at issue in two or more 
proceedings docketed where there exist common parties, common questions 
of fact and law, and where such consolidation would expedite or simplify 
consideration of the issues. Consolidation shall not affect the right of 
any party to raise issues that could have been raised if consolidation 
had not occurred.



Sec. 430.45  Hearing.

    The Secretary may hold a public hearing, and publish notice in the 
Federal Register of the date and location of the hearing, when he 
determines that such a hearing is necessary and likely to result in a 
timely and effective resolution of the issues. A transcript shall be 
kept of any such hearing.



Sec. 430.46  Disposition of petitions.

    (a) After the submission of public comments under Sec. 430.42(a), 
the Secretary shall prescribe a final rule or deny the petition within 6 
months after the date the petition is filed.
    (b) The final rule issued by the Secretary or a determination by the 
Secretary to deny the petition shall include a written statement setting 
forth his findings and conclusions, and the reasons and basis therefor. 
A copy of

[[Page 252]]

the Secretary's decision shall be sent to the petitioner and the 
affected State agency. The Secretary shall publish in the Federal 
Register a notice of the final rule granting or denying the petition and 
the reasons and basis therefor.
    (c) If the Secretary finds that he cannot issue a final rule within 
the 6-month period pursuant to paragraph (a) of this section, he shall 
publish a notice in the Federal Register extending such period to a date 
certain, but no longer than one year after the date on which the 
petition was filed. Such notice shall include the reasons for the delay.



Sec. 430.47  Effective dates of final rules.

    (a) A final rule exempting a State standard from Federal preemption 
will be effective:
    (1) Upon publication in the Federal Register if the Secretary 
determines that such rule is needed to meet an ``energy emergency 
condition'' within the State.
    (2) Three years after such rule is published in the Federal 
Register; or
    (3) Five years after such rule is published in the Federal Register 
if the Secretary determines that such additional time is necessary due 
to the burdens of retooling, redesign or distribution.
    (b) A final rule withdrawing a rule exempting a State standard will 
be effective upon publication in the Federal Register.



Sec. 430.48  Request for reconsideration.

    (a) Any petitioner whose petition for a rule has been denied may 
request reconsideration within 30 days of denial. The request shall 
contain a statement of facts and reasons supporting reconsideration and 
shall be submitted in writing to the Secretary.
    (b) The denial of a petition will be reconsidered only where it is 
alleged and demonstrated that the denial was based on error in law or 
fact and that evidence of the error is found in the record of the 
proceedings.
    (c) If the Secretary fails to take action on the request for 
reconsideration within 30 days, the request is deemed denied, and the 
petitioner may seek such judicial review as may be appropriate and 
available.
    (d) A petitioner has not exhausted other administrative remedies 
until a request for reconsideration has been filed and acted upon or 
deemed denied.



Sec. 430.49  Finality of decision.

    (a) A decision to prescribe a rule that a State energy conservation 
standard or other requirement not be preempted is final on the date the 
rule is issued, i.e., signed by the Secretary. A decision to prescribe 
such a rule has no effect on other regulations of a covered product of 
any other State.
    (b) A decision to prescribe a rule withdrawing a rule exempting a 
State standard or other requirement is final on the date the rule is 
issued, i.e., signed by the Secretary. A decision to deny such a 
petition is final on the day a denial of a request for reconsideration 
is issued, i.e., signed by the Secretary.



                  Subpart E--Small Business Exemptions

    Source: 54 FR 6080, Feb. 7, 1989, unless otherwise noted.



Sec. 430.50  Purpose and scope.

    (a) This subpart establishes procedures for the submission and 
disposition of applications filed by manufacturers of covered consumer 
products with annual gross revenues that do not exceed $8 million to 
exempt them temporarily from all or part of energy conservation 
standards established by this part.
    (b) The purpose of this subpart is to provide content and format 
requirements for manufacturers of covered consumer products with low 
annual gross revenues who desire to apply for temporary exemptions from 
applicable energy conservation standards.



Sec. 430.51  Eligibility.

    Any manufacturer of a covered product with annual gross revenues 
that do not exceed $8,000,000 from all its operations (including the 
manufacture and sale of covered products) for the 12-month period 
preceding the date of application may apply for an exemption. In 
determining the annual gross revenues of any manufacturer under this 
subpart, the annual gross revenue of

[[Page 253]]

any other person who controls, is controlled, by, or is under common 
control with, such manufacturer shall be taken into account.



Sec. 430.52  Requirements for applications.

    (a) Each application filed under this subpart shall be submitted in 
triplicate to: U.S. Department of Energy, Small Business Exemptions, 
Appliance Efficiency Standards, Assistant Secretary for Conservation and 
Renewable Energy, Forrestal Building, 1000 Independence Avenue, SW., 
Washington, DC 20585.
    (b) An application shall be in writing and shall include the 
following:
    (1) Name and mailing address of applicant;
    (2) Whether the applicant controls, is controlled by, or is under 
common control with another manufacturer, and if so, the nature of that 
control relationship;
    (3) The text or substance of the standard or portion thereof for 
which the exemption is sought and the length of time desired for the 
exemption;
    (4) Information showing the annual gross revenue of the applicant 
for the preceding 12-month period from all of its operations (including 
the manufacture and sale of covered products):
    (5) Information to show that failure to grant an exemption is likely 
to result in a lessening of competition;
    (6) Such other information, if any, believed to be pertinent by the 
petitioner; and
    (7) Such other information as the Secretary may require.



Sec. 430.53  Processing of applications.

    (a) The applicant shall serve a copy of the application, all 
supporting documents and all subsequent submissions, or a copy from 
which confidential information has been deleted pursuant to 10 CFR 
1004.11, to the Secretary, which may be made available for public 
review.
    (b) Within fifteen (15) days of the receipt of an application, the 
Secretary will either accept it for filing or reject it, and the 
applicant will be so notified in writing. Only such applications which 
conform to the requirements of this subpart and which contain sufficient 
information for the purposes of a substantive decision will be accepted 
for filing. Applications which do not so conform will be rejected and an 
explanation provided to the applicant in writing.
    (c) For the purpose of this subpart, an application is deemed to be 
filed on the date it is accepted for filing.
    (d) Promptly after receipt of an application and its acceptance for 
filing, notice of such application shall be published in the Federal 
Register. The notice shall set forth the availability for public review 
of data and information available, and shall solicit comments, data and 
information with respect to the determination on the application. Except 
as may otherwise be specified, the period for public comment shall be 60 
days after the notice appears in the Federal Register.
    (e) The Secretary on his own initiative may convene a hearing if, in 
his discretion, he considers such hearing will advance his evaluation of 
the application.



Sec. 430.54  Referral to the Attorney General.

    Notice of the application for exemption under this subpart shall be 
transmitted to the Attorney General by the Secretary and shall contain 
(a) a statement of the facts and of the reasons for the exemption, and 
(b) copies of all documents submitted.



Sec. 430.55  Evaluation of application.

    The Secretary shall grant an application for exemption submitted 
under this subpart if the Secretary finds, after obtaining the written 
views of the Attorney General, that a failure to allow an exemption 
would likely result in a lessening of competition.



Sec. 430.56  Decision and order.

    (a) Upon consideration of the application and other relevant 
information received or obtained, the Secretary shall issue an order 
granting or denying the application.
    (b) The order shall include a written statement setting forth the 
relevant facts and the legal basis of the order.
    (c) The Secretary shall serve a copy of the order upon the applicant 
and

[[Page 254]]

upon any other person readily identifiable by the Secretary as one who 
is interested in or aggrieved by such order. The Secretary also shall 
publish in the Federal Register a notice of the grant or denial of the 
order and the reason therefor.



Sec. 430.57  Duration of temporary exemption.

    A temporary exemption terminates according to its terms but not 
later than twenty-four months after the affective date of the rule for 
which the exemption is allowed.



                Subpart F--Certification and Enforcement

    Source: 54 FR 6081, Feb. 7, 1989, unless otherwise noted.



Sec. 430.60  Purpose and scope.

    The regulations in this subpart set forth the procedures to be 
followed for certification and enforcement testing to determine whether 
a basic model of a covered product complies with the applicable energy 
conservation standard set forth in subpart C of this part. Energy 
conservation standards include minimum levels of efficiency and maximum 
levels of consumption (also referred to as performance standards) and 
prescriptive energy design requirements (also referred to as design 
standards).



Sec. 430.61  Prohibited acts.

    (a) Each of the following is a prohibited act pursuant to section 
332 of the Act:
    (1) Failure to permit access to, or copying of records required to 
be supplied under the Act and this rule or failure to make reports or 
provide other information required to be supplied under this Act and 
this rule;
    (2) Failure of a manufacturer to supply at his expense a reasonable 
number of covered products to a test laboratory designated by the 
Secretary;
    (3) Failure of a manufacturer to permit a representative designated 
by the Secretary to observe any testing required by the Act and this 
rule and inspect the results of such testing; and
    (4) Distribution in commerce by a manufacturer or private labeler of 
any new covered product which is not in compliance with an applicable 
energy efficiency standard prescribed under the Act and this rule.
    (b) In accordance with section 333 of the Act, any person who 
knowingly violates any provision of paragraph (a) of this section may be 
subject to assessment of a civil penalty of no more than $100 for each 
violation. Each violation of paragraph (a) of this section shall 
constitute a separate violation with respect to each covered product, 
and each day of noncompliance with paragraphs (a) (1) through (3) of 
this section shall constitute a separate violation.



Sec. 430.62  Submission of data.

    (a) Compliance statement and certification report. Each manufacturer 
or private labeler before distributing in commerce any basic model of a 
covered product subject to the applicable energy conservation standard 
set forth in subpart C of this part shall certify by means of a 
statement of compliance and certification report, that each basic model 
meets the requirements of that standard.
    (1) The compliance statement shall certify that:
    (i) The basic model(s) comply with the applicable energy 
conservation standards;
    (ii) All required testing on which the compliance statement is based 
was conducted in conformance with the applicable test requirements 
prescribed in 10 CFR Part 430 Subpart B and this subpart and all test 
data are reported in accordance with this subpart;
    (iii) All information reported in the compliance statement is true, 
accurate, and complete; and
    (iv) The manufacturer (private labeler) is aware of the penalties 
associated with violations of the Act and the regulations thereunder, 
and 18 U.S.C. 1001 which prohibits knowingly making false statements to 
the Federal Government. The format for a compliance statement is set 
forth in appendix A of this subpart.
    (2) For each basic model the certification report shall include the 
annual energy use and adjusted volume (for refrigerators, refrigerator-
freezers and

[[Page 255]]

freezers), energy factor and rated storage volume (for water heaters), 
the energy efficiency ratio (for room air conditioners), seasonal energy 
efficiency ratio and heating seasonal performance factor (for central 
air conditioners and central air conditioning heat pumps), thermal 
efficiency (for pool heaters), and annual fuel utilization efficiency 
(for furnaces and direct heating equipment) the model numbers for each 
basic model; and its capacity. For each basic model of general service 
fluorescent and incandescent reflector lamps, the certification report 
shall include the laboratory's NVLAP identification number or other 
NVLAP-approved accreditation identification, basic model tested, 
production date codes (and accompanying decoding scheme), the 12-month 
average lamp efficacy and lamp wattage, brand names and model 
designation. The certification report shall also include the 12-month 
average Color Rendering Index for general service fluorescent lamps.
    (3) Copies of reports to the Federal Trade Commission which include 
the information in paragraph (a)(2) of this section meet the 
requirements of this paragraph.
    (b) Initial reporting requirements. All data required by paragraph 
(a) of this section shall be submitted on or before the effective date 
of the applicable energy conservation standard as prescribed in section 
325 of the Act. For each basic model of a covered product to be 
distributed in commerce, each manufacturer and private labeler or his 
representative shall file a compliance statement and certification 
report, by certified mail, to Department of Energy, Appliance Efficiency 
Standards, Assistant Secretary for Conservation and Renewable Energy, 
Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585.
    (c) New models. All information required by paragraph (a)(2) of this 
section must be submitted for new models prior to or concurrent with any 
distribution of such model. Any change to a basic model which affects 
energy consumption may constitute the addition of a new basic model 
subject to the requirements of Sec. 430.61 of this part. If such change 
does not alter compliance with the applicable energy conservation 
standard for the basic model, the new model shall be considered 
certified. Models which are discontinued shall be reported, in writing, 
to the Department of Energy.
    (d) Maintenance of records. (1) The manufacturer of any covered 
product subject to any of the energy performance standards or procedures 
prescribed in this part, shall establish, maintain, and retain the 
records of the underlying test data for all certification testing. Such 
records shall be organized and indexed in a fashion which makes them 
readily accessible for review. The records should include the supporting 
test data associated with tests performed on any test units to satisfy 
the requirements of this subpart (except tests performed by DOE 
directly).
    (2) All such records shall be retained by the manufacturer for a 
period of two years from the date that production of the applicable 
model has ceased. Records shall be retained in a form allowing ready 
access to DOE upon request.
    (e) Third party representation. If a manufacturer or private labeler 
elects to use a third party, e.g., trade association or other authorized 
representative, to submit the certification report, the certification 
report shall include all the information identified in paragraph (a) of 
this section, including the compliance statement.

[54 FR 6081, Feb. 7, 1989, as amended at 59 FR 49476, Sept. 28, 1994]



Sec. 430.63  Sampling.

    (a) For purposes of a certification of compliance, the determination 
that a basic model complies with the applicable energy performance 
standard shall be based upon the sampling procedures set forth in 
Sec. 430.23 of this part. For purposes of a certification of compliance, 
the determination that a basic model complies with the applicable design 
standard shall be based upon the incorporation of specific design 
requirements for clothes dryers, dishwashers, clothes washers and 
kitchen ranges and ovens specified in section 325 of the Act.
    (b) A basic model which meets the following requirements may qualify 
as

[[Page 256]]

an ``other than tested model'' for purposes of the certification testing 
and sampling requirements:
    (1) Central air conditioners: The condenser-evaporator coil 
combinations manufactured by the condensing unit manufacturer other than 
the combination likely to have the largest volume of retail sales or the 
condenser-coil combinations manufactured in part by a component 
manufacturer using the same condensing unit.
    (2) For purposes of certification of ``other than tested models,'' 
as defined in paragraph (b)(1) of this section, a manufacturer may 
certify the basic model on the basis of computer simulation or 
engineering analysis as set forth in Sec. 430.23(m) of this part.



Sec. 430.64  Imported products.

    (a) Pursuant to section 331 of the Act, any person importing any 
covered product into the United States shall comply with the provisions 
of the Act and of this part, and is subject to the remedies of this 
part.
    (b) Any covered product offered for importation in violation of the 
Act and of this part shall be refused admission into the customs 
territory of the United States under rules issued by the Secretary of 
the Treasury, except that the Secretary of the Treasury may, by such 
rules, authorize the importation of such covered product upon such terms 
and conditions (including the furnishing of a bond) as may appear to the 
Secretary of Treasury appropriate to ensure that such covered product 
will not violate the Act and this part, or will be exported or abandoned 
to the United States.



Sec. 430.65  Exported products.

    Pursuant to section 330 of the Act, this part shall not apply to any 
covered product if (a) such covered product is manufactured, sold, or 
held for sale for export from the United States (or such product was 
imported for export), unless such product is, in fact, distributed in 
commerce for use in the United States, and (b) such covered product, 
when distributed in commerce, or any container in which it is enclosed 
when so distributed, bears a stamp or label stating that such covered 
product is intended for export.



Sec. 430.70  Enforcement.

    (a) Performance standard--(1) Test notice. Upon receiving 
information in writing, concerning the energy performance of a 
particular covered product sold by a particular manufacturer or private 
labeler which indicates that the covered product may not be in 
compliance with the applicable energy performance standard, the 
Secretary may conduct testing of that covered product under this subpart 
by means of a test notice addressed to the manufacturer in accordance 
with the following requirements:
    (i) Such a procedure will only be followed after the Secretary or 
his designated representative has examined the underlying test data 
provided by the manufacturer and after the manufacturer has been offered 
the opportunity to meet with DOE to verify compliance with the 
applicable performance standard. A representative designated by the 
Secretary shall be permitted to observe any reverification procedures by 
this subpart, and to inspect the results of such reverification.
    (ii) The test notice will be signed by the Secretary or his 
designee. The test notice will be mailed or delivered by DOE to the 
plant manager or other responsible official, as designated by the 
manufacturer.
    (iii) The test notice will specify the model or basic model to be 
selected for testing, the method of selecting the test sample, the time 
at which testing shall be initiated, the date by which testing is 
scheduled to be completed and the facility at which testing will be 
conducted. The test notice may also provide for situations in which the 
selected basic model is unavailable for testing, and may include 
alternative basic models.
    (iv) The Secretary may require in the test notice that the 
manufacturer of a covered product shall ship at his expense a reasonable 
number of units of a basic model specified in such test notice to a 
testing laboratory designated by the Secretary. The number of units of a 
basic model specified in a test notice shall not exceed twenty (20).
    (v) Within 5 working days of the time units are selected, the 
manufacturer shall ship the specified test units of a basic model to the 
testing laboratory.

[[Page 257]]

    (2) Testing Laboratory. Whenever DOE conducts enforcement testing at 
a designated laboratory in accordance with a test notice under this 
section, the resulting test data shall constitute official test data for 
that basic model. Such test data will be used by DOE to make a 
determination of compliance or noncompliance if a sufficient number of 
tests have been conducted to satisfy the requirements of appendix B of 
this subpart.
    (3) Sampling. The determination that a manufacturer's basic model 
complies with the applicable energy performance standard shall be based 
on the testing conducted in accordance with the statistical sampling 
procedures set forth in appendix B of this subpart and the test 
procedures set forth in subpart B of this part.
    (4) Test unit selection. A DOE inspector shall select a batch, a 
batch sample, and test units from the batch sample in accordance with 
the provisions of this paragraph and the conditions specified in the 
test notice.
    (i) The batch may be subdivided by DOE utilizing criteria specified 
in the test notice, e.g., date of manufacture, component-supplier, 
location of manufacturing facility, or other criteria which may 
differentiate one unit from another within a basic model.
    (ii) A batch sample of up to 20 units will then be randomly selected 
from one or more subdivided groups within the batch. The manufacturer 
shall keep on hand all units in the batch sample until such time as the 
basic model is determined to be in compliance or noncompliance.
    (iii) Individual test units comprising the test sample shall be 
randomly selected from the batch sample.
    (iv) All random selection shall be achieved by sequentially 
numbering all of the units in a batch sample and then using a table of 
random numbers to select the units to be tested.
    (5) Test unit preparation. (i) Prior to and during testing, a test 
unit selected in accordance with paragraph (a)(4) of this section shall 
not be prepared, modified, or adjusted in any manner unless such 
preparation, modification, or adjustment is allowed by the applicable 
DOE test procedure. One test shall be conducted for each test unit in 
accordance with the applicable test procedures prescribed in subpart B.
    (ii) No quality control, testing or assembly procedures shall be 
performed on a test unit, or any parts and subassemblies thereof, that 
is not performed during the production and assembly of all other units 
included in the basic model.
    (iii) A test unit shall be considered defective if such unit is 
inoperative or is found to be in noncompliance due to failure of the 
unit to operate according to the manufacturer's design and operating 
instructions. Defective units, including those damaged due to shipping 
or handling, shall be reported immediately to DOE. DOE shall authorize 
testing of an additional unit on a case-by-case basis.
    (6) Testing at manufacturer's option. (i) If a manufacturer's basic 
model is determined to be in noncompliance with the applicable energy 
performance standard at the conclusion of DOE testing in accordance with 
the double sampling plan specified in appendix B of this subpart, the 
manufacturer may request that DOE conduct additional testing of the 
model according to procedures set forth in appendix B of this subpart.
    (ii) All units tested under paragraph (a)(6) of this section shall 
be selected and tested in accordance with the provisions given in 
paragraphs (a) (1) through (5) of this section.
    (iii) The manufacturer shall bear the cost of all testing conducted 
under paragraph (a)(6) of this section.
    (iv) The manufacturer shall cease distribution of the basic model 
being tested under the provisions of paragraph (a)(6) of this section 
from the time the manufacturer elects to exercise the option provided in 
this paragraph until the basic model is determined to be in compliance. 
DOE may seek civil penalties for all units distributed during such 
period.
    (v) If the additional testing results in a determination of 
compliance, a notice of allowance to resume distribution shall be issued 
by the Department.
    (b) Design standard. In the case of a design standard, a model is 
determined noncompliant by DOE after the Secretary or his designated 
representative

[[Page 258]]

has examined the underlying design information provided by the 
manufacturer and after the manufacturer has been offered the opportunity 
to verify compliance with the applicable design standard.



Sec. 430.71  Cessation of distribution of a basic model.

    (a) In the event that a model is determined noncompliant by DOE in 
accordance with Sec. 430.70 of this part or if a manufacturer or private 
labeler determines a model to be in noncompliance, then the manufacturer 
or private labeler shall:
    (1) Immediately cease distribution in commerce of the basic model;
    (2) Give immediate written notification of the determination of 
noncompliance, to all persons to whom the manufacturer has distributed 
units of the basic model manufactured since the date of the last 
determination of compliance.
    (3) Pursuant to a request made by the Secretary, provide DOE within 
30 days of the request, records, reports and other documentation 
pertaining to the acquisition, ordering, storage, shipment, or sale of a 
basic model determined to be in noncompliance.
    (4) The manufacturer may modify the noncompliant basic model in such 
manner as to make it comply with the applicable performance standard. 
Such modified basic model shall then be treated as a new basic model and 
must be certified in accordance with the provisions of this subpart; 
except that in addition satisfying all requirements of this subpart, the 
manufacturer shall also maintain records that demonstrate that 
modifications have been made to all units of the new basic model prior 
to distribution in commerce.
    (b) If a basic model is not properly certified in accordance with 
the requirements of this subpart, the Secretary may seek, among other 
remedies, injunctive action to prohibit distribution in commerce of such 
basic model.



Sec. 430.72  Subpoena.

    Pursuant to section 329(a) of the Act, for purposes of carrying out 
this part, the Secretary or the Secretary's designee, may sign and issue 
subpoenas for the attendance and testimony of witnesses and the 
production of relevant books, records, papers, and other documents, and 
administer the oaths. Witnesses summoned under the provisions of this 
section shall be paid the same fees and mileage as are paid to witnesses 
in the courts of the United States. In case of contumacy by, or refusal 
to obey a subpoena served, upon any persons subject to this part, the 
Secretary may seek an order from the District Court of the United States 
for any District in which such person is found or resides or transacts 
business requiring such person to appear and give testimony, or to 
appear and produce documents. Failure to obey such order is punishable 
by such court as a contempt thereof.



Sec. 430.73  Remedies.

    If DOE determines that a basic model of a covered product does not 
comply with an applicable energy conservation standard:
    (a) DOE will notify the manufacturer, private labeler or any other 
person as required, of this finding and of the Secretary's intent to 
seek a judicial order restraining further distribution in commerce of 
such basic model unless the manufacturer, private labeler or any other 
person as required, delivers to DOE within 15 calendar days a statement, 
satisfactory to DOE, of the steps he will take to insure that the 
noncompliant model will no longer be distributed in commerce. DOE will 
monitor the implementation of such statement.
    (b) If the manufacturer, private labeler or any other person as 
required, fails to stop distribution of the noncompliant model, the 
Secretary may seek to restrain such violation in accordance with section 
334 of the Act.
    (c) The Secretary shall determine whether the facts of the case 
warrant the assessment of civil penalties for knowing violations in 
accordance with section 333 of the Act.



Sec. 430.74  Hearings and appeals.

    (a) Pursuant to section 333(d) of the Act, before issuing an order 
assessing a civil penalty against any person under

[[Page 259]]

this section, the Secretary shall provide to such person notice of the 
proposed penalty. Such notice shall inform such person of that person's 
opportunity to elect in writing within 30 days after the date of receipt 
of such notice to have the procedures of paragraph (c) of this section 
(in lieu of those in paragraph (b) of this section) apply with respect 
to such assessment.
    (b)(1) Unless an election is made within 30 calendar days after 
receipt of notice under paragraph (a) of this section to have paragraph 
(c) of this section apply with respect to such penalty, the Secretary 
shall assess the penalty, by order, after a determination of violation 
has been made on the record after an opportunity for an agency hearing 
pursuant to section 554 of title 5, United States Code, before an 
administrative law judge appointed under section 3105 of such title 5. 
Such assessment order shall include the administrative law judge's 
findings and the basis for such assessment.
    (2) Any person against whom a penalty is assessed under this section 
may, within 60 calendar days after the date of the order of the 
Secretary assessing such penalty, institute an action in the United 
States Court of Appeals for the appropriate judicial circuit for 
judicial review of such order in accordance with chapter 7 of title 5, 
United States Code. The court shall have jurisdiction to enter a 
judgment affirming, modifying, or setting aside in whole or in part, the 
order of the Secretary, or the court may remand the proceeding to the 
Secretary for such further action as the court may direct.
    (c)(1) In the case of any civil penalty with respect to which the 
procedures of this section have been elected, the Secretary shall 
promptly assess such penalty, by order, after the date of the receipt of 
the notice under paragraph (a) of this section of the proposed penalty.
    (2) If the civil penalty has not been paid within 60 calendar days 
after the assessment has been made under paragraph (c)(1) of this 
section, the Secretary shall institute an action in the appropriate 
District Court of the United States for an order affirming the 
assessment of the civil penalty. The court shall have authority to 
review de novo the law and the facts involved and shall have 
jurisdiction to enter a judgment enforcing, modifying, and enforcing as 
so modified, or setting aside in whole or in part, such assessment.
    (3) Any election to have this paragraph apply may not be revoked 
except with the consent of the Secretary.
    (d) If any person fails to pay an assessment of a civil penalty 
after it has become a final and unappealable order under paragraph (b) 
of this section, or after the appropriate District Court has entered 
final judgment in favor of the Secretary under paragraph (c) of this 
section, the Secretary shall institute an action to recover the amount 
of such penalty in any appropriate District Court of the United States. 
In such action, the validity and appropriateness of such final 
assessment order or judgment shall not be subject to review.
    (e)(1) In accordance with the provisions of section 333(d)(5)(A) of 
the Act and notwithstanding the provisions of title 28, United States 
Code, or section 502(c) of the Department of Energy Organization Act, 
the Secretary shall be represented by the General Counsel of the 
Department of Energy (or any attorney or attorneys within DOE designated 
by the Secretary) who shall supervise, conduct, and argue any civil 
litigation to which paragraph (c) of this section applies including any 
related collection action under paragraph (d) of this section in a court 
of the United States or in any other court, except the Supreme Court of 
the United States. However, the Secretary or the General Counsel shall 
consult with the Attorney General concerning such litigation and the 
Attorney General shall provide, on request, such assistance in the 
conduct of such litigation as may be appropriate.
    (2) In accordance with the provisions of section 333(d)(5)(B) of the 
Act, and subject to the provisions of section 502(c) of the Department 
of Energy Organization Act, the Secretary shall be represented by the 
Attorney General, or the Solicitor General, as appropriate, in actions 
under this section, except to the extent provided in paragraph (e)(1) of 
this section.
    (3) In accordance with the provisions of section 333(d)(5)(C) of the 
Act, section 402(d) of the Department of Energy

[[Page 260]]

Organization Act shall not apply with respect to the function of the 
Secretary under this section.



Sec. 430.75  Confidentiality.

    Pursuant to the provisions of 10 CFR 1004.11, any person submitting 
information or data which the person believes to be confidential and 
exempt law from public disclosure should submit one complete copy, and 
fifteen copies from which the information believed to be confidential 
has been deleted. In accordance with the procedures established at 10 
CFR 1004.11, DOE shall make its own determination with regard to any 
claim that information submitted be exempt from public disclosure.

                        OMB Control No. 1910-1400

        Appendix A to Subpart F of Part 430--Compliance Statement

     Statement of Compliance With Energy Conservation Standards for 
                               Appliances

Product:________________________________________________________________
Manufacturer's Name and Address
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
Date:___________________________________________________________________
    Submit by Certified Mail to: Department of Energy, Appliance 
Efficiency Standards, Assistant Secretary for Conservation and Renewable 
Energy, Forrestal Building, 1000 Independence Avenue, SW., Washington, 
DC 20585.
    This report is submitted pursuant to Part 430 (Energy Conservation 
Program for Consumer Products) of the Energy Policy and Conservation Act 
(Pub. L. 94-163), and amendments thereto. The basic model(s) included in 
this report complies (comply) with the applicable energy conservation 
standard. All testing where appropriate, on which this certification 
report is based, was conducted in conformance with the applicable test 
requirements prescribed in Subpart B of 10 CFR Part 430. All information 
reported in this certification report is true, accurate, and complete. I 
am aware of the penalties associated with violations of the Act and the 
regulations thereunder, and am also aware of the provisions contained in 
18 U.S.C. 1001, which prohibits knowingly making false statements to the 
Federal Government.
    Name of Person to Contact for Further Information:
Name:___________________________________________________________________
Address:________________________________________________________________
Telephone No.:__________________________________________________________
    If the model specific information accompanying this statement of 
compliance was prepared by a third party organization under the 
provisions of Sec. 430.62 of 10 CFR Part 430, the individual 
(manufacturer) authorizing third party representations:
Signature:______________________________________________________________
Name:___________________________________________________________________
Address:________________________________________________________________
Telephone No.:__________________________________________________________

   Appendix B to Subpart F of Part 430--Sampling Plan for Enforcement 
                                 Testing

                             Double Sampling

    Step 1. The first sample size (n1) must be four or more 
units.
    Step 2. Compute the mean (x1) of the measured energy 
performance of the n1 units in the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.071

where xi is the measured energy efficiency or energy 
consumption of unit i.
    Step 3. Compute the standard deviation (s1) of the 
measured energy performance of the n1 units in the first 
sample as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.072

    Step 4. Compute the standard error (s-x cents) of the 
measured energy performance of the n1 units in the first 
sample as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.073

    Step 5. Compute the upper control limit (UCL1) and lower 
control limit (LCL1) for the mean of the first sample using 
the applicable DOE energy performance standard (EPS) as the desired mean 
and a probability level of 95 percent (two-tailed test) as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.074

[GRAPHIC] [TIFF OMITTED] TC04OC91.075

where t is a statistic based on a 95 percent two-tailed probability 
level and a sample size of n1.
    Step 6A. For an Energy Efficiency Standard, compare the mean of the 
first sample (x1) with the upper and lower control limits 
(UCL1 and LCL1) to determine one of the following:

[[Page 261]]

    (i) If the mean of the first sample is below the lower control 
limit, then the basic model is in noncompliance and testing is at an 
end. (Do not go on to any of the steps below.)
    (ii) If the mean of the first sample is equal to or greater than the 
upper control limit, then the basic model is in compliance and testing 
is at an end. (Do not go on to any of the steps below.)
    (iii) If the sample mean is equal to or greater than the lower 
control limit but less than the upper control limit, then no 
determination of compliance or noncompliance can be made and a second 
sample size is determined by Step 7a.
    Step 6b. For an Energy Consumption Standard, compare the mean of the 
first sample (x1) with the upper and lower control limits 
(UCL1 and LCL1) to determine one of the following:
    (i) If the mean of the first sample is above the upper control 
limit, then the basic model is in noncompliance and testing is at an 
end. (Do not go on to any of the steps below.)
    (ii) If the mean of the first sample is equal to or less than the 
lower control limit, then the basic model is in compliance and testing 
is at an end. (Do not go on to any of the steps below.)
    (iii) If the sample mean is equal to or less than the upper control 
limit but greater than the lower control limit, then no determination of 
compliance or noncompliance can be made and a second sample size is 
determined by Step 7b.
    Step 7a. For an Energy Efficiency Standard, determine the second 
sample size (n2) as follows:

                                                                                                                
                                                          t s1                                                  
                                     n2=  <5-line (> ------------- <5-ln )>2  -n1                           (6a)
                                                        0.05 EPS                                                
                                                                                                                

where s1 and t have the values used in Steps 4 and 5, 
respectively. The term ``0.05 EPS'' is the difference between the 
applicable energy efficiency standard and 95 percent of the standard, 
where 95 percent of the standard is taken as the lower control limit. 
This procedure yields a sufficient combined sample size 
(n1+n2) to give an estimated 97.5 percent 
probability of obtaining a determination of compliance when the true 
mean efficiency is equal to the applicable standard.
    Given the solution value of n2, determine one of the 
following:
    (1) If the value of n2 is less than or equal to zero and 
if the mean energy efficiency of the first sample (x1) is 
either equal to or greater than the lower control limit 
(LCL1) or equal to or greater than 95 percent of the 
applicable energy efficiency standard (EES), whichever is greater, i.e., 
if

n2  0 and x1  
          max(LCL1, 0.95 EES),

the basic model is in compliance and testing is at an end.
    (2) If the value of n2 is less than or equal to zero and 
the mean energy efficiency of the first sample (x1) is less 
than the lower control limit (LCL1) or less than 95 percent 
of the applicable energy efficiency standard (EES), whichever is 
greater, i.e., if

n2  0 and x1 < max(LCL1, 
          0.95 EES),

the basic model is in noncompliance and testing is at an end.
    (3) If the value of n2 is greater than zero, then value 
of the second sample size is determined to be the smallest integer equal 
to or greater than the solution value of n2 for equation 
(6a). If the value of n2 so calculated is greater than 20-
n1, set n2 equal to 20-n1.
    Step 7b. For an Energy Consumption Standard, determine the second 
sample size (n2) as follows:

                                                                                                                
                                                          t s1                                                  
                                     n2=  <5-line (> ------------- <5-ln )>2  -n1                           (6b)
                                                        0.05 EPS                                                
                                                                                                                

where s1 and t have the values used in Steps 4 and 5, 
respectively. The term ``0.05 EPS'' is the difference between the 
applicable energy consumption standard and 105 percent of the standard, 
where 105 percent of the standard is taken as the upper control limit. 
This procedure yields a sufficient combined sample size (n1 + 
n2) to give an estimated 97.5 percent probability of 
obtaining a determination of compliance when the true mean consumption 
is equal to the applicable standard.
    Given the solution value of n2, determine one of the 
following:
    (1) If the value of n2 is less than or equal to zero and 
if the mean energy consumption of the first sample (x1) is 
either equal to or less than the upper control limit (UCL1) 
or equal to or less than 105 percent of the applicable energy 
performance standard (EPS), whichever is less, i.e., if

n2  0 and x1  
          min(UCL1, 1.05 EPS),

the basic model is in compliance and testing is at an end.
    (2) If the value of n2 is less than or equal to zero and 
the mean energy consumption of the first sample (x1) is 
greater than the upper control limit (UCL1) or more than 105 
percent of the applicable energy performance standard (EPS), whichever 
is less, i.e., if

n2  0 and x1    
          min(LCL1, 1.05 EPS),

the basic model is in noncompliance and testing is at an end.
    (3) If the value of n2 is greater than zero, then the 
value of the second sample size is determined to be the smallest integer 
equal to or greater than the solution value of n2 for 
equation (6b). If the value of n2 so calculated is greater 
than 20-n1, set n2 equal to 20-n1.
    Step 8. Compute the combined mean (x2) of the measured 
energy performance of the n1 and n2 units of the 
combined first and second samples as follows:

[[Page 262]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.076


    Step 9. Compute the standard error 
(sx2) of the measured energy performance 
of the n1 and n2 units in the combined first and 
second samples as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.077

    Note.--s1 is the value obtained in Step 3.
    Step 10a. For an Energy Efficiency Standard, compute the lower 
control limit (LCL2) for the mean of the combined first and 
second samples using the DOE energy efficiency standard (EES) as the 
desired mean and a one-tailed probability level of 97.5 percent 
(equivalent to the two-tailed probability level of 95 percent used in 
Step 5, above) as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.078

where the t-statistic has the value obtained in Step 5 above.
    Step 10b. For an Energy Consumption Standard, compute the upper 
control limit (UCL2) for the mean of the combined first and 
second samples using the DOE energy performance standard (EPS) as the 
desired mean and a one-tailed probability level of 102.5 percent 
(equivalent to the two-tailed probability level of 95 percent used in 
Step 5, above) as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.079

where the t-statistic has the value obtained in Step 5 above.
    Step 11a. For an Energy Efficiency Standard, compare the combined 
sample mean (x2) to the lower control limit (LCL2) 
to find one of the following:
    (i) If the mean of the combined sample (x2) is less than 
the lower control limit (LCL2) or 95 percent of the 
applicable energy efficiency standard (EES), whichever is greater, i.e., 
if
x2  max(LCL2, 0.95 EES),

the basic model is in noncompliance and testing is at an end.
    (ii) If the mean of the combined sample (x2) is equal to 
or greater than the lower control limit (LCL2) or 95 percent 
of the applicable energy efficiency standard (EES), whichever is 
greater, i.e., if

x2  max(LCL2, 0.95 EES),

the basic model is in compliance and testing is at an end.
    Step 11b. For an Energy Consumption Standard, compare the combined 
sample mean (x2) to the upper control limit (UCL2) 
to find one of the following:
    (i) If the mean of the combined sample (x2) is greater 
than the upper control limit (UCL2) or 105 percent of the 
applicable energy performance standard (EPS), whichever is less, i.e., 
if

x2  min(UCL2, 1.05 EPS),

the basic model is in noncompliance and testing is at an end.
    (ii) If the mean of the combined sample (x2) is equal to 
or less than the upper control limit (UCL2) or 105 percent of 
the applicable energy performance standard (EPS), whichever is less, 
i.e., if

 x2  min(UCL2, 1.05 EPS),

the basic model is in compliance and testing is at an end.

                       Manufacturer-Option Testing

    If a determination of non-compliance is made in Steps 6, 7 or 11, 
above, the manufacturer may request that additional testing be 
conducted, in accordance with the following procedures.
    Step A. The manufacturer requests that an additional number, 
n3, of units be tested, with n3 chosen such that 
n1+n2+n3 does not exceed 20.
    Step B. Compute the mean energy performance, standard error, and 
lower or upper control limit of the new combined sample in accordance 
with the procedures prescribed in Steps 8, 9, and 10, above.
    Step C. Compare the mean performance of the new combined sample to 
the revised lower or upper control limit to determine one of the 
following:
    a.1. For an Energy Efficiency Standard, if the new combined sample 
mean is equal to or greater than the lower control limit or 95 percent 
of the applicable energy efficiency standard, whichever is greater, the 
basic model is in compliance and testing is at an end.
    a.2. For an Energy Consumption Standard, if the new combined sample 
mean is equal to or less than the upper control limit or 105 percent of 
the applicable energy consumption standard, whichever is less, the basic 
model is in compliance and testing is at an end.
    b.1. For an Energy Efficiency Standard, if the new combined sample 
mean is less than the lower control limit or 95 percent of the 
applicable energy efficiency standard, whichever, is greater, and the 
value of n1+n2+n3 is less than 20, the 
manufacturer may request that additional units be tested. The total of 
all units tested may not exceed 20. Steps A, B, and C are then repeated.
    b.2. For an Energy Consumption Standard, if the new combined sample 
mean is greater than the upper control limit or 105 percent of the 
applicable energy consumption standard, whichever is less, and the value 
of n1+2+3 is

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less than 20, the manufacturer may request that additional units be 
tested. The total of all units tested may not exceed 20. Steps A, B, and 
C are then repeated.
    c. Otherwise, the basic model is determined to be in noncompliance.

[54 FR 6081, Feb. 7, 1989; 54 FR 11320, Mar. 17, 1989]



PART 435--ENERGY CONSERVATION VOLUNTARY PERFORMANCE STANDARDS FOR NEW BUILDINGS; MANDATORY FOR FEDERAL BUILDINGS--Table of Contents




Subpart A--Voluntary Performance Standards for New Commercial and Multi-
 Family High Rise Residential Buildings; Mandatory for Federal Buildings

Sec.
435.97  Purpose.
435.98  Scope.
435.99  General definitions and acronyms.
435.100  Explanation of numbering system for standards.
435.101  Implementation and compliance procedures for Federal agencies.
435.102  Principles of effective energy building design.
435.103  Lighting.
435.104  Auxiliary systems and equipment.
435.105  Building envelope.
435.106  Electric power and distribution.
435.107  Heating, ventilation and air-conditioning (HVAC) systems.
435.108  Heating, ventilation, and air-conditioning (HVAC) equipment.
435.109  Service water heating systems.
435.110  Energy management.
435.111  Building energy cost compliance alternative.
435.112  Building energy compliance alternative.

     Subpart B--Voluntary Performance Standards for New Non-Federal 
                    Residential Buildings [Reserved]

 Subpart C--Mandatory Performance Standards for New Federal Residential 
                                Buildings

435.300  Purpose.
435.301  Scope.
435.302  Definitions.
435.303  Requirements for the design of a Federal residential building.
435.304  The COSTSAFR Program.
435.305  Alternative compliance procedure.
435.306  Selecting a life cycle effective proposed building design.

    Authority: 42 U.S.C. 6831-6870; 42 U.S.C. 8254; 42 U.S.C. 7101, et 
seq.

    Source: 53 FR 32545, Aug. 25, 1988, unless otherwise noted.



Subpart A--Voluntary Performance Standards for New Commercial and Multi-
 Family High Rise Residential Buildings; Mandatory for Federal Buildings

    Source: 54 FR 4554, January 30, 1989, unless otherwise noted.



Sec. 435.97  Purpose.

    (a) This subpart establishes energy conservation voluntary 
performance standards for the design of new commercial and multi-family 
high rise residential buildings. The voluntary performance standards are 
designed to achieve the maximum practicable improvements in energy 
efficiency and increases in the use of non-depletable sources of energy.
    (b) The voluntary performance standards will be used by Federal 
agencies for the design of new Federal commercial and multi-family high 
rise residential buildings.
    (c) Except in the case of new commercial and multi-family high rise 
residential buildings, which are Federal buildings, voluntary 
performance standards prescribed under this subpart are developed solely 
as guidelines for the purpose of providing technical assistance for the 
design of energy efficient buildings.



Sec. 435.98  Scope.

    (a) The voluntary performance standards for new commercial and 
multi-family high rise residential buildings apply to the design of a 
new commercial or multi-family high rise residential building, except 
for the following:
    (1) A building constructed and developed for residential occupancy, 
unless the building is a multi-family high rise residential building 
with 3 or more stories;
    (2) Heating, cooling, ventilating, or service hot water requirements 
for those spaces where processes occur for purposes other than occupant 
comfort and sanitation, and which impose thermal loads in excess of 5% 
of the loads that would otherwise be required for

[[Page 264]]

occupant comfort and sanitation without the process;
    (3) Envelope requirements for those spaces where heating or cooling 
requirements are excepted in paragraph (a)(2) of this section;
    (4) Lighting for tasks not listed or encompassed by areas or 
activities listed in Table 3.5-1; and
    (5) Buildings that are composed entirely of spaces listed in 
paragraphs (a) (2), (3), and (4) of this section.



Sec. 435.99  General definitions and acronyms.

    (a) For the purpose of this subpart:
    Accessible (as applied to equipment) means admitting close approach; 
not guarded by locked doors, elevation, or other effective means. (See 
also Readily Accessible.)
    Adjusted Lighting Power means lighting power, ascribed to a 
luminaire(s), that has been reduced by deducting a lighting power 
control credit based on use of an automatic control device.
    Annual Fuel Utilization Efficiency means the ratio of annual output 
energy to annual input energy that includes any non-heating season pilot 
input loss.
    Air Conditioning, Comfort means treating air to control its 
temperature, relative humidity, cleanliness, and distribution to meet 
the comfort requirements of the occupants of the conditioned space. Some 
air conditioners may not accomplish all of these controls.
    Ambient Lighting means lighting that produces general illumination 
throughout an area.
    Area Factor means a multiplying factor that adjusts the base unit 
power density (UPD) for spaces of various sizes to account for the 
impact of room configuration on lighting power utilization.
    Automatic means a self-acting, operating by its own mechanism, when 
actuated by some impersonal influence, such as, a change in current 
strength, pressure, temperature or mechanical configuration. (See also 
Manual.)
    Ballast means a device used with an electric-discharge lamp to 
obtain the necessary circuit conditions (voltage, current, and wave 
form) for starting and operating.
    Ballast Efficacy Factor--Fluorescent means the ratio of the relative 
light output to the power input in watts, at specified test conditions, 
expressed as a percent.
    Ballast Factor means the ratio of a commercial ballast lamp lumens 
to a reference ballast lamp lumens, used to correct the lamp lumen 
output from rated to actual.
    Boiler Capacity means the rated heat output in Btu/h of the boiler, 
at the design inlet and outlet conditions and rated fuel/energy input.
    British Thermal Unit means approximately the amount of heat required 
to raise the temperature of one pound of water from 59  deg.F to 60 
deg.F.
    Building means any new structure to be constructed that includes 
provision for a heating or cooling system, or both, or for a hot water 
system.
    Building Code means a legal instrument which is in effect in a state 
or unit of general purpose local government, the provisions of which 
must be adhered to if a building is to be considered to be in 
conformance with law and suitable for occupancy and use.
    Building Design means the architectural and engineering drawings and 
specifications used for the construction of a new building.
    Building Energy Cost means the computed annual energy cost of all 
purchased energy for the building, calculated using the methods of 
section 435.111 of these standards.
    Building Envelope means the elements of a building that enclose 
conditioned spaces through which thermal energy may be transferred to or 
from the exterior or to or from unconditioned spaces.
    Building Type means the classification of a building by usage. In 
this regulation the following classifications of buildings are defined 
by these uses:
    (1) Assembly means a building or structure for the gathering 
together of persons, such as auditoriums, churches, dance halls, 
gymnasiums, theaters, museums, passenger depots, sports facilities, and 
public assembly halls.
    (2) Health and Institutional means a building or structure for the 
purpose of providing medical treatment, confinement or care, and 
sleeping facilities such as hospitals, sanitariums, clinics,

[[Page 265]]

orphanages, nursing homes, mental institutions, reformatories, jails, 
and prisons.
    (3) Hotel/Motel means a building or structure for transient 
occupancy, such as resorts, hotels, motels, barracks, and dormitories.
    (4) Multi-Family means a building or structure containing three or 
more dwelling units. (See Dwelling Units, and Multi-Family Dwelling.)
    (5) Office (Business) means a building or structure for office, 
professional, or service type transactions, such as medical offices, 
banks, libraries, and business offices, including governmental office 
buildings.
    (6) Restaurant means a building or a structure for the consumption 
of food or drink, including fast food, coffee shops, cafeterias, bars, 
and restaurants.
    (7) Retail (Mercantile) means a building or a structure for the 
display and sale (wholesale or retail) of merchandise, such as shopping 
malls, food markets, auto dealerships, department stores, and specialty 
shops. (See also Retail Establishments.)
    (8) School (Educational) means a building or structure for the 
purpose of instruction, such as schools, colleges, universities, and 
academies.
    (9) Warehouse (Storage) means a building or structure for storage, 
such as aircraft hangers, garages, warehouses, storage buildings, and 
freight depots.
    Check Metering means measurement instrumentation for the 
supplementary monitoring of energy (electric, gas, oil, etc.) 
consumption, in addition to the revenue metering furnished by the 
utility, to isolate the various categories of energy use to permit 
conservation and control.
    Coefficient of Performance--Cooling means the ratio of the rate of 
heat removal to the rate of energy input in consistent units, for a 
complete cooling system or factory assembled equipment, as tested under 
a nationally recognized standard or designated operating conditions.
    Coefficient of Performance, Heat Pump--Heating means the ratio of 
the rate of heat delivered to the rate of energy input, in consistent 
units, for a complete heat pump system under designated operating 
conditions. When checking compliance with the heat pump equipment COP's 
listed in the tables in section 435.108.
    Combined Thermal Transmittance Values (See Thermal Transmittance, 
Overall.)
    Commercial Building means a building other than a residential 
building, including any building developed for industrial or public 
purposes.
    Conditioned Floor Area means the area of the conditioned space 
measured at floor level from the interior surfaces of the walls.
    Conditioned Space means a volume within a building that is designed 
to be heated and/or cooled, directly or indirectly.
    Connected Lighting Power means the power required to energize 
luminaires and lamps installed and connected to the building electrical 
service, in watts.
    Control Loop, Local means a control system consisting of a sensor, a 
controller, and a controlled device.
    Cooled Space means an enclosed area within a building that has a 
refrigeration system whose sensible capacity exceeds 5 Btu/
hft\2\ or is capable of maintaining space dry bulb temperatures 
of 90  deg.F or less at design cooling conditions.
    Daylight Sensing Control means a device that automatically regulates 
the power input to electric lighting near the fenestration to maintain 
the desired workplace illumination, thus taking advantage of direct or 
indirect sunlight.
    Dead Band (Dead Zone) means the range of values within which an 
input variable can be varied without initiating any noticeable change in 
the output variable.
    Default Assumption means the value of an input used in a calculation 
procedure when a value is not entered by the designer.
    Degree-Day means a unit, based upon temperature difference and time, 
used in estimating fuel consumption and specifying nominal heating load 
of building in winter. For any day, when the mean temperature is less 
than a reference temperature, typically 65  deg.F, there are as many 
Degree-Days as

[[Page 266]]

Fahrenheit degrees difference in temperature between the mean 
temperature for the day and the reference temperature.
    Degree Day, Cooling means a unit, based upon temperature difference 
and time, used in estimating cooling energy consumption. For any one 
day, when the mean temperature is more than a reference temperature, 
typically 65  deg.F, there are as many Degree Days as degrees Fahrenheit 
temperature difference between the mean temperature for the day and the 
reference temperature. Annual Cooling Degree Days (CDD) are the sum of 
the degree days over a calendar year.
    Degree Day, Heating means a unit, based upon temperature difference 
and time, used in estimating heating energy consumption. For any one 
day, when the mean temperature is less than a reference temperature, 
typically 65  deg.F, there are as many Degree Days as degrees Fahrenheit 
temperature difference between the mean temperature for the day and the 
reference temperature. Annual Heating Degree Days (HDD) are the sum of 
the degree days over a calendar year.
    Demand (Electric) means the rate at which electric energy is 
delivered to or by a system, part of a system, or a piece of equipment; 
expressed in kilowatts, kilovoltamperes; or other suitable units at a 
given instant or averaged over any designated period.
    Design Conditions means the exterior and interior environmental 
parameters specified for air conditioning and electrical design for a 
facility.
    Design Energy Consumption means the computed annual energy usage of 
a proposed building design.
    Design Energy Costs means the computed annual energy expenditures of 
a proposed building design.
    Dwelling Unit means a single housekeeping unit comprised of one or 
more rooms providing complete, independent living facilities for one or 
more persons including permanent provisions for living, sleeping, 
eating, cooking, and sanitation.
    Economizer, Air means a ducting arrangement and automatic control 
system that allows a cooling supply fan system to supply outside air to 
reduce or eliminate the need for mechanical refrigeration during mild or 
cold weather.
    Economizer, Water means a system by which the supply air of a 
cooling system is cooled directly and/or indirectly by evaporation of 
water, or by other appropriate fluid, in order to reduce or eliminate 
the need for mechanical refrigeration.
    Efficiency, HVAC System means the ratio of the useful energy output 
(at the point of use) to the energy input in consistent units for a 
designated time period, expressed in percent.
    Emergency System (Back Up System) means a system which exists for 
the purpose of operating in the event of failure of a primary system.
    Energy means the capability for doing work; having several forms 
that may be transformed from one to another, such as thermal (heat), 
mechanical (work), electrical, and chemical.
    Energy Cost means the annual cost of energy by unit and type of 
energy.
    Energy Cost Budget means the maximum allowable computed annual 
energy expenditure for a proposed building.
    Energy Efficiency Ratio means the ratio of net equipment cooling 
capacity in Btu/h to total rate of electric input in watts under 
designated operating conditions. When consistent units are used, this 
ratio becomes equal to COP. (See also Coefficient of Performance.)
    Energy Management System means a control system designed to monitor 
the environment and the use of energy in a facility and to adjust the 
parameters of local control loops to conserve energy while maintaining a 
suitable environment.
    Energy, Recovered (See Recovered Energy.)
    Enthalpy means a thermodynamic property of a substance defined as 
the sum of its internal energy plus the quantity PV/J, where P=pressure 
of the substance, V=its volume, and J=the mechanical equivalent of heat; 
formerly called total heat and heat content.
    Exterior Envelope (See Building Envelope.)
    Fenestration means any light-transmitting section in a building wall 
or roof. The fenestration includes glazing

[[Page 267]]

material, which may be glass or plastic; framing, mullions, muntins, and 
dividers; external shading devices; internal shading devices, and 
integral (between-glass) shading devices.
    Federal Agency means any department, agency, corporation, or other 
entity or instrumentality of the executive branch of the Federal 
Government, including the United States Postal Service, the Federal 
National Mortgage Association, and the Federal Home Loan Mortgage 
Corporation.
    Federal Building means any building to be constructed by, or for the 
use of, any Federal Agency which is not legally subject to State or 
local building codes or similar requirements.
    Footcandle means the unit of illuminance on a surface one square 
foot in area on which there is a uniformly distributed flux of one 
lumen, or the illuminance produced on a surface all points of which are 
at a distance of one foot from a directionally uniform point source of 
one candela.
    General Lighting means lighting designed to provide illumination 
throughout an area, exclusive of any provision for special local 
requirements.
    Gross Floor Area means the sum of the areas of the several floors of 
the building, including basements, mezzanine and intermediate-floored 
tiers and penthouses of headroom height, measured from the exterior 
faces of exterior walls or from the centerline of walls separating 
buildings, but excluding covered walkways, open roofed-over areas, 
porches and similar spaces, pipe trenches, exterior terraces or steps, 
chimneys, roof overhangs, and similar features.
    Gross Lighted Area means the sum of the total lighted areas of a 
building measured from the inside of the perimeter walls, for each floor 
of the building.
    Gross Roof Area means the total surface of the roof assembly exposed 
to the outside air, including all roof/ceiling and skylight components 
through which heat may flow between indoor and outdoor environments, 
excluding service openings.
    Gross Exterior Wall Area means the total surface of the wall 
assembly exposed to the outside air and enclosing a heated or cooled 
space consisting of opaque surfaces, including between floor spandrels, 
peripheral edges of flooring and window areas including sash and door 
areas but excluding vents, grilles, and pipes.
    HVAC System means the equipment distribution network and terminals 
that provide either collectively or individually the processes of 
heating, ventilating, and/or air conditioning to a building.
    HVAC System Efficiency (See Efficiency, HVAC System.)
    Heat means the form of energy that is transferred by virtue of a 
temperature difference or a change in state of a material.
    Heat Capacity means the amount of heat necessary to raise the 
temperature of a given mass one degree. Numerically the mass multiplied 
by the specific heat.
    Heated Space means a volume within a building which is provided with 
a positive supply of thermal energy by a system whose output capacity 
either exceeds 10 Btu/hft \2\ or is capable of maintaining a 
space dry-bulb temperature of 50  deg.F or more at design building 
conditions.
    Heating System Performance Factor means the total heating output of 
a heat pump during its normal annual usage period for heating, in Btu, 
divided by the total electric energy input during the same period, in 
watt-hours.
    Heat Trap means a device coupled to the inlet and outlet of a water 
heater that effectively restricts the natural tendency of hot water to 
rise in the vertical pipe during periods of standby.
    Humidistat means an automatic control device responsive to changes 
in humidity.
    Illuminance means the density of the luminous flux incident on a 
surface. It is the quotient of the luminous flux multiplied by the area 
of the surface when the latter is uniformly illuminated. (See also 
Footcandle.)
    Industrial Process means any manufacturing or other process whose 
energy requirements are not primarily intended to contribute to the 
heating, cooling, lighting, ventilation, or service hot water energy 
load requirements of the building.

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    Infiltration means the uncontrolled inward air leakage through 
cracks and crevices in any building element and around windows and doors 
of a building.
    Insolation means the rate of solar energy incident on a unit area 
with a given orientation.
    Integrated Part-Load Value means a single number figure of merit for 
airconditioning and heat pump equipment based on weighted operation at a 
set of less than full capacities for the equipment.
    Lighting Power Budget means the lighting power, in watts, allowed 
for an interior or exterior area or activity.
    Lighting Power Control Credit means the amount of interior connected 
lighting power which may be added to the Interior Lighting Power 
Allowance for lights in a space which is turned off or dimmed by 
automatic control devices.
    Lumen means SI unit of luminous flux. Radiometrically, it is 
determined from the radiant power. Photometrically, it is the luminous 
flux emitted within a unit solid angle (one steradian) by a point source 
having a uniform luminous intensity of one candela.
    Lumen Maintenance Control means a device that senses the 
illumination level and causes an increase/decrease of illuminance to 
maintain a preset illumination level.
    Luminaire means a complete lighting unit consisting of a lamp or 
lamps together with the parts designed to distribute the light, to 
position and protect the lamps, and to connect the lamps to the power 
supply.
    Luminaire Efficiency means the ratio of luminous flux (lumens) 
emitted by a luminaire to that emitted by the lamp or lamps used 
therein.
    Manual (Non-Automatic) means action requiring personal intervention 
for its control. As applied to an electric controller, non-automatic 
control does not necessarily imply a manual controller, but only that 
personal intervention is necessary. (See Automatic.)
    Marked Rating means the design load operating conditions of a device 
as shown by the manufacturer on the nameplate or otherwise marked on the 
device.
    Minimum Life Cycle Cost Methodology means the methodology specified 
in subpart A of 10 CFR part 436.
    Motor Efficiency, Nominal means the median efficiency occurring in a 
population of motors of the same manufacturer and rating.
    Multi-Family High Rise Residential Building means a residential 
building containing three or more dwelling units and is designed to be 3 
or more stories above grade.
    Multi-Family Low Rise Residential Building means a residential 
building containing three or more dwelling units and is designed not to 
exceed two stories above grade.
    Non-Depletable Energy Sources means sources of energy, excluding 
minerals, derived from incoming solar radiation; thermal chemical or 
electrical energy derived directly from conversion of incident solar 
radiation; wind, waves and tides, lake, or pond thermal differences; and 
energy derived from the internal heat of the earth.
    Occupancy Sensor means a device that detects the presence or absence 
of people within an area and causes lighting, equipment, and/or 
appliances to be adjusted accordingly.
    Opaque Areas means all exposed areas of a building envelope which 
enclose conditioned space, except fenestration areas and building 
service openings, such as vents, grilles, and pipes.
    Orientation means the directional placement of a building on a 
building site with reference to the building's longest horizontal axis, 
or, if none, with reference to the designated main entrance.
    Outdoor (Outside) Air means air taken from the exterior of the 
building that has not been previously circulated through the building. 
(See also Ventilating Air.)
    Ozone Depletion Factor means a relative measure of the potency of 
chemicals in depleting stratospheric ozone. The ozone depletion factor 
potential depends upon the chlorine and the bromine content and 
atmospheric lifetime of the chemical. The depletion factor potentials 
are normalized such that the factor for CFC-11 is set equal to unity and 
the factors for the other chemicals indicate their potential relative to 
CFC-11.

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    Packaged Terminal Air-Conditioner means a factory-selected wall 
sleeve and separate unencased combination of heating and cooling 
components, assemblies or sections, intended for mounting through the 
wall to serve a single room or zone. It includes heating capability by 
hot water, steam, or electricity.
    Packaged Terminal Heat Pump means a PTAC capable of using the 
refrigeration system in a reverse cycle or heat pump mode to provide 
heat.
    Piping means a system for conveying fluids, including pipes, valves, 
strainers, and fittings.
    Plenum means an enclosure that is part of the air handling system 
and is distinguished by having a very low air velocity. A plenum often 
is formed in part or in total by portions of the building.
    Power means, in connection with machines, the time rate of doing 
work; in connection with the transmission of energy of all types, the 
rate at which energy is transmitted; in inch-pound units, is measured in 
watts (W) or British thermal units per hour (Btu/h).
    Power Adjustment Factor means a modifying factor that adjusts the 
effective connected lighting power of a space to account for the use of 
energy conserving lighting control devices.
    Power Factor means the ratio of total watts to the root-mean-square 
(RMS) volt amperes.
    Prescribed Assumption means a fixed value of an input to the 
standard calculation procedure.
    Process Energy means energy consumed in support of a manufacturing, 
industrial, or commercial process, other than the maintenance of comfort 
and amenities for the occupants of a building.
    Process Load means the calculated or measured time-integrated load 
on a building resulting from the consumption or release of process 
energy.
    Proposed Design means a prospective design for a building that is to 
be evaluated for compliance.
    Prototype Building means a generic building design of the same size 
and occupancy type as the proposed design, which complies with the 
prescriptive requirements of the standards and has prescribed 
assumptions used to generate the energy budget concerning shape, 
orientation, HVAC, and other system designs.
    Public Facility Restroom means a restroom used by the transient 
public.
    Radiant Comfort Heating means a system in which temperatures of room 
surfaces are adjusted to control the rate of heat loss by radiation from 
occupants.
    Readily Accessible means capable of being reached quickly for 
operation, renewal, or inspections, without requiring those to whom 
ready access is requisite to climb over or remove obstacles or to resort 
to portable ladders, chairs, and so on. (See also Accessible.)
    Recooling means lowering the temperature of air that has been 
previously heated by a heating system.
    Recovered Energy means energy utilized which would otherwise be 
wasted (not contributing to a desired end use) from an energy 
utilization system.
    Reference Building means a specific building design that has the 
same form, orientation and basic systems as the proposed design and 
meets all the criteria of the prescriptive compliance method.
    Reflectance means the ratio of the light reflected by a surface to 
the light incident upon it.
    Reheating means raising the temperature of air that has been 
previously cooled either by a refrigeration or an economizer system.
    Reset means adjustment of the controller set point to a higher or 
lower value automatically or manually.
    Residential means any structure which is constructed and developed 
for residential occupancy.
    Retail Establishments means, for the purpose of determining lighting 
power limit, buildings, the primary functions of which are designed to 
be:
    (1) Type A--Jewelry Merchandising, where the minute display and 
examination of merchandise is critical.
    (2) Type B--Fine Merchandising: Fine apparel and accessories, china, 
crystal and silver, art galleries, etc., where the detailed display and 
examination of merchandise is important.
    (3) Type C--Mass Merchandising, where focused display and detailed 
examination of merchandise is important.

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    (4) Type D--General Merchandising: General apparel, variety, 
stationery, books, sporting goods, hobby, cameras, gift, luggage, etc., 
where general display and examination of merchandise are adequate.
    (5) Type E--Food & Miscellaneous: Bakeries, hardware and housewares, 
grocery, appliances and furniture, etc., where appetizing appearance is 
important.
    (6) Type F--Service Establishments, where functional performance is 
important.
    Roof means those portions of the building envelope including all 
opaque surfaces, fenestration, doors, and hatches which are above 
conditioned space and which are horizontal or tilted at less than 
45 deg. from horizontal. (See also Walls.)
    Room Air Conditioner means an encased assembly designed as a unit to 
be mounted in a window or through a wall, or as a console. It is 
designed primarily to provide free delivery of conditioned air to an 
enclosed space, room, or zone. It includes a prime source of 
refrigeration for cooling and dehumidification and means for circulating 
and cleaning air, and may also include means for ventilating and 
heating.
    Seasonal Energy Efficiency Ratio means the total cooling output of 
an air conditioner during its normal annual usage period for cooling, in 
Btu/h, divided by the total electric energy input during the same 
period, in watt-hours, as determined by 10 CFR, part 430.
    Service Systems means all energy-using or distributing components in 
a building that are operated to support the occupant or process 
functions housed therein, including HVAC, service water heating, 
illumination, transportation, cooking or food preparation, laundering or 
similar functions.
    Service Water Heating means the supply of hot water for purposes 
other than comfort heating and process requirements.
    Service Water Heating Demand means the maximum design rate of water 
withdrawal from a service water heating system in a designated period of 
time (usually an hour or a day).
    Shading Coefficient means the ratio of solar heat gain through 
fenestration, with or without integral shading devices, to that 
occurring through unshaded \1/8\ inch thick clear, double strength 
glass.
    Shell Building means a building for which the envelope is designed 
and/or constructed prior to knowing the occupancy type. (See also 
Speculative Building.)
    Speculative Building means a building for which the envelope is 
designed and/or constructed prior to the design of the lighting and/or 
HVAC systems. A speculative building differs from a shell building in 
that the intended occupancy is known for the speculative building. (See 
also Shell Building.)
    Standard Calculation Procedure means an energy simulation model, and 
a set of input assumptions, that produce estimates of annual energy 
consumption for heating, cooling, ventilation, lighting, and other uses 
and that account for the dynamic thermal performance of the building.
    System means a combination of equipment and/or controls, 
accessories, interconnecting means, and terminal elements by which 
energy is transformed so as to perform a specific function, such as 
HVAC, service water heating, or illumination.
    Tandem Wiring means pairs of luminaires operating with one lamp in 
each luminaire powered from a single two-lamp ballast contained in the 
other luminaire.
    Task Lighting means lighting that provides illumination for specific 
visual functions and is directed to a specific surface or area.
    Task Location means an area of the space where significant visual 
functions are performed and where lighting is required above and beyond 
that required for general ambient use.
    Terminal Element means a device by which the transformed energy from 
a system is finally delivered; i.e., registers, diffusers, lighting 
fixtures, faucets, etc.
    Thermal Conductance means the constant time rate of heat flow 
through unit area of a body induced by a unit temperature difference 
between the surfaces, Btu/ft\2\h deg.F or Btu/
h deg.F. It is

[[Page 271]]

reciprocal of thermal resistance. (See Thermal Resistance.)
    Thermal Mass means materials with mass heat capacity and surface 
area capable of affecting building loads by storing and releasing heat 
as the interior and/or exterior temperature and radiant conditions 
fluctuate. (See also Wall Heat Capacity.) Thermal Mass Wall Insulation 
Position:
    (1) Exterior Insulation Position means a wall having all or nearly 
all of its mass exposed to the room air with the insulation on the 
exterior of that mass.
    (2) Integral Insulation Position means a wall having mass exposed to 
both room and outside air, with substantially equal amounts of mass on 
the inside and outside of the insulation layer.
    (3) Interior Insulation Position means a wall not meeting either of 
the above definitions, particularly a wall having most of its mass 
external to an insulation layer.
    Thermal Resistance means the reciprocal thermal conductance; 1/C as 
well as 1/h, 1/U, hft\2\ deg.F/Btu.
    Thermal Transmittance means the overall coefficient of heat transfer 
from air to air. It is the time rate of heat flow per unit area under 
steady conditions from the fluid on the warm side of the barrier to the 
fluid on the cold side, per unit temperature difference between the two 
fluids, Btu/hft\2\ deg.F.
    Thermal Transmittance, Overall means the gross overall (area 
weighted average) coefficient of heat transfer from air to air for a 
gross area of the building envelope, Btu/hft\2\ deg.F. 
The thermal transmittance (U deg.) value applies to the combined effect 
of the time rate of heat flows through the various parallel paths, such 
as windows, doors, and opaque construction areas, comprising the gross 
area of one or more building envelope components, such as walls, floors, 
or roof/ceiling.
    Thermostat means an automatic control device responsive to 
temperature.
    Unconditioned Space means a volume within a building that is not 
designed to be directly or indirectly heated and/or cooled. (See 
Conditioned Space.)
    Unit Power Density means the floor area designated for a specific 
occupancy, function, or activity expressed in W/ft\2\.
    Unitary Cooling Equipment means one or more factory-made assemblies 
which normally include an evaporator or cooling coil, a compressor and 
condenser combination, and may include a heating function as well.
    Unitary Heat Pump means one or more factory-made assemblies which 
normally include an indoor conditioning coil, compressor(s) and outdoor 
coil or refrigerant-to-water heat exchanger, including means to provide 
both heating and cooling functions.
    Unlisted Space means the difference in area between the gross 
lighted area and the sum of all listed spaces.
    Variable Air Volume (VAV) HVAC System means HVAC systems that 
control the dry-bulb temperature within a space by varying the volume of 
supply air to the space.
    Ventilation means the process of supplying or removing air by 
natural or mechanical means to or from any space. Such air may or may 
not have been conditioned.
    Ventilation Air means that portion of supply air which comes from 
outside (outdoors) plus any recirculated air that has been treated to 
maintain the desired quality of air within a designated space. (See also 
Outdoor Air.)
    Visual Task means those details and objects that must be seen for 
the performance of a given activity, and includes the immediate 
background of the details or objects.
    Voluntary Performance Standards means an energy consumption goal or 
goals to be met without specification of the method, materials, and 
processes to be employed in achieving that goal or goals, but including 
statements of the requirements, criteria and evaluation methods to be 
used, and any necessary commentary.
    Walls means those portions of the building envelope enclosing 
conditioned space including all opaque surfaces, fenestration and doors, 
which are vertical or tilted at an angle of 45 deg. from horizontal or 
greater. (See also Roof.)
    Wall Heat Capacity means the sum of the products of the mass of each 
individual material in the wall per unit

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area of wall surface times its individual specific heat, Btu/F. (See 
Thermal Mass.)
    Watt means a unit of power. One watt is produced when one ampere, 
flows at an amp of one volt (unity power factor). (See also Power.)
    Zone means a space or group of spaces within a building with 
heating, cooling, and/or lighting requirements sufficiently similar so 
that desired conditions can be maintained throughout by a single 
controlling device.
    (b) For definitions not found in paragraph (a) of this section, the 
1986 edition of ``Terminology of Heating and Ventilation, Air-
Conditioning, and Refrigeration'' as published by the American Society 
of Heating, Refrigeration, and Air-Conditioning Engineers, Inc. (ASHRAE) 
shall apply to these standards.
    (c) For purposes of this subpart, the acronyms and abbreviations 
shall have the following meanings:

Ao--Total Building Floor Area.
Awall, roof, etc.--Area of a Specific Building component.
AAMA--American Aluminum Manufacturers Association.
ACP--Alternative Component Package.
AF--Area Factor.
AFUE--Annual Fuel Utilization Efficiency.
AHAM--Association of Home Appliance Manufacturers.
ALP--Adjusted Lighting Power.
ANSI--American National Standards Institute.
ARI--Air-Conditioning and Refrigeration Institute.
ASHRAE--American Society of Heating, Refrigeration and Air Conditioning 
    Engineers, Inc.
ASME--American Society of Mechanical Engineers.
ASTM--American Society for Testing and Materials.
Btu--British Thermal Unit.
Btu/h--British Thermal Units Per Hour.
C--Thermal Conductance.
Cc--Cooling Criteria.
CDD--Cooling Degree-Days.
CDD50--Cooling Degree-Days Base 50  deg.F.
CDD65--Cooling Degree-Days Base 65  deg.F.
CDH--Cooling Degree-Hours.
CDH80--Cooling Degree-Hours Base 80  deg.F.
CEEU--Cost Equivalent Energy Units.
cfm--Cubic Feet Per Minute.
CFR--Code of Federal Regulations.
CLP--Connected Lighting Power.
COP--Coefficient of Performance.
CU--Coefficient of Utilization.
DOE--U.S. Department of Energy.
DR--Average Daily Temperature Range for Warmest Month.
EER--Energy Efficiency Ratio.
ELPA--Exterior Lighting Power Allowance.
EPD--Equipment Power Density.
oF--Degrees-Fahrenheit
GLA--Gross Lighted Building Area.
HC--Heat Capacity.
HDD--Heating Degree-Days.
HDD50--Heating Degree-Days Base 50  deg.F.
HDD65--Heating Degree-Days Base 65  deg.F.
HI--Hydronics Institute.
HID--High Intensity Discharge.
hp--Horsepower (force).
HPS--High Pressure Sodium.
HSPF--Heating System Performance Factor.
HVAC--Heating, Ventilating and Air Conditioning.
IEEE--Institute of Electrical and Electronics Engineers, Inc.
IES--Illuminating Engineering Society of North America.
ILPA--Interior Lighting Power Allowance.
IPLV--Integrated Part Load Value.
ILD--Internal Load Density.
IRF--Internal Reflecting Film.
ISSC--Internal Shading System Coefficient.
Kh--Daylighting Factor.
kVA--Kilo-Volts Amperes.
kW--Kilo-Watts.
LPB--Lighting Power Budget.
LPCC--Lighting Power Control Credits.
LS--Listed Space.
NWMA--National Woodwork Manufacturers Association.
o.c.--On Center.
OLA--Occupant Load Adjustment.
OMB--U.S. Office of Management and Budget.
Pb--Base Unit Lighting Power Allowance.
PAF--Power Adjustment Factor.
PF--Projection Factor.

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PTAC--Packaged Terminal Air-Conditioner.
R--Thermal Resistance.
r--Thermal Resistivity.
Sea--Shading Horizontal Adjustment Factor.
SC--Shading Coefficient.
SEER--Seasonal Energy Efficiency Ratio.
Uo--Average Thermal Transmittance.
UL--Underwriter's Laboratories, Inc.
ULPA--Unit Lighting Power Allowance.
UPD--Unit Power Density.
VAV--Variable Air Volume.
VCP--Visual Comfort Probability.
VDT--Visual Display Terminal.
VLT--Visible Light Transmittance.
VSEW--Vertical Surface of the Facade.
W.C.--Water Column.
W--Watts.
W/ft \2\--Watts Per Square Foot.
W/lin. ft--Watts Per Linear Foot.
Wh--Window Height.
WWR--Window Wall Ratio.
WYEC--Weather Year for Energy Conservation Calculations.



Sec. 435.100  Explanation of numbering system for standards.

    (a) For purposes of this subpart, a derivative of two different 
numbering systems will be used.
    (1) For the purpose of designating a section, the system employed in 
the Code of Federal Regulations (CFR) will be employed. The number 
``435,'' which signifies Part 435, Chapter II of Title 10, Code of 
Federal Regulations, is used as a prefix for all section headings. The 
suffix is a two or three digit number beginning with ``.97.'' For 
example, the lighting section of the standards is numbered Sec. 435.103.
    (2) Within each section, a numbering system common to many national 
voluntary consensus standards is used. This system was chosen because of 
its commonality among the buildings industry. A decimal system is used 
to denote sections and subsections. For example, Sec. 9.4.2 refers to 
section 9, subsection 4, paragraph 2.
    (b) The hybrid numbering system is used for two purposes:
    (1) The use of the Code of Federal Regulation's numbering system 
allows the researcher using the CFR easy access to the standards.
    (2) The use of the second system allows the builder, designer, 
architect or engineer easy access because they are used to the system 
employed.
    (c) To avoid confusion in the use of the two systems, Sec. 435.101 
through Sec. 435.112, the substantive technical sections of the 
standards, have been numbered so that the last two digits in the suffix 
designate the section. For example, once the reader enters the body of 
Sec. 435.105: Building Envelope, the number ``5'' is used to designate 
the section. References throughout the standard do not employ the 
``435'' prefix but rather refer to the section by the single or double 
digit numbers from 1-12.



Sec. 435.101  Implementation and compliance procedures for Federal agencies.

    Alternative methods of achieving compliance are illustrated in 
Figure 1.1-1.

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[GRAPHIC] [TIFF OMITTED] TC04OC91.080



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                             1.1  Compliance

    1.1.1  The head of each Federal agency responsible for the 
construction of Federal buildings shall adopt such procedures as may be 
necessary to assure that the design of the building shall:
    1.1.1.1  be undertaken in a manner that provides for appropriate 
consideration of the Principles of Effective Energy Building Design 
prescribed in Secs. 2.0, 3.2, 4.2, 5.2, 6.2, 7.2, 8.2, 9.2 and 10.2;
    1.1.1.2  comply with the minimum requirements of Secs. 3.3, 4.3, 
5.3, 6.3, 7.3, 8.3, 9.3 and 10.3; and
    1.1.1.3  meet or exceed, based upon the analysis of life-cycle cost-
effectiveness required by Sec. 1.1.2 below, the following additional 
requirements:
    1.1.1.3.1  the lighting design shall meet either the prescriptive 
requirements of Sec. 3.4 or the system performance requirements of 
Sec. 3.5,
    1.1.1.3.2  the building envelope design shall meet either the 
prescriptive requirements of section 5.4 or the system performance 
requirements of section 5.5, and
    1.1.1.3.3  the heating, ventilating and air conditioning systems 
design shall meet the prescriptive requirements of section 7.4, and
    1.1.1.3.4  the service water heating systems design shall meet the 
prescriptive requirements of section 9.4.
    1.1.2  In lieu of meeting the provisions of section 1.1.1 above, the 
building design shall meet the criteria of the building energy method of 
section 11.0 or 12.0, Building Energy Compliance Alternatives I and II.
    1.1.3  The head of each Federal agency responsible for the 
construction of Federal buildings shall also assure that the decision-
making process for the design of the building shall employ the 
methodology for estimating and comparing the life-cycle cost of Federal 
buildings and for determining life-cycle cost-effectiveness prescribed 
in subpart A of 10 C.F.R. part 436.

                   1.2  General Approach to Compliance

    1.2.1  The standards, in addition to minimum requirements, establish 
three alternate methods to determine whether the design has achieved 
compliance.
    1.2.2  There are several alternative methods of achieving compliance 
provided for in the standards:
    1.2.2.1  Prescriptive (Sections 3.4, 5.4, 7.4 and 9.4),
    1.2.2.2  System Performance (Sections 3.5 and 5.5), or
    1.2.2.3  Building Energy (Section 11.0 or 12.0).
    1.2.2.4  The criteria established for each of the methods allow for 
designs that are roughly equivalent in terms of energy conservation. The 
equivalency of the methods can be demonstrated by designing a building 
using the Prescriptive approach, then modeling the building using either 
the System Performance or Building Energy criteria calculation 
procedures and comparing results.
    1.2.3  Compliance with these standards shall be demonstrated by 
meeting the set of minimum requirements defined in Sections 3.2, 3.3, 
4.2, 4.3, 5.2, 5.3, 6.2, 6.3, 7.2, 7.3, 8.2, 8.3, 9.2, 9.3, 10.2, and 
10.3 and one of the alternative methods.

                 1.3  How To Select a Compliance Method

    1.3.1  Use the Prescriptive method when the minimum amount of 
calculation and effort to achieve compliance is of primary concern. Its 
requirements can be readily specified in construction documents and are 
easily reviewed by building code enforcement authorities. The 
Prescriptive method permits few trade-offs or optimization procedures, 
but does permit several energy-effective and cost-effective alternate 
construction options to be used. See Figure 1.1-2.
    1.3.2  Use the System Performance method when more innovative design 
is required, or when the Prescriptive method does not provide the 
necessary design flexibility. It requires more manual calculations than 
the Prescriptive method. See Figure 1.1-2
    1.3.3  Use either of the Building Energy methods (Sections 11.0 or 
12.0) when the most innovative design concepts are being considered. The 
Building Energy methods allow the trade-off of energy among the building 
systems as long as the total calculated design annual energy consumption 
does not exceed the limit prescribed. It will, in general, require the 
use of a computer

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program to simulate the operation of the various systems and to model 
building design energy use in accordance with the building loads and the 
proposed schedules of operation. See Figures 11-1 and 12-1.

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[GRAPHIC] [TIFF OMITTED] TC04OC91.081



[[Page 278]]



Sec. 435.102  Principles of effective energy building design.

                              2.1  General

    2.1.1  This section complements the other sections of the standards 
by providing general principles of effective building design. The 
intention of this section is to provide ideas on how to improve the 
integration of the building's major energy using subsystems in a cost-
effective manner without compromising the building's intended functional 
use or internal environmental conditions. In addition, more narrowly 
focused principles are included in sections 3.0 through 10.0.
    2.1.2  To comply with the principles of effective design, designers 
shall use their professional judgment to identify the building's most 
significant energy requirements and select appropriate solutions from 
the general strategies found in this section and the more specific 
strategies found in sections 3.0 through 10.0.

         2.2  Identification of Significant Energy Requirements

    2.2.1  Before energy design strategies can be developed for a 
commercial or multi-family high rise residential building, a clear 
picture of its most significant energy requirements must be developed. 
The basic approach to achieving an energy conscious design is to improve 
the energy efficiency of the building by shifting or reducing loads, 
improving transport systems, and providing efficient environmental 
systems and controls. This is accomplished by first determining which 
aspects of the building's energy requirements are the most significant, 
those that would result in the largest annual energy costs to the 
building owner if energy conserving strategies were otherwise not 
applied. For example, for a given building, the largest annual energy 
cost component may be lighting, followed by cooling, heating, and 
ventilation, respectively. In this example electricity would be the 
major energy source. Therefore, peak time-rates of energy use (i.e., 
peak power demands), as well as direct energy use, would have to be 
included in any energy analysis. Consideration of peak demands will 
reduce the requirement for oversizing of energy systems in the building 
and will also have the added impact of helping to reduce the need for 
additional, low utilization peak capacity on utility grids.
    2.2.2  Once the most significant cost components of the building's 
energy requirements have been determined, apply the strategies and 
design solutions listed below and those that appear in each of the 
following sections of the standards. ln the example noted above, 
lighting solutions would be addressed first, followed by cooling, 
heating, and then ventilation.
    2.2.3  Research results indicate that the most significant energy 
uses for any given commercial or multi-family high rise residential 
building are generally not accurately identifiable by professional 
intuition. Therefore, use shall be made of one of the several available 
analysis tools, some of which are microcomputer-based.

                    2.3  General Solution Strategies

    2.3.1  Consider energy efficiency from the initiation of the 
building design process, since design improvements are most easily and 
effectively made at that time. Seek the active participation of members 
of the design team early in the design process, including the owner, 
architect, engineer, and builder, if possible. Consider building 
attributes such as building function, form, orientation, window/wall 
ratio, and HVAC system types early in the design process. Each has major 
energy implications. These considerations most likely will result in 
solutions that minimize both construction and operation costs, including 
energy demand charges.
    2.3.2  Address the building's energy requirements in the following 
sequence: minimize impact of the building functional requirements; 
minimize loads; improve the efficiency of distribution and conversion 
systems; and integrate building subsystems into an efficient whole. Each 
of these is discussed below.
    2.3.2.1  Minimize impact of functional requirements by identifying 
major areas that offer energy efficiency opportunities based on the

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building's functional use, human occupancy requirements, and site 
characteristics. These areas will vary considerably from building to 
building depending upon function and service requirements, and shall be 
considered when applying the criteria of these standards.
    2.3.2.2  Minimize loads by analyzing the external and internal loads 
to be imposed on building energy-using subsystems, both for peak-load 
and part-load conditions. Include a determination of how the building 
relates to its external environment in the analysis, either adaptively 
or defensively. Consider changes in building form, aspect ratio, and 
other attributes that reduce, redistribute, or delay (shift) loads.
    2.3.2.3  Improve subsystems by analyzing the diversified energy and 
demand (power) requirements of each energy-using subsystem serving the 
functional requirements of the building. Consider static and dynamic 
efficiency of energy conversion and energy transport subsystems and 
include consideration of opportunities to reclaim, redistribute and 
store energy for later use.
    2.3.2.4  Alternative ways to integrate systems into the building 
will be accomplished by considering both power and time components of 
energy use. Identify, evaluate, and design each of these components to 
control the overall design energy consumption. The following shall be 
considered when integrating major building subsystems:
    2.3.2.4.1  Address more than one problem when developing design 
solutions, and make maximum use of building components already present 
for non-energy reasons (e.g., windows, structural mass);
    2.3.2.4.2  Examine design solutions that consider time since 
sufficient energy may already be present from the environment (e.g., 
solar heat, night cooling) or from internal equipment (e.g., lights, 
computers) but available at different times than needed. Thus, active 
(heat pumps with water tanks) and passive (building mass) storage 
techniques may be considered;
    2.3.2.4.3  Examine design solutions that consider anticipated space 
utilization. For example, in large but relatively unoccupied spaces, 
task or zone heating may be considered. Transporting energy (light and 
heat) from locations of production and availability to locations of need 
shall be considered instead of the purchase of additional energy;
    2.3.2.4.4  Never reject waste energy at temperatures usable for 
space conditioning or other practical purposes, without calculating the 
economic benefit of energy recovery;
    2.3.2.4.5  Consider design solutions that provide more comfortable 
surface temperatures or increase availability of controlled daylight in 
buildings in which human occupancy is a primary function;
    2.3.2.4.6  Use design solutions that are easily understood as they 
have a greater probability of use by building occupants; and
    2.3.2.4.7  Where the functional requirements of the building may 
change, the installed environmental system should be designed to be 
adaptable to meet functional changes that can be anticipated as well as 
providing flexibility to meet indeterminate future changes in use, 
occupancy or other functions.



Sec. 435.103  Lighting.

                              3.1  General

    3.1.1  This section contains principles of design, a set of minimum 
requirements, and two alternative compliance procedures, prescriptive 
and systems performance, for the design of building lighting and 
lighting control systems, and includes provisions for daylighting 
credit. The procedures in this section are solely for use in 
establishing lighting design budgets and are not intended for use as 
lighting design procedures.
    3.1.2  Scope. The following are covered by this section:
    3.1.2.1  Interior spaces of buildings;
    3.1.2.2  Building exteriors and exterior areas, such as entrances, 
exits, and loading docks; and
    3.1.2.3  Roads, grounds, parking, and other exterior areas where 
lighting is energized through the building electrical service.
    3.1.3  Exemptions. The following are exempt from these standards:

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    3.1.3.1  Outdoor manufacturing, commercial greenhouses, and 
processing facilities;
    3.1.3.2  Lighting power for theatrical production studios and 
stages, television broadcasting studios, audio-visual presentation, and 
entertainment facilities in spaces such as stages, hotel ballrooms, 
nightclubs, discos, and casinos, and where lighting is an essential 
technical element for the function performed;
    3.1.3.3  Specialized luminaires for medical and dental purposes;
    3.1.3.4  Outdoor athletic facilities;
    3.1.3.5  Lighting power for display lighting required for art 
exhibits or displays in galleries, museums and monuments;
    3.1.3.6  Exterior lighting for public monuments;
    3.1.3.7  Special lighting needs for research;
    3.1.3.8  Lighting power for lighting used solely for indoor plant 
growth during the hours of 10:00 p.m. to 6:00 a.m.;
    3.1.3.9  Emergency lighting that is automatically ``off'' during 
normal operation;
    3.1.3.10  High risk security areas or any area identified by local 
ordinances or regulations or by security or safety personnel as 
requiring additional lighting;
    3.1.3.11  Lighting power densities for spaces with enhanced lighting 
specifically designed for primary use by the visually impaired, hard of 
hearing, or for senior citizens;
    3.1.3.12  Lighting for signs;
    3.1.3.13  Store-front exterior-enclosed display windows in retail 
facilities; and
    3.1.3.14  Lighting for dwelling units.
    3.1.4  Building Lighting Power Allowance. The lighting power 
allowance for a building consists of the Exterior Lighting Power 
Allowance (ELPA), in accordance with section 3.3, plus the Interior 
Lighting Power Allowance (ILPA) in accordance with section 3.4 or 3.5. 
This lighting power allowance is the upper limit to which the building 
can be designed, based on the criteria of the compliance alternative 
chosen.
    3.1.4.1  The prescriptive criteria in section 3.4 provides a single 
compliance procedure based on calculating a lighting budget by building 
type or major area type within which a designer can flexibly design a 
lighting solution. To obtain credit for specific lighting energy 
conservation measures, use section 3.5, section 11.0, or section 12.0.
    3.1.4.2  The systems performance criteria in section 3.5 provides a 
more complex compliance procedure based on calculating a lighting budget 
by activity or spaces within which the designer can flexibly design a 
lighting solution and receive credit for energy conserving controls and 
daylighting measures. To receive credit for more complex lighting 
conservation measures use section 11.0 or 12.0.
    3.1.5  Credit for Daylighting. Daylighting credit, for reduced use 
of electric lighting energy resulting from the use of automatic lighting 
control devices in conjunction with fenestration (e.g., windows and 
skylights), may be taken if the systems performance alternative in 
section 3.5 is chosen. However, if such daylighting credit is to be 
applied to other building subsystems, such as use of additional 
fenestration area, section 11.0 or 12.0 must be used. Thermal credit 
provisions for daylighting are found in Section 5.0.
    3.1.6  Compliance. A building shall be considered in compliance with 
this section if the following conditions are met:
    3.1.6.1  The minimum requirements of section 3.3 are met;
    3.1.6.2  The exterior lighting power to be installed is not greater 
than the Exterior Lighting Power Allowance (ELPA), calculated using 
Equation 3.3-1;
    3.1.6.3  The interior lighting power to be installed is not greater 
than the Interior Lighting Power Allowance (ILPA), based on either the 
Prescriptive Criteria in section 3.4 or the Systems Performance Criteria 
in section 3.5.
    3.1.6.4  Tradeoffs between ILPA and ELPA are not allowed. Tradeoffs 
of the interior Lighting Power Budgets (LPB) among interior spaces are 
allowed as long as the total Connected Lighting Power (CLP) within the 
building does not exceed the Interior Lighting Power Allowance (ILPA) 
and Lighting Power Control Credits (LPCC) are used only for connected 
lighting power in those spaces for which credit is claimed.

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Tradeoffs of exterior lighting power budgets among exterior areas are 
allowed as long as the total Connected Lighting Power (CLP) of exterior 
lighting does not exceed the Exterior Lighting Power Allowance (ELPA) 
and the allowance for the building exterior surfaces is not exceeded.
    3.1.7  Multi-Building Facilities. The total lighting power 
allowances for each building in a multi-building facility shall be 
calculated separately.

                        3.2  Principles of Design

    3.2.1  The lighting system is designed to provide a productive, 
safe, and pleasing visual environment for the intended use of the space. 
However, lighting is both a major energy end use in commercial buildings 
(especially in office buildings) and a major contributor to internal 
loads by increasing cooling loads and decreasing heating loads. 
Therefore, it is important to produce a design that meets the lighting 
functional criteria of the space as well as one that minimizes energy 
use. Recommended maintained illuminance levels for visual tasks and 
surrounding lighted areas are included in the IES Lighting Handbook, 
Applications (1983) or Reference (1985). Principles of energy conserving 
design within that context are described below.
    3.2.2  The following Design Concepts shall be considered in the 
design of lighting that is both energy efficient and visually effective.
    3.2.2.1  Energy use is determined by the lighting load (demand 
power) and its duration of use (time). Minimize the actual demand load 
rather than just the apparent connected load, and control the load 
rather than just switching, if switching may adversely affect the 
quality of the luminous environment.
    3.2.2.2  Consider daylighting along with the proper use of controls 
so that the savings from electric lighting can be realized. Design 
should be sensitive to window glare, sudden changes in luminances, and 
general use acceptance of controls. Window treatment (blinds, drapes and 
shades) and glazing should be carefully selected to control direct solar 
penetration and luminance extremes while still maintaining view and 
daylight penetration.
    3.2.2.3  Design lighting systems so that illumination required for 
tasks is primarily limited to the location of the task and from a 
direction that will minimize direct glare and veiling reflections on the 
task. For example, the ideal positioning of work stations is between the 
rows of ceiling-mounted luminaires with the direction of view parallel 
to the primary task. In densely-occupied work spaces, uniform 
distribution of general lighting may be most appropriate. Where 
supplementary task illumination is necessary, general or ambient 
illumination should not be lower than a third of the luminance required 
for the task. This will help maintain luminance rates that are visually 
comfortable.
    3.2.2.4  Use task lighting, whenever possible, to accommodate the 
need for higher lighting levels due to task visual difficulty, glare, 
intermittently changing requirements, or individual visual differences 
(poor and aging eyesight).
    3.2.2.5  Group similar activities so high illuminance or special 
lighting for particular tasks are localized in certain rooms or areas, 
and so that less efficient fixtures required for critical glare control 
do not have to be installed uniformly when they are only required 
sparsely.
    3.2.2.6  When indirect lighting is appropriate, use schemes that 
create reasonably uniform ceiling luminances. If this is achieved, work 
spaces may be located anywhere and occupants may face in any direction 
without being subject to excessive veiling reflection on the tasks. The 
indirect system may allow more effective use of the space than other 
types of lighting systems. However, indirect lighting systems generally 
have lower utilization factors, and may require increased ceiling height 
to provide uniform ceiling luminance.
    3.2.2.7  Use lighting controls throughout that maintain proper 
lighting levels when and where it is needed but also allow reductions in 
lighting when tasks are less critical, or spaces are not fully occupied. 
The designer must consider user acceptance of control strategies to 
maximize energy efficiency.

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    3.2.2.8  Use lower levels of ambient lighting in situations such as 
merchandising, where the contrast between accent lighting and ambient 
lighting is critical. Accent lighting shall not exceed five (5) times 
the ambient level. Consider fewer, more effectively-accented displays, 
rather than more ineffectively-accented ones.
    3.2.3  The following guidelines identify Fixture and Lamp selection 
strategies to be considered in the selection of luminaires and lamps for 
inclusion in an energy efficient, visually-effective design:
    3.2.3.1  Consider the use of more efficient equipment with 
appropriate distribution, glare control and visual characteristics. 
Utilize fixture designs that will provide high lighting efficiency while 
meeting the other lighting objectives of the installation.
    3.2.3.2  Review visual comfort probability (VCP) data, available 
from manufacturers, for specific luminaires when minimizing discomfort 
glare is a criterion.
    3.2.3.3  Consider luminaire construction that minimizes light loss 
due to dirt collection.
    3.2.3.4  Investigate the use of dimmers to reduce energy consumption 
when the system is new and capable of providing more light than the 
average depreciated design value.
    3.2.3.5  Use more efficient lamps with appropriate luminous 
efficacy, life expectancy and spectrum distribution and color rendering 
characteristics.
    3.2.3.6  Use more efficient ballasts for fluorescent and HID lamps 
with appropriate ballast factors, power factor, noise rating, starting 
and restarting characteristics.
    3.2.3.7  Use luminaires with heat removal and heat recovery 
capabilities, thereby allowing the lighting equipment to operate more 
efficiently at a lower ambient temperature.
    3.2.3.8  Limit the use of lower efficiency lamps, such as 
incandescent, to only those applications where their color, lumens or 
distribution characteristics cannot be duplicated by other sources. Due 
to their lower efficiency, the use of ``extended service'' incandescent 
lamps should be limited to those applications where fixtures are 
difficult to reach and/or maintenance costs for revamping will be 
excessive.
    3.2.4  Space Design
    3.2.4.1  It is important to carry through on the lighting design 
when completing the interior design. Reduce light absorption by 
encouraging the use of lighter finishes, particularly on ceilings, walls 
and partitions. Select colors and surface materials so that their 
reflectance values are within the ranges recommended by the IES. This 
will aid the efficient use of light and help to provide comfortable 
luminance ratios.
    3.2.4.2  In offices with visual display terminals (VDT) that are 
susceptible to reflections, it may be necessary to use reflectances for 
some room surfaces at the low end of the recommended ranges to reduce 
unwanted reflections on the screens. Where practical, treat the screens 
of VDTs with anti-glare materials to avoid veiling reflection.

                        3.3  Minimum Requirements

    3.3.1  Lighting Controls.
    3.3.1.1  All lighting shall be provided with manual, automatic, or 
programmable controls.
    3.3.1.1.1  Exception to Section 3.3.1.1:
    (a) controls for emergency or exit lighting.
    3.3.1.2  Minimum Number of Lighting Controls. Each space enclosed by 
walls or ceiling-height partitions shall be provided with control(s) 
that, together or alone are capable of controlling all lights within 
that space, excluding those requiring continuous operation for security 
purposes.
    3.3.1.2.1  The minimum number of controls shall not be less than:
    (a) One lighting control for each space; and
    (b) One lighting control for each task or group of task locations 
within an area of 450 ft\2\ or less.
    3.3.1.2.2  Equivalent Number of Controls. The minimum number of 
controls may be reduced, by using an equivalent number of controls from 
Table 3.3-1, where control types listed in Table 3.3-1 are used. 
However, the minimum number of controls may not be reduced to less than 
one control for each 1500 W of connected lighting power.

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    3.3.1.2.3  Exceptions to Section 3.3.1.2:
    (a) Lighting control requirements for spaces that must be used as a 
whole, such as public lobbies of office buildings, hotels, and 
hospitals; retail and department stores and warehouses, storerooms, and 
service corridors under centralized supervision, shall be controlled by 
a lesser number of controls, but not less than one control for each 1500 
W of connected lighting power, or a total of three (3) controls, 
whichever is greater. Lighting in such spaces shall be controlled in 
accordance with the work activities.
    (b) Hotel and motel guest rooms shall have one or more master 
controls at the main entry door that turn off all permanently wired 
lighting fixtures and lighting and television receptacles. For multiple 
room suites, controls at the entry of each room, in lieu of a master 
switch, will meet these requirements.
    3.3.1.3  Controls provided for task areas, if readily accessible, 
may be mounted as part of the task lighting luminaire.
    3.3.1.4  Control of the same load from more than one location shall 
not be credited as additional control points.
    3.3.1.5  All lighting controls shall be readily accessible to 
personnel occupying or using the space. Exceptions are automatic 
controls, programmable controls, lighting for safety hazards and 
security, controls requiring trained operators, and those controls for 
spaces that must be used as a whole.
    3.3.1.6  Exterior lighting shall be automatically controlled by 
timer, photocell, or combination of timer and photocell. Timers shall be 
of the automatic type or otherwise capable of adjustment for seven days 
and for seasonal daylight schedule variations. All time-controllers 
shall be equipped with back-up mechanisms to keep time during a four 
hour power outage.
    3.3.1.7  When the building is served by an energy management system, 
programmable controls, shared tenant services that affect interior 
environments, or ``intelligent building'' systems, provisions shall be 
made to incorporate lighting controls into the system if a separate 
automatically-controlled lighting system is not provided.
    3.3.2  Fluorescent Lamp Ballasts.
    3.3.2.1  Fluorescent lamp ballasts shall have a ballast efficacy 
factor not less than that shown in Table 3.3-2.
    3.3.2.1.1  Exception to 3.3.2.1: Ballasts not included in Table 3.3-
2 and ballasts designed for use with dimming controls are excluded from 
these criteria.

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[GRAPHIC] [TIFF OMITTED] TC04OC91.083


    3.3.2.2  The Ballast Efficacy Factor shall be calculated in 
accordance with Equation 3.3-1:

                                                                        
                                                    BF                  
              BEF=               ---------------------------------------
                                                Power Input             
                                                                        

                             Equation 3.3-1

Where:

BEF=Ballast Efficacy Factor.
BF=Ballast Factor, expressed as a percent.
Power Input=Total Wattage of combined lamps and ballasts

    3.3.2.2.1  Tests for ballast factor and power input shall be in 
accordance with ANSI Standard C-82.2-1984 ``Method of Measurement for 
Fluorescent Lamp Ballasts'', using ``Standard'' F40T1240A, F96T12 75 
watt, or F96T12H0 110 watt lamps.
    3.3.2.3  One-lamp or three-lamp fluorescent luminaires shall be 
tandem-wired to eliminate unnecessary use of single lamp ballasts if 
they are: used for general lighting; recess mounted within ten feet 
center-to-center of each other; or pendant or surface mounted within 1 
ft of each other, and within the same room. Tandem wiring consists of 
pairs of luminaires operating with one lamp in a luminaire powered from 
a single two-lamp ballast contained in a second luminaire.
    3.3.2.3.1  Exception to Section 3.3.2.3:
    (a) Three-lamp ballasts may be used.
    3.3.2.4  Fluorescent lamp ballasts shall have a power factor equal 
to or greater than 80%.
    3.3.2.4.1  Exception to 3.3.2.4: Ballasts for circline and compact 
fluorescent lamps and low wattage, high intensity discharge lamps of 
less than 100 watts.

           3.4  Lighting--Prescriptive Compliance Alternative

                             3.4.1  Purpose

    3.4.1.1  This subsection provides a prescriptive procedure for 
determining an exterior lighting power allowance and the Interior 
Lighting Power Allowances for illumination systems installed in six 
types of new buildings. It is intended for use with buildings having 
simple lighting requirements and where the minimum amount of calculation 
and effort to achieve compliance is of primary concern. For other 
building types, to receive credit for switching, daylighting, or other 
trade-offs, or to receive credit for lighting optimization, use section 
3.5, section 11.0, or section 12.0.

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    3.4.1.2  This section also serves as the basis for calculating the 
skylight area in section 5.3.9.6, and may be used for estimating the 
lighting heat gain for calculating the internal load density in Equation 
5.4-1 and section 5.5.6.2.

                             3.4.2  General

    3.4.2.1  This method for compliance prescribes a total allowable 
Unit Lighting Power Allowance (ULPA) for interior lighting for the 
building type/area as listed in Table 3.4-1. There is no recognition of 
specific makeup of spaces and activities within the building.

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[[Page 287]]

                3.4.3  Exterior Lighting Power Allowance

    3.4.3.1  Building exteriors and exterior areas, as defined in 
section 3.1.2.2, and roads, grounds, parking, and other exterior areas, 
defined in section 3.1.2.3, shall have a lighting power density not to 
exceed the Exterior Lighting Power Allowance (ELPA), which is the sum of 
the allowances for each of the areas listed above, as calculated by 
Equation 3.4-1 using unit power densities from Table 3.4-2.
[GRAPHIC] [TIFF OMITTED] TC04OC91.085

ELPA= DOi UPDDi+ Ai 
          UPDAi= [(DO1 x UPDD1 
          . . .+DOn x UPDDn)+ 
          (A x UPDA1  . . . 
          An x UPDAn)]

                             Equation 3.4-1

Where:
ELPA=Exterior lighting power allowance, in Watts.

[[Page 288]]

i=numerical subscript (1,2, . . . .  n) for each occurrence of exterior 
          openings or exterior areas of the building.
n=total number of occurrences of exterior openings or areas of the 
          building.
DO=Door opening, linear feet.
UPDD=Unit power density for the door, W/lin. ft, from Table 
          3.4-2.
UPDA=Unit power density for the area in W/ft \2\, from Table 
          3.4-2.
A=Exterior area in ft2.

                3.4.4  Interior Lighting Power Allowance

    3.4.4.1  The Interior Lighting Power Allowance (ILPA) shall be 
calculated using the prescriptive Unit Lighting Power Allowances (ULPA) 
in Table 3.4-1. First, determine if the predominant function of the 
proposed building is one of the six building types listed in Table 3.4-
1. If not, section 3.5, 11.0, or 12.0 must be used. Next, determine 
whether the proposed design has secondary functions that are 10% or more 
of the gross lighted area of the building and are listed in Table 3.4-1. 
If so, the designer has the option of using the predominant building 
function to calculate the ILPA or using the calculation method for 
multiple-use buildings in section 3.4.4.1.2 below.
    3.4.4.1.1  If the proposed building has only one function, has no 
secondary functions with 10% or more of the gross lighted area, or the 
designer chooses to determine the ILPA based on only one function, 
Equation 3.4-2 shall be used to determine the building ILPA. First, 
select the appropriate building type in Table 3.4-1, and the appropriate 
column for the Gross Lighted Area (GLA) of the proposed building. This 
value is the Unit Lighting Power Allowance (ULPA). Determine the ILPA by 
multiplying the ULPA by the GLA as shown in Equation 3.4-2.
ILPA=ULPA x GLA

                             Equation 3.4-2

Where:
ILPA=Interior Lighting Power Allowance, in Watts.
ULPA=Unit Lighting Power Allowance, in W/ft\2\,from Table 3.4-1.
GLA=Gross Lighted Area of the Proposed Building, in ft\2\.
    3.4.4.1.2  If a building design has more than one function listed in 
Table 3.4-1, such as an office building with parking and retail stores, 
with more than 10% of the gross lighted area, Equation 3.4-3 may be used 
to calculate the building Interior Lighting Power Allowance (ILPA). 
First, determine the gross lighted area of the building (GLA) and the 
gross lighted area for each qualifying secondary function 
(GLAf) in the building. Select the ULPA from Table 3.4-1 
under the column corresponding to the gross lighted area of the entire 
proposed building and multiply it by the gross lighted area of that 
function. Sum the products to determine the building ILPA, as shown in 
Equation 3.4-3 below.
ILPA=ULPAp GLAp+ (ULPAi 
          GLAi)= [ULPAp 
          GLAp+(ULPAf1 GLAf1+ 
          ULPAf2 GLAf2 . . . ULPAfn 
          GLAf)]

                             Equation 3.4-3

Where:

i=numerical subscript (1,2, . . . n) for each secondary function with 
          10% or more of the gross lighted area of the building.
n=number of secondary functions.
ILPA=Interior Lighting Power Allowance, in Watts.
ULPAp=Unit Lighting Power Allowance of the predominant 
          function based on the gross lighted area of the entire 
          building, from Table 3.4-1, in W/ft2.
ULPAf=Unit Lighting Power Allowance of qualifying secondary 
          functions based on the gross lighted area of the entire 
          building, from Table 3.4-1, in W/ft2.
GLAp=Gross lighted area of the predominant function of the 
          proposed building.
GLAf=Gross lighted area of each qualifying secondary 
          function.

    3.4.4.3  Lighting compliance in partially defined speculative 
buildings. For defined functions in partially defined speculative 
buildings, the total connected lighting power shall not exceed the 
interior lighting power allowance for that portion of the building. When 
determining the ILPA for those cases, the gross lighted area of the 
entire building must be used.

        3.5  Lighting--System Performance Compliance Alternative

                             3.5.1  Purpose

    3.5.1.1  This subsection provides a procedure for determining the 
maximum lighting power allowance for buildings, roads and grounds. It 
allows the designer to take credit for the use

[[Page 289]]

of daylighting and other lighting controls. It also serves as a basis 
for estimating the lighting heat gain and lighting energy use for 
Section 5.0.

                             3.5.2  General

    3.5.2.1  The total Connected Lighting Power (CLP) in a building, 
including permanently installed lighting plus supplemental or task 
related lighting provided by movable fixtures or plug-in luminaires, 
shall not exceed the Interior Lighting Power Allowance (ILPA). A 
Lighting Power Control Credit (LPCC), taken for individual spaces, may 
only be utilized for credit to connected lighting power in those spaces 
for which credit is claimed.
    3.5.2.2  Compliance for lighting in partially defined speculative 
buildings. The total connected lighting power of lighting designs of 
defined areas of partially defined speculative buildings shall not 
exceed the interior lighting power allowance for those areas of the 
building for which lighting has been designed.
    3.5.3  The Lighting Power Budget (LPB) of each interior space shall 
be determined in accordance with Equation 3.5-1.

LPB=(A x UPDb x AF)+LPCC

                             Equation 3.5-1

Where:

LPB=Lighting power budget of the space, in watts
Ar=Area of the room at the horizontal lighted working place, 
          ft2
UPDb=Base Unit Power Density, W/ft2, (Table 3.5-1)
AF=Area factor of the room, (Figure 3.5-1)
LPCC=Lighting Power Control Credit, as determined by Sec. 3.5.6

    3.5.3.1  The room area (A) shall be calculated from the inside 
dimensions of the room.
    3.5.3.2  The Base Unit Power Density (UPD) shall be selected from 
Table 3.5-1. For applications to areas or activities other than those 
given, select values for similar areas or activities.

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[[Page 293]]

    3.5.3.3  The Area Factor (AF) shall be determined from Figure 3.5-1 
based on the floor area and ceiling height of the room. Rooms with 
identical ceiling height and activities, and with similar size may be 
treated as a group. The AF of such a group of rooms shall be determined 
from the average area of the rooms.
    Equation 3.5-2 gives the formula used in developing Figure 3.5-1.
    [GRAPHIC] [TIFF OMITTED] TC04OC91.089
    
                             Equation 3.5-2

Where:

AF=Area Factor
CH=Ceiling Height
Ar=Floor Area of Room, ft2
  If AF<1.0 then AF=1.0
  If AF>1.8 then AF=1.8

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[GRAPHIC] [TIFF OMITTED] TC04OC91.090



[[Page 295]]

    3.5.4  Special Spaces and Activities.
    3.5.4.1  Multi-Function Rooms.
    3.5.4.1.1  For rooms serving multi-functions, such as hotel banquet/
meeting rooms and office conference/presentation rooms, an adjustment 
factor of 1.5 times the base UPD may be used if a supplementary lighting 
system is actually installed to serve the secondary function of the room 
and the design meets the following conditions:
    (a) The installed power for the supplementary system shall not be 
greater than 33% of the adjusted LPB calculated for that room; and
    (b) Independent controls shall be installed for the supplementary 
lighting system.
    3.5.4.2  Simultaneous Activities.
    3.5.4.2.1  In rooms containing multiple simultaneous activities, 
such as a large general office having separate accounting and drafting 
areas within the same room, the LPB for the rooms shall be the weighted 
average of the activities in proportion to the areas being served.
    3.5.4.3  Indoor Sports.
    3.5.4.3.1  The floor area of indoor sports activities areas shall be 
considered as the area within the playing boundaries of the sport, plus 
the floor area 10 ft beyond the playing boundaries, not to exceed the 
total floor area of the indoor room less the spectator seating area.
    3.5.5  Calculation of Interior Lighting Power Allowance. The system 
performance Interior Lighting Power Allowance (ILPA) shall be calculated 
in accordance with Equation 3.5-3. The ILPA shall include a 0.20 W/
ft2 allowance for unlisted spaces.

ILPA=(LPB1 x LS1+LPB2 x LS2--
          --LPBn x LSn)+0.2 W/
          ft2 x (Unlisted Space)

                             Equation 3.5-3

Where:

ILPA=Interior Lighting Power Allowance, W/ft2

                                                                        
                                                         i-1            
       Unlisted space=(GLA-n       ----------------------------
                                                     LSi-n), ft2        
                                                                        

GLA=Gross Lighted Area, ft2
LPB=Lighting Power Budget, Watts
LS=Listed Space Area, ft2

    3.5.6  Lighting Power Controls Credit and Power Adjustment Factor
    3.5.6.1  When calculating the ULPA in this section, the connected 
power for lights automatically controlled by daylighting sensors, 
occupancy sensor, programmable timing controls, or lumen maintenance 
controls may be reduced by factoring control credits on a specific area 
by area basis. This credit is termed the Lighting Power Controls Credit 
(LPCC) and shall be determined in accordance with Equation 3.5-4:

LPCC=CLP x PAF

                             Equation 3.5-4

Where:

LPCC=Lighting Power Controls Credit, Watts
CLP=Connected Lighting Power for the luminaires controlled by the 
          automatic control device, Watts
PAF=Power Adjustment Factor, from Table 3.5-2

The adjusted lighting power (ALP) is then equal to CLP minus the LPCC.
    3.5.6.2  The Lighting Power Controls Credit is limited to the 
specific luminaires controlled by the automatic control device.
    3.5.6.2.1  Only one adjustment factor may be used for each building 
space or luminaire, and 50% or more of the controlled luminaire shall be 
within the applicable space to qualify for the power adjustment factor.
    3.5.6.2.2  Controls shall be installed in series with the lights and 
in series with all manual switching devices in order to qualify for an 
adjustment factor.
    3.5.6.2.3  When sufficient daylight is available, daylight sensing 
controls shall be capable of reducing electrical power consumption for 
lighting, continuously or in steps, to 50% or less of maximum power 
consumption.
    3.5.6.2.4  Daylight sensing controls shall control all luminaires to 
which the power adjustment factor is applied and that direct a minimum 
of 50% of their light output into the daylight zone.
    3.5.6.2.5  Occupancy sensors located in daylighted spaces should be 
installed in conjunction with a manual ON switch, or photocell override 
for ON.

[[Page 296]]

    3.5.6.2.6  Programmable timing controls used for credit in 
conjunction with Table 3.5-2 shall be:
[GRAPHIC] [TIFF OMITTED] TC04OC91.091

    (a) Programmable for different schedules for occupied and unoccupied 
days;
    (b) Accessible for temporary override by occupants of individual 
zones, spaces or tasks, with automatic return to the original schedules; 
and
    (c) Capable of keeping time during power outages for a minimum of 
four hours.



Sec. 435.104  Auxiliary systems and equipment.

                              4.1  General

    This section contains a few minimum requirements for auxiliary 
systems and equipment. Because auxiliary systems and equipment vary 
greatly among buildings, the section is not more comprehensive.

                        4.2  Principles of Design

    4.2.1  Energy recovery should be used when coincident thermal and 
refrigeration loads of similar magnitude are expected.
    4.2.2  Consideration shall be given to the use of waste heat, energy 
recovery or heat tape systems to conserve energy.

                        4.3  Minimum Requirements

    4.3.1  Transportation Systems.
    4.3.1.1  Automatic elevator and/or conveyor systems shall 
incorporate schedule controls and efficient motor controls, such as 
solid state control devices.
    4.3.2  Freeze Protection System.
    4.3.2.1  Boilers or water heaters used for purposes such as freeze 
protection in fire protection storage vessels and defrosting sidewalks 
and driveways shall meet the efficiency requirements of sections 8.3 or 
9.3 when they operate in excess of 750 hours per year.
    4.3.3  Retail Food and Food Service Refrigeration.
    4.3.3.1  Refrigeration systems containing multiple compressors shall 
have compressors sized to optimally match capacity with loads.
    4.3.3.2  Variable speed shall be considered.



Sec. 435.105  Building Envelope.

                              5.1  General

    5.1.1  This section contains requirements for the energy conscious 
design of building envelopes. It sets principles of good envelope 
design, and provides a set of minimum requirements and two alternative 
compliance paths--prescriptive and system performance.
    5.1.2  Compliance. A building shall be considered in Compliance with 
this section if the following conditions are met:
    5.1.2.1  The minimum requirements of Section 5.3 are met;
    5.1.2.2  The design of the building envelope complies with either 
the prescriptive criteria of section 5.4 or the system performance 
criteria of section 5.5. For the design of buildings with high internal 
heat gains, unusual operating schedules, or that incorporate innovative 
design strategies, consideration shall be given to using the compliance 
paths set forth in sections 11.0 or 12.0.
    5.1.3  The prescriptive compliance alternative of section 5.4 
provides requirements for buildings designed to take advantage of 
perimeter daylighting, thermal mass, high performance glazings, and 
fenestration shading. The designer is allowed to make trade-offs between 
thermal mass, wall insulation, amount of fenestration, shading 
coefficients, shading projections, thermal transmittance of the glazing, 
daylighting for several different climate locations.
    5.1.4  The systems performance compliance alternative of section 3.5 
provides calculation procedures that give

[[Page 297]]

credit for the benefits of more complex energy conserving envelope 
designs.
    5.1.5  Information on thermal properties, performance of building 
envelope sections and components, and heat transfer shall be obtained 
from the ASHRAE Handbook, 1985 Fundamentals Volume. When information is 
not available from this source, the data shall be obtained from 
laboratory or field test measurements conducted in accordance with ASTM 
Standard C-177-85, ``Standard Test Method for Steady-State Thermal 
Transmission Properties by Means of the Guarded Hot Plate,'' ASTM 
Standard C-518-85, ``Steady-State Thermal Transmission Properties by 
Means of the Heat Flow Meter,'' ASTM Standard C-236-80, ``Standard Test 
Method for Steady-State Thermal Performance of Building Assemblies by 
Means of a Guarded Hot Box,'' and ASTM Standard C-976-82, ``Thermal 
Performance of Building Assemblies By Means of a Calibrated Hot Box.''
    5.1.6  Daylighting Credit. In this section, daylighting credit for 
reduced energy use resulting from the use of automatic lighting control 
devices in conjunction with fenestration, is given only for space 
heating and cooling loads. Credit for the reduced use of electric 
lighting energy is calculated in section 3.5.6. If daylighting credit 
for reduced electric lighting energy use is desired to be applied to 
other building systems, such as more fenestration area, section 11.0 or 
12.0 should be used.
    5.1.7  The requirements of this section are not intended to replace 
building loads calculation procedures.

                        5.2  Principles of Design

                          5.2.1  Building Loads

    5.2.1.1  Building loads result from sources external and internal to 
the building. (1) External loads, from outdoor temperature, humidity, 
wind, and insolation, fluctuate daily and seasonally. (2) Internal loads 
from the activities conducted within the building, including heating and 
moisture produced by the occupants, lights, and process equipment (e.g., 
appliances, computers) vary with internal activities. Improving energy 
efficiency in a building depends on achieving a balance between and 
among the internal and external loads. The building design should, 
therefore, offset gains and losses of heat, light, and moisture between 
the interior and exterior of the building, among interior spaces, and 
over-time, (daily, seasonally, and annually).
    5.2.1.2  This balance of loads can be most efficiently achieved if 
the building envelope is viewed as, and designed to be, a controlled 
membrane rather than an immutable barrier. The typical design of a 
modern building has considered the building envelope to be a fixed 
barrier that restricts heat and air flow to the maximum extent possible. 
This will not usually yield the most energy efficient building.
    5.2.1.3  The desired goal of the energy design of the building 
envelope shall be to produce a controlled membrane that allows or 
prevents heat, light, and moisture flow to achieve a balance between 
internal and external loads. Thus the envelope becomes an integral part 
of the building's environmental conditioning systems.
    5.2.1.4  To achieve control of the building envelope as a membrane, 
and to simultaneously achieve occupant comfort in the perimeter zones, 
many of the traditional building skin components must be used 
(insulation, mass, caulking and weather stripping). However, other 
concepts shall also be considered to temper supply air or utilize waste 
heat in exhaust air to temper envelope conditions, such as operable 
solar shading devices, and the integration of glazing systems with the 
HVAC distribution system.

                   5.2.1.5  Control of External Loads

                    5.2.1.5.1  Control of Conduction

    (a) Controlled conductivity may be considered through the careful 
use of insulation, sensible (mass) or phase-change storage and movable 
insulation at levels which minimizes net heating and cooling loads on a 
time integrated (annual) basis.
    (b) Unintentional or uncontrolled thermal bridges shall be minimized 
and considered in energy related calculations since they can radically 
alter the conductivity of a building envelope. Examples include wall 
studs, balconies, ledges, and extensions of building slabs.

[[Page 298]]

         5.2.1.5.2  Control of Infiltration (Heat Loss or Gain)

    (a) Infiltration shall be minimized and all efforts to achieve a 
zero level shall be taken. This will minimize fan energy consumption in 
pressurized buildings during occupied periods and heat loss (or unwanted 
heat gain in warm climates) during unoccupied periods. Infiltration 
reduction shall be accomplished through design details that enhance the 
fit and integrity of building envelope joints in a way that may be 
readily achieved during building construction. This includes 
infiltration control by caulking, weather stripping, vestibule doors 
and/or revolving doors with construction meeting or exceeding accepted 
specifications.
    (b) The quantity of mechanical ventilation must vary with the need, 
with recommended values at any given time equal to that required by 
ASHRAE Standard 62-1981. Higher levels of ventilation (e.g., 
economizers) shall be considered to substitute for mechanical cooling.
    (c) Operable windows may be considered to allow for occupant 
controlled ventilation. When using operable windows, the design of the 
building's mechanical system must be carefully executed to minimize 
unnecessary HVAC energy consumption, and building operators must be 
cautioned about the improper use of the operable windows.
    (d) Non-mechanical ventilation can be enhanced in the shape of the 
building as well as the physical elements of the building envelope, such 
as cupolas.
    (e) For hotels and high rise dwelling units and other systems having 
exhaust totalling 3000 cfm or more, with annual operation in excess of 
3000 hours and within 200 linear ft of simultaneous make-up air 
equipment, they shall incorporate energy recovery or treatment to ASHRAE 
62-1981 quality levels and reuse exhaust air when allowed by code.

          5.2.1.5.3  Control of Radiated Heat Losses and Gains

    (a) Capability for occupant radiant comfort shall be maintained 
regardless of whether the building envelope is designed to be a static 
or dynamic membrane. Opaque surfaces shall be designed so that the 
average inside surface temperatures will remain within 5  deg.F of room 
temperature in the coldest anticipated weather (i.e., winter design 
conditions), and the coldest inside surface will remain within 25  deg.F 
of the room temperature.
    (b) In a building with time-varying internal heat generation, 
thermal mass may be considered for controlling radiant comfort. In the 
perimeter zone, thermal mass is more effective when it is positioned 
internal to the envelope insulation.
    (c) The effective control of solar radiation is critical to the 
design of energy-efficient buildings due to the high level of internal 
heat production already present in most commercial building types. In 
some climates, the lighting energy consumption savings due to 
daylighting techniques can be greater than the heating and cooling 
energy penalties from additional glazed surface area, provided that the 
building envelope is properly designed for daylighting and lighting 
controls are installed and used. In other climates they may not. 
Daylighting designs are most effective if direct solar beam radiation is 
not allowed to cause glare in building spaces.
    (d) The transparent portions of the building envelope shall be 
designed to prevent solar radiant gain above that necessary for 
effective daylighting and solar heating. On south-facing facades, the 
use of low shading coefficients is generally not as effective as 
external physical shading devices in achieving this balance. Light 
shelves offer a very effective means of admitting daylight while shading 
the view glazing and simultaneously allowing occupants to manipulate 
interior shading devices (draperies, blinds) without eliminating day 
light.
    (e) The solar spectrum contains a range of wavelengths including 
visible and infrared (heat). Designers shall consider which portion of 
the spectrum to admit into the building. For example, low emissivity, 
high-visible-transmittance glazings may be considered for the effective 
control of radiant heat gains and losses. For shading control designers 
may consider the careful use of vegetation that can block excess

[[Page 299]]

gain, year-around or seasonally depending on the plant species chosen.

                        5.3  Minimum Requirements

          5.3.1  Overall Thermal Transmittance (Uo)

    5.3.1.1  The overall thermal transmittance of the building envelope 
above grade assembly shall be calculated as follows:

                                                                        
             Uo=UiAi/Ao=(U1A1+U2A2+ . . . +UnAn)/Ao            
                                                                         
                                                                        
                                                                        

                             Equation 5.3-1

Where:
Uo=the area weighted average thermal transmittance of the 
          gross area of the building envelope assembly, e.g., the 
          exterior wall assembly including fenestration and doors; roofs 
          and ceiling assembly; or the floor assembly, Btu/hft 
          \2\ deg.F.
Ao=the gross area of the envelope assembly, ft \2\.
Ui=the thermal transmittance of each individual path of the 
          envelope assembly (see Section 5.3.2), Ui=1/
          Ri (where R1 is the total resistance to 
          heat flow of an individual path through an envelope assembly).
Ai=the area of each individual element of the envelope 
          assembly, ft \2\.

        5. 3. 2  Thermal Resistance of Below Grade Components (R)

    5.3.2.1  In calculating the thermal resistance of all below grade 
components, the thermal performance of the adjacent ground shall be 
excluded.

                             5.3.2.2  Slabs

    5.3.2.2.1  The R-value required for slabs refers only to the 
insulation materials. Insulative continuity shall be maintained in the 
design of slab edge insulation systems. Continuity shall be maintained 
from the wall insulation through the slab/wall/footing intersection to 
the body of the slab edge insulation.
    5.3.2.2.2  Slab-on-grade floors shall have insulation around the 
perimeter of the floor with the thermal resistance (Ru) of 
the insulation specified in accordance with Figure 5.5-2. The slab 
insulation specified shall extend either in a vertical plane downward 
from the top of the slab for the minimum distance shown or downward to 
the bottom of the slab then in a horizontal plane beneath the slab or 
outward from the building for the minimum distance shown. The horizontal 
length, or vertical depth, of insulation required varies from 24 in. to 
48 in. depending upon the R-value selected. For heated slabs, an R of 2 
shall be added to the thermal resistance required.
    5.3.2.2.3  Vertical insulation shall not be required to extend below 
the foundation footing. There are no insulation requirements for slabs 
in locations having less than 3,000 HDD65 or for footings extending less 
than 18 in. below grade.
    5.3.2.2.4  The dimensional requirements for horizontal insulation 
refers to the insulation materials only. Horizontal applications shall 
have a thermal break in the slab edge that provides continuity between 
the wall insulation on the slab and the horizontal insulation.

                             Below Grade Walls

    5.3.2.3.1  The R-value required for Below Grade Walls refers to the 
overall R-value of the wall assembly excluding air film coefficients and 
the thermal performance of the adjacent ground.

  5.3.3  Thermal Transmittance (Ui) of an Envelope Assembly

    5.3.3.1  The thermal transmittance of each envelope assembly shall 
be determined with due consideration of all major series and parallel 
heat flow paths through the elements of the assembly. Compression of 
insulation shall be considered in determining the thermal resistance.
    5.3.3.2  The thermal transmittance of opaque assemblies 
Ui shall be determined using a series path procedure that 
corrects parallel paths, such as insulation and studs in a wall cavity 
or the roof assembly shown in Figure 5.3-1. Table 5.3-1 prescribes the 
procedure to be used for Subsections 5.3.3.2.1 and 5.3.3.2.2.

[[Page 300]]

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[GRAPHIC] [TIFF OMITTED] TC04OC91.093



[[Page 302]]

    5.3.3.2.1  For envelope assemblies containing metal framing, the 
Ui shall be determined by using one of the following methods:
    (a) Results from laboratory or field test measurements, using one of 
the procedures specified in section 5.1.5.
    (b) For non-metal surfaces attached to metal framing, where data 
from tests conducted using procedures specified in section 5.1.5, such 
as those provided in Tables 5.3-2 and 5.3-3, is available, the total 
resistance of the series path may be calculated using Equations 5.3-2a 
and 5.3-2b, and illustrated in Figure 5.3-1:

[[Page 303]]

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[GRAPHIC] [TIFF OMITTED] TC04OC91.095


[[Page 304]]



                                                                        
                                 Ui=1/Rt                                
                                                                         
                                                                        
                                                                        

                             Equation 5.3-2a

                                                                        
                                Rt=Ri+Re                                
                                                                         
                                                                        
                                                                        

                             Equation 5.3-2b

Where:

Rt=the total resistance of the envelope assembly
Ri=the resistance of the series elements (for i=1 to n), 
          excluding the parallel path element(s)
Re=the equivalent resistance of the element containing the 
          parallel path, the value of Re is:
Re=(R-value of insulation) x Fc

                             Equation 5.3-2c

Where:

Fc=the correction factor from Table 5.3-2 or Table 5.3-3.

    (c) For elements other than those covered in item (b) above, the 
zone method described in Chapter 23 of the ASHRAE Handbook, 1985 
Fundamentals Volume shall be used. The equations on pages 23.13 and 
23.14 shall be used.
    (d) For sheet metal construction, internally insulated with an 
internal metal structure bonded on one or both sides to a metal skin or 
covering (see Figure 5.3-2), the following steps shall be used to 
calculate the U-value of the envelope construction.

[[Page 305]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.096



[[Page 306]]

    (1) First, calculate the resistance of the thermal bridge 
RTB as follows:

                                                                        
                           RTB=R1+R2+R3+R4+R5                           
                                                                         
                             Equation 5.3-3                             
                                                                         
                                                                        
                                                                        

    (i) Where R1, the effective mean flow path along the 
outer metal surface, is calculated by:
[GRAPHIC] [TIFF OMITTED] TC04OC91.097

    (ii) And if it occurs, the resistance of insulation (R2) 
between the outer metal surface and the metal structural member is 
calculated by:
[GRAPHIC] [TIFF OMITTED] TC04OC91.098

    (iii) And, the resistance of the structural member (R3) 
is calculated by:

                                                                        
                                                         h3             
         R3                    =          ------------------------------
                                                    L x t3 x k3         
                                                                        

                             Equation 5.3-6

    (iv) And if it occurs, the resistance of insulation (R4) 
between the inner metal surface and the purlin flange is calculated by:
[GRAPHIC] [TIFF OMITTED] TC04OC91.099

    (v) And finally, the effective mean flow path along the inner metal 
surface (R5) is calculated by:
[GRAPHIC] [TIFF OMITTED] TC04OC91.100

Where:
L=total length
h=coefficient of heat transfer
k=thermal conductivity
T=temperature
B=total width
H=partial height
t=thickness of sheet metal

    (2) Then calculate the parallel path resistance of the homogeneous 
insulation RH as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.101

    (3) Then obtain the overall construction resistance RC by 
combining RH and RTB as two parallel resistances:

                                                                        
                                                      RTB x RH          
          RC                    =          -----------------------------
                                                       RTB+RH           
                                                                        

                             Equation 5.3-10

    (4) Then add the inside and outside surface resistances 
Ri and Ru to get the total resistance 
RTOT:

                                                                        
                              RTOT=RC+Ri+Ru                             
                                                                         
                                                                        
                                                                        

                             Equation 5.3-11

    (5) The total area resistance mTOT is then calculated by:

                                                                        
                            mTOT=RTOT x B x L                           
                                                                         
                                                                        
                                                                        

                             Equation 5.3-12

    (6) And finally, obtain the U-value by:

                                                                        
                                                           1            
           U                      =           --------------------------
                                                          mTOT          
                                                                        

                             Equation 5.3-13

    (7) Where additional resistances are introduced in the construction, 
introduce them in lieu of the above (R2 and R4) 
resistances. An example of this would be the calculation of both a 
metallic fastener and a block of higher thermal conductivity material 
between the outer sheet metal and the internal structural member as 
shown in Figure 5.3-3. In this case the original R2 is re-
calculated by first calculating the thermal bridge R2TB as 
follows:

[[Page 307]]

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[[Page 308]]



                                                                        
                              R2TB=R7+R8+R9                             
                                                                         
                                                                        
                                                                        

                             Equation 5.3-14

    (i) Where the resistance of the heads of number (N) of fasteners per 
length (L), adjusting for surface resistance in common with the sheet 
metal surface, is calculated by:

                                                                        
                                1                                 1     
           -------------------------------------------     -------------
  R7    =    N x 2 x  x 1 x t1 x f    -               
                         (r1, )                     a1 x B x L 
                                                                        

                             Equation 5.3-15

Where:

N=the number of fasteners in Length L
f=the function of Br for different values of the 
          ratio r2/r1 given in Figure 5.3-4.

                                                                        
                                                            h           
             =                      =        --------------------------
                                                      xt       
                                                                        

r1=the radius of the fastener shank.
r2=the outer radius of the fastener head.

[[Page 309]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.103



[[Page 310]]

    (ii) And, the resistance of the shank of the fastener is calculated 
by:

                                                                        
                                                  H8                    
       R8             =      -------------------------------------------
                                   N x  x  x r\2\1    
                                                                        

                             Equation 5.3-16

    (iii) And, finally, the resistance of the connection to the internal 
structural member is calculated by:
[GRAPHIC] [TIFF OMITTED] TC04OC91.104

    (iv) Then calculate the resistance of the block of higher thermal 
conductivity material as follows:
[GRAPHIC] [TIFF OMITTED] TC04OC91.105

Where:

12
    (v) Then obtain the resistance to be used in lieu of the original 
R2 by:

                                                                        
                                                            RTB x R6    
                        R2                          = ------------------
                                                             RTB+R6     
------------------------------------------------------------------------
                                                                        

                             Equation 5.3-19

    5.3.3.2.2  For envelope assemblies containing Non-Metal Framing, the 
Ui shall be determined from one of the laboratory or field 
test measurements specified in Section 5.1.5 or from the ASHRAE series-
parallel method. Formulas in Chapter 23, page 23.2 of the ASHRAE 
Handbook, 1985 Fundamentals Volume, shall be used for these 
calculations.
    5.3.3.3  The thermal transmittance of fenestration assemblies shall 
be corrected to account for the presence of sash, frames, edge effects 
and spacers in multiple-glazed units.
    If thermal transmittances of sash and frames are known, Equation 
5.3-1 shall be used, otherwise the thermal transmittance offenestration 
assemblies shall be calculated as follows:

Uof= 
          Ugi x Ff,i x Ai/
          Aof=
(Ug,1 x Fe,1 x A1+Ug,2 x Ff,2
           x  A2+ . . .
+Ug,n x Ff,n x An)/Aof

                             Equation 5.3-20

Where:

Ai=area of ith fenestration assembly
i=numerical subscript (1,2, . . . n) refers to each of the various 
          fenestration assemblies present in the wall
n=the number of fenestration assemblies in the wall assembly.
Uof=the overall thermal transmittance of the fenestration 
          assembly, including sash and frames, Btu/hft\2\ deg.F.
Ug=the thermal transmittance of the central area of the 
          fenestration excluding edge effects, spacers in multiple-
          glazed units, and the sash and frame, Btu/
          hft\2\ deg.F.
Ff,i=framing adjustment factor for sash, frames, etc.
Aof=the area of all fenestration including glazed portions, 
          sash, frames, etc.

    5.3.3.3.1  Values for Ug shall be the winter value 
obtained from the glazing manufacturer's test data or from Table 13 or 
Figure 14 of Chapter 27 of the ASHRAE Handbook, 1985 Fundamentals 
Volume. Values for Ff shall be obtained from the frame 
manufacturer's test data or from the average adjustment factor for a 
particular product in Table 13, Part C, in Chapter 27 of the ASHRAE 
Handbook, 1985 Fundamentals Volume. For glass products with a U value of 
0.45 or less, use the Ff for triple insulated glazing. 
Alternatively, values of the Ug deg.F product may be used 
from manufacturer's test data for open window and frame assemblies 
tested as a unit provided that the tests referenced edge-effects and 
windspeed are accounted for winter tested U-values are used.
    5.3.4  Gross Area of Envelope Components
    5.3.4.1  The gross area of a roof assembly consists of the total 
surface of the roof assembly exposed to outside air or unconditioned 
spaces. The roof assembly shall include all roof/ceiling components 
through which heat may flow between indoor and outdoor environments 
including skylight surfaces, but excluding service openings.
    5.3.4.1.1  For thermal transmittance purposes, when return air 
ceiling plenums are employed, the roof/ceiling

[[Page 311]]

assembly shall not include the thermal resistance of the ceiling, or the 
plenum space, as part of the total thermal resistance of the assembly.
    5.3.4.2  The gross area of a floor assembly over outside or 
unconditioned space consists of the total surface of the floor assembly 
exposed to the outside air or an unconditioned space. The floor assembly 
shall include all floor components through which heat may flow between 
indoor and outdoor or unconditioned space environments.
    5.3.4.3  The gross area of exterior walls enclosing a heated or 
cooled space is measured on the exterior and consists of the opaque wall 
including between floor spandrels, peripheral edges of flooring, window 
areas including sash and door areas, but excluding vents, grilles and 
pipes.
    5.3.5  Shading Coefficients
    5.3.5.1  The Shading Coefficient (SC) for fenestration shall be 
obtained from Chapter 27 of the ASHRAE Handbook, 1985 Fundamentals 
Volume or from manufacturers' test data. For the prescriptive or system 
performance envelope compliance calculations in sections 5.4 and 5.5, a 
factor, SCx, is used. SCx is the Shading 
Coefficient of the fenestration, including internal and external shading 
devices, but excluding the effect of external shading projections, which 
is calculated separately. The shading coefficient used for louvered 
shade screens shall be determined using a profile angle of 30 deg., as 
found in Table 41, Chapter 27 of the ASHRAE Handbook, 1985 Fundamentals 
Volume.
    5.3.6  Wall Heat Capacity
    5.3.6.1  Heat capacity in Btu/ deg.Fft\2\, shall be 
determined as the product of the average wall weight in lb/ft\2\ and the 
weighted average specific heat of the wall component in Btu/
lb deg..
    5.3.6.2  If the wall system is defined as having exterior insulation 
only the properties of the wall elements inside of the insulation layer 
shall be used in determining the wall heat capacity.
    5.3.6.3  For walls with integral insulation, all of the elements of 
the entire wall system may be used in the calculation of the wall heat 
capacity.
    5.3.7  Air Leakage and Moisture Migration
    5.3.7.1  The requirements of this subsection apply only to those 
locations separating the outdoors from interior building conditioned 
space. Compliance with the criteria for air leakage through building 
components shall be determined by ASTM E 283-1984, ``Standard Method of 
Test Rate of Air Leakage Through Exterior Windows, Curtain Walls and 
Doors.''
    5.3.7.2  Air Leakage Requirements for Fenestration and Doors
    5.3.7.2.1  Fenestration meeting the following standards for air 
leakage is acceptable:
    (a) ANSI/AAMA 101-85, ``Aluminum Prime Windows.''
    (b) ASTM D-4099-83, ``Specifications for Poly(VinylChloride) (PVC) 
Prime Windows.''
    (c) ANSI/NWMA I.S. 2-80, ``Wood Window Units (Improved Performance 
Rating Only).''
    5.3.7.2.2  Sliding Doors shall meet one of the following standards 
for air leakage:
    (a) ANSI/AAMA 101-85, ``Aluminum Sliding Glass Doors.''
    (b) NWMA I.S. 3-83, ``Wood Sliding Patio Doors.''
    5.3.7.2.3  Commercial entrance swinging or revolving doors shall 
limit air leakage to a rate not to exceed 1.25 cfm/ft2 of 
door area, at standard test conditions.
    5.3.7.2.4  Residential swinging doors shall limit air leakage to a 
rate not to exceed 0.5 cfm/ft2 of door area, at standard test 
conditions.
    5.3.7.2.5  Where spaces have regular high volume traffic through the 
building envelope, such as retail store entrances and loading bays, 
estimates of air leakage for HVAC system design shall be based on air 
exchange by traffic flow.
    5.3.7.2.6  To reduce infiltration due to stack-effect draft in 
multi-story buildings, the use of vestibules or revolving doors on all 
primary entries and exits shall be considered.
    5.3.7.3  Air Leakage Requirements for Exterior Envelope Joints and 
Penetrations.
    5.3.7.3.1  Exterior joints, cracks, and holes in the building 
envelope, such as those around window or door frames, between wall and 
foundation, between wall and roof, through wall panels at penetrations 
of utility services or other service entry through walls,

[[Page 312]]

floors, and roofs, between wall panels, particularly at corners and 
changes in orientation, between wall and floor, where floor penetrates 
wall, around penetrations of chimney, flue vents, or attic hatches, 
shall be caulked, gasketed, weather stripped, or otherwise sealed.
    5.3.7.4  Moisture Migration Requirements for Exterior Envelopes
    5.3.7.4.1  The building envelope shall be designed to prevent 
moisture migration that leads to deterioration in insulation performance 
of the building.
    5.3.7.4.2  Vapor retarders shall be considered to prevent moisture 
from collecting within the envelope. Designs should incorporate the 
principles of ASHRAE Handbook, 1985 Fundamentals Volume, Chapter 21, 
``Moisture in Building Construction.''
    5.3.8  Shell Buildings
    5.3.8.1  The following conditions shall be assumed if determination 
of building envelope compliance occurs prior to the determination of 
lighting power density, equipment power density, or fenestration shading 
device characteristics:
    5.3.8.1.1  Lighting Power Density and Equipment Power Density. For 
section 5.4, the total power density shall be assumed to be those listed 
in Table 5.3-4. For section 5.5, the values in Table 5.3-4 shall be 
assumed to be apportioned as \2/3\ lighting and \1/3\ for other 
equipment. Note that these are not recommended design values, but are 
for compliance purposes only.
[GRAPHIC] [TIFF OMITTED] TC04OC91.106

    5.3.8.1.2  Fenestration shading devices. Only those shading devices 
that are part of the design when it is being evaluated for compliance 
shall be considered when determining compliance.
    5.3.8.1.3  Daylighting controls for electric lighting. Only those 
controls that are part of the design when it is being evaluated for 
compliance shall be considered when determining compliance.
    5.3.9  Buildings Located in Climates With Greater Than 15,000 HDD 
Base 65  deg.F.
    5.3.9.1  For locations with a heating degree-day base (HDD) 65 
oF greater than 15,000, the envelope criteria listed in Table 
5.3-5 shall apply, and the window wall ratio (WWR) shall be less than or 
equal to 0.20.

[[Page 313]]

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[[Page 314]]

    5.3.10  Daylight Credits for Skylights.
    5.3.10.1  Skylights used in conjunction with automatic lighting 
controls for daylighting can significantly reduce the lighting energy 
consumption, thereby more than offsetting the increase in envelope heat 
transfer.
    5.3.10.2  When determining building roof compliance, daylight 
credits for skylights may be used if the criteria of this subsection are 
met.
    5.3.10.3  Skylights for which daylight credit is taken may be 
excluded from the calculation of the overall thermal transmittance value 
(Uor) of the roof assembly, if all of the following 
conditions are met:
    5.3.10.3.1  The opaque roof thermal transmittance Uor 
value does not exceed the value determined within the selected Alternate 
Component Package (ACP) table for the prescriptive method or by Equation 
5.5-1 for the systems performance method.
    5.3.10.3.2  Skylight areas, including framing, as a percentage of 
the roof area do not exceed the values specified in Tables 5.3-6A and 
5.3-6B for building sites located within the climate ranges listed in 
the two Tables, where Visible Light Transmittance (VLT) is the 
transmittance of a particular glazing material over the visible portion 
of the solar spectrum. Skylight areas shall be interpolated between 
visible light transmittance values of 0.75 and 0.50, only.

[[Page 315]]

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[[Page 316]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.109



[[Page 317]]

    5.3.10.3.3  The skylight area associated with daylight credit can be 
taken is the area under each skylight whose dimension in each direction 
(centered on the skylight) is equal to the skylight dimension in that 
direction plus a distance equal to the floor to ceiling height.
    5.3.10.3.4  Skylight areas that overlap areas that have already 
taken daylight credit (perimeter window areas or other skylight areas) 
do not again take daylight credit.
    5.3.10.3.5  All electric lighting fixtures within skylight areas are 
controlled by daylight-activated automatic lighting controls.
    5.3.10.3.6  For buildings located in climates that have less than 
8000 HDD65, the overall thermal transmittance of the skylight assembly, 
including framing, is less than or equal to 0.7 Btu/hft 
\2\ deg.F. For locations greater than 8000 HDD65, the overall 
thermal transmittance of the skylight assembly, including framing, is 
less than or equal to 0.45 Btu/hft \2\ deg.F.
    5.3.10.3.7  Skylight curbs have thermal transmittance (U) values no 
greater than 0.21 Btu/hft \2\ deg.F.
    5.3.10.3.8  The infiltration coefficient of the skylights does not 
exceed 0.05 cfm/ft \2\.
    5.3.10.4  Skylight areas in Tables 5.3-6A and 5.3-6B may be 
increased by 50% if a shading device is used that blocks over 50% of the 
solar gain during the peak cooling design condition.
    5.3.10.5  Areas for vertical glazing in clerestories and roof 
monitors shall be included in the wall fenestration calculation.
    5.3.10.6  For shell buildings, the permitted skylight area from 
Tables 5.3-6A and 5.3-6B shall be based on a light level of 30 fc and a 
lighting power density (LPD) of less than 1 W/ft \2\.
    5.3.10.7  For speculative buildings, the permitted skylight area 
from Tables 5.3-6A and 5.3-6B shall be based on the unit lighting power 
allowance from Table 3.4-1 and an illuminance level as follows:
    5.3.10.7.1  For LPD less than or equal to 1.0 W/ft \2\, use 30 fc;
    5.3.10.7.2  For LPD greater than 1.0 W/ft \2\ and less than 2.5 W/ft 
\2\, use 50 fc; and
    5.3.10.7.3  For LPD greater than 2.5 W/ft \2\, use 70 fc.
    5.3.10.8  Buildings with roof assembly devices that cannot be 
evaluated under this subsection shall be evaluated using the Building 
Energy Compliance Methods of Section 11.0 or 12.0.

       5.4  Building Envelope--Prescriptive Compliance Alternative

    5.4.1  General.
    5.4.1.1  This section provides a simple compliance path using 
precalculated prescriptive requirements for selected exterior envelope 
configurations of new buildings.
    5.4.1.2  The Alternate Component Packages (ACP), found in this 
subsection, provide design criteria for use with the following options:
    5.4.1.2.1  ``Base Case''--buildings with envelopes designed without 
perimeter daylighting.
    5.4.1.2.2  ``Perimeter Daylighting''--buildings with envelopes that 
use additional fenestration area by incorporating automatic lighting 
controls in the perimeter zone to permit the use of daylighting in lieu 
of electric lighting. This ACP is not available for those climates that 
do not usually require space cooling by means of mechanical 
refrigeration.
    (a) This daylighting credit is in addition to the increased lighting 
power allowance provided in section 3.5. Some perimeter daylighting 
options allow a greater proportion of fenestration area due to the 
increased visible and decreased thermal transmittances of high 
performance glazings in combination with automatic lighting controls.
    5.4.1.3  Each ACP provides a limited number of complying 
combinations of building variables for a set of climate ranges. The 
criteria, such as maximum percent fenestration, were calculated using 
the system performance criteria of section 5.5. Values were chosen from 
within climate and other variable ranges for the most restrictive 
results, to ensure compliance of any combination of values within those 
ranges. Thus, for most climate locations and envelope parameters, the 
prescriptive criteria may be slightly more stringent than the system 
performance criteria of section 5.5.

[[Page 318]]

    5.4.1.4  Both the base and perimeter daylight cases have two or 
three fenestration U-value ranges depending on the climate.
    5.4.2  Compliance.
    5.4.2.1  The envelope design of the building being evaluated is in 
compliance with the prescriptive criteria of this section provided that:
    5.4.2.1.1  The minimum requirements of section 5.3 are met.
    5.4.2.1.2  All envelope thermal transmittance (U) values are less 
than or equal to those chosen from the ACP Table selected for roofs, 
opaque walls, walls next to unconditioned spaces, and floors over 
unconditioned spaces.
    5.4.2.1.3  The percentage of fenestration of the combined gross wall 
area is less than or equal to the value permitted for internal load 
range and glazing in the selected ACP Table.
    5.4.2.1.4  Slab-on-grade floors have insulation around the perimeter 
of the floor with the thermal resistance (Ru) of the 
insulation as listed in the ACP table. The slab insulation specified 
shall extend either in a vertical plane downward from the top of the 
slab for the minimum distance shown or downward to the bottom of the 
slab then in a horizontal plane beneath the slab or outward from the 
building for the minimum distance shown. The horizontal length, or 
vertical depth, of insulation required varies from 24 in. to 48 in. 
depending upon the R-value selected. For heated slabs, an R of 2 shall 
be added to the thermal resistance required.
    (a) Vertical insulation shall not be required to extend below the 
foundation footing.
    (b) There are no insulation requirements for slabs in locations 
having less than 3,000 HDD65 or for footings extending less than 18 in. 
below grade.
    5.4.2.1.5  The thermal resistance of the below-grade wall assembly 
must be greater than or equal to that listed in the ACP table, or the 
heat loss calculated in accordance with Chapter 25 of the ASHRAE 
Handbook, 1985 Fundamentals shall be less than or equal to that of a 
wall below grade having a thermal resistance equal to that specified in 
Figure 5.5-3. No insulation is required for climates with less than 
3,000 HDD65 or for those portions of walls more than one story below 
grade.
    5.4.3  Procedure for Using the Alternate Component Packages (ACP).
    5.4.3.1  The prescriptive envelope criteria for each of 30 climate 
ranges are contained in Tables 5.4-2 through 5.4-31.
    5.4.3.2  The following steps shall be used to determine compliance 
with these prescriptive envelope criteria.
    5.4.3.2.1  Determine appropriate climate range using either (a) or 
(b) below.
    (a) From Table 5.4-1, select the appropriate ACP Table based on the 
climate for the building site. The main climate variables that are 
needed for the proper selection of an ACP Table are cooling degree-days 
base 65  deg.F (CDD65), heating degree-days base 50  deg.F (HDD50), and 
annual average daily incident of solar radiation on the east or west 
vertical surface of the facade, Btu/ft\2\/day (VSEW). For certain 
climate ranges this must be augmented by cooling degree-hours base 80 
deg.F (CDH80).
    (1) This data, for a specific building location, may be acquired 
from the U.S. Weather Service of the National Oceanic and Atmospheric 
Administration or the local weather bureau. The column designated ``ACP 
Table No.'' in Table 5.4-1 contains the table number of the appropriate 
ACP Table.

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    (b) From the list of cities in Appendix 5A, ``List of Cities and 
Climate Data'', which contains data for 234 cities, select the closest 
city climatologically to the building site. If the site is not one of 
the cities listed or if the climate at the site differs significantly 
from a listed adjacent city, obtain the information from the weather 
bureau or other reliable source and use (a) above. The column designated 
``ACP Table No.'' contains the table number of the appropriate ACP 
Table.
    (c) For information purposes only, the climate data used to develop 
the ACP tables for the above-grade wall section are shown in Table 5.4-
32. The criteria for all other envelope sections was based on the most 
stringent level for the cities listed in the ACP Table.
    5.4.3.2.2  Determination of Maximum Allowable Percent Fenestration.
    (a) Using the appropriate ACP Table, determine the maximum allowable 
percent fenestration. The maximum allowable percent fenestration is the 
total area of fenestration assemblies divided by the total gross 
exterior wall area, considering all elevations of the building. 
Determining the maximum allowable percent fenestration requires the 
following five steps:
    (1) Based on the Internal Load Density (ILD) for the proposed 
design, select one of the three Internal Load Ranges as the point of 
entry to the tables. Note for ILD's greater than 3.5 W/ft \2\ use the 
3.5 W/ft \2\ range. For shell buildings, see procedures in Section 
5.3.8. Determine the ILD of the proposed design, based on the sum of the 
Internal Lighting Power Allowance (ILPA), the Equipment Power Density 
(EPD) and Occupant Load Adjustment (OLA), as shown in Equation 5.4-1.

ILD=ILPA+EPD+OLA

                             Equation 5.4-1

    Where:
    The Internal Lighting Power Allowance (ILPA) shall be:
    1. The building average Internal Lighting Power Allowance (ILPA) of 
the design building in W/ft \2\ as determined in Section 3.4 or 3.5;
    2. The average of the Lighting Power Budgets (LPB) for all activity 
areas within 15 ft of each exterior wall based on the procedures 
specified by the Systems Performance Criteria of Section 3.5.3, or
    3. The actual lighting power density of the proposed design in W/ft 
\2\, either the building average or the average of the lighting power 
within 15 ft of each exterior wall.

    Note.--The lighting prescriptive path, Section 3.4, does not provide 
lighting values for health, assembly, multi-family high rise, and hotel/
motel buildings type occupancies. Use the 1.51 to 3.0 range of Internal 
Load Density for health and assembly buildings; and the 0 to 1.5 range 
for multi-family high rise and hotel/motel buildings.

    The Equipment Power Density (EPD) shall be either:
    1. The building average receptacle power density selected from Table 
5.4-33 in W/ft \2\; or

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    2. The actual average receptacle power density for all activity 
areas within 15 ft of each exterior wall in W/ft \2\, considering 
diversity. For determining compliance in Tables 5.4-2 through 5.4-31, 
the actual average receptacle power densities calculated by this method 
that exceed 1.0 W/ft \2\ shall be limited to 1.0 W/ft \2\ in Equation 
5.4-1.
    The Occupant Load Adjustment (OLA) shall be either:
    1. 0.0 W/ft\2\. This recognizes the assumed occupant sensible load 
of 0.6 W/ft\2\ that is built into the ACP tables; or
    2. A positive or negative difference between the actual occupant 
load and 0.6 W/ft\2\ if the design building has a larger or smaller 
occupant load.
    (2) Select external shading projection factor (PF). If no external 
shading projections are used in the proposed design, select the column 
designated Projection Factor=0.000-0.249. If external shading 
projections are used, determine the average area weighted projection 
factor on the window in accordance with Equation 5.4-2. Then select the 
appropriate column in the ACP Table.

                                                                        
                                 PF=Pd/H                                
                                                                         
                                                                        
                                                                        

                             Equation 5.4-2

Where:

PF=Average area weighted projection factor
Pd=External horizontal shading projection depth, in. or ft
H=Sum of height of the fenestration and the distance from the top of the 
          fenestration to the bottom of external shading projection in 
          units consistent with Pd.


[[Page 383]]


    (3) Select the Shading Coefficient of the fenestration 
(SCx) including internal, integral, and external shading 
devices, but excluding the effect of external shading projections (PF). 
This includes curtains, shades, or blinds. Reference ASHRAE Handbook, 
1985 Fundamentals Volume, Chapter 27.
    (4) Select one of the daylighting options, either:
    1. Base Case, no daylighting; or
    2. Perimeter Daylighting (automatic daylight controls for lighting 
system must be used). This option is not available in some locations.
    (5) Select appropriate fenestration type. For most options, this is 
determined by the thermal transmittance value (Uof) of the 
fenestration assembly. For some fenestration options, the visible light 
transmittance (VLT) of the fenestration should not be less than the 
shading coefficient of the glazed portion of the fenestration assembly, 
not considering any shading devices. The ranges generally correspond to 
single glazing, double glazing, triple glazing and high performance 
glazing incorporating low emissivity coatings/films or more than two 
glazing layers. Each ACP table includes at most, three ranges of glazing 
U-value.
    5.4.4.2.3  Determine the Maximum Uow for the Opaque Wall 
Assembly. In the appropriate ACP Table the Maximum Uow for 
the opaque wall assembly is determined using the following steps:
    (a) For a lightweight wall assembly, heat capacity (HC) less than 5 
Btu/ft\2\ deg.F, use the value indicated. This Uow is 
constant over all internal load ranges.
    (b) To use the mass wall adjustment, the following additional steps 
are necessary:
    (1) Select the same internal load range as that used in determining 
the maximum allowable percent fenestration.
    (2) Select the mass wall heat capacity (HC) and insulation position. 
If the wall insulation is positioned internal to or integral with the 
wall mass, use the column headed Interior/Integral Insulation. If the 
wall insulation is positioned external to the wall mass use the column 
headed Exterior Insulation. For HC less than 5 Btu/ft\2\ deg.F 
this adjustment table cannot be used. At this step you will have two 
choices of Uow that are keyed to a small or large percent 
fenestration. This represents the full range of Uow values 
allowed.
    (3) Select or interpolate the appropriate maximum Uow for 
the opaque wall based on the maximum allowable percent fenestration 
determined in Section 5.4.4.2.2 or the actual building percent 
fenestration whichever value is lower. The Uow shall be 
determined by straight line interpolation for fenestration percentages 
between the smallest and largest values listed. If the design building 
percentage fenestration is less than the smallest value listed, select 
the Uow for the largest percentage fenestration listed.
    5.4.4.2.4  Determine Other Envelope Criteria. In each ACP table, the 
criteria for roof, wall adjacent to unconditioned space, wall below 
grade (first story only), floor over unconditioned space, and slab-on-
grade floors, shall be met. For heated slabs on grade, the R-value shall 
be the R-value for the unheated slab-on-grade plus 2.0. For skylights, 
the daylight credit procedure presented in Section 5.3.10 shall be used.

    5.5  Building Envelope--System Performance Compliance Alternative

    5.5.1  Roof Thermal Transmittance Criteria
    5.5.1.1  Any building that is heated and/or mechanically cooled 
shall have an overall thermal transmittance value (Uor) for 
the gross area of the roof assembly not greater than the value 
determined by Equation 5.5-1. The provisions of Section 5.3 shall be 
followed in determining acceptable combinations of materials that will 
meet the required Uor values of Equation
5.5-1.

Uo=1/
          (5.3+1.8 x 10-\3\ x HDD65+1.3 x 10-3
 x CDD65+2.6 x 10-4 x CDH80)

                             Equation 5.5-1

    5.5.1.2  Equation 5.5-1 applies only for climate locations with 
HDD65 less than or equal to 15,000. For climate locations with HDD65 
greater than 15,000, see subsection 5.3.9, Table 5.3-5.
    5.5.1.2.1  Exceptions to Section 5.5.1.2:

[[Page 384]]

    (a) any building that is only heated shall have an overall thermal 
transmittance value (Uor) for the gross area of the roof 
assembly less than or equal to the value determined by Equation 5.5-1 
with CDD65 and CDH80 set equal to zero; and
    (b) any building that is only mechanically cooled shall have an 
overall thermal transmittance value (Uor) for the gross area 
of the roof assembly less than or equal to the value determined by 
Equation 5.5-1 with HDD65 set equal to zero.
    5.5.2  Floor Thermal Transmittance Criteria
    5.5.2.1  The floors of any building that is heated and/or 
mechanically cooled shall meet the following thermal criteria:
    5.5.2.1.1  Floors of conditioned spaces over unconditioned spaces 
shall have a thermal transmittance (Uof) not greater than 
that specified in Figure 5.5-1.

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    5.5.2.1.2  Slab-on-grade floors shall have insulation around the 
perimeter of the floor with the thermal resistance (Ru) of 
the insulation as specified in Figure 5.5-2. The insulation specified in 
Figure 5.5-2 shall extend either in a vertical plane downward from the 
top of the slab for the minimum distance shown or downward to the bottom 
of the slab for the minimum distance shown then in a horizontal plane 
beneath the slab. The horizontal length, or vertical depth, of 
insulation required varies from 24 in. to 48 in. depending upon the R-
value selected. For heated slabs, an R of 2 shall be added to the 
thermal resistance required in Figure 5.5-2.

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[[Page 388]]

    (a) Vertical insulation is not required to extend below the 
foundation footing. There are no insulation requirements for slabs in 
locations having less than 3,000 HDD65 for footings extending less than 
18 in. below grade.
    5.5.3  Thermal Transmittance Criteria For Opaque Walls Enclosing 
Conditioned Spaces Exposed to Interior Unconditioned Spaces
    5.5.3.1  All opaque walls enclosing conditioned spaces exposed to 
interior unconditioned spaces shall have an overall thermal 
transmittance (Uow) not greater than the value specified in 
Figure 5.5-3.

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[[Page 390]]

 5.5.4  Thermal Resistance Criteria for Exterior Wall Insulation Below 
                                  Grade

    5.5.4.1  The thermal resistance (R) of the wall assembly shall be 
greater than, or equal to the insulation level specified in Figure 5.5-
4, or the heat loss calculated in accordance with Chapter 25 of the 
ASHRAE Handbook, 1985 Fundamentals Volume shall be less than, or equal 
to that of a wall below grade having a thermal resistance equal to that 
specified in Figure 5.5-4. No insulation is required for climate 
locations with less than 3,000 HDD65 for those portions of walls more 
than one story below grade.

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          5.5.5  External Wall Criteria for Heating and Cooling

    5.5.5.1  The external wall heating criteria (WCh) and 
cooling criteria (WCc) represent limits on cumulative annual 
heating and cooling energy flux attributable to transmission and solar 
gain. These limits accommodate variation in internal load and wall heat 
capacity. They shall be determined for a building envelope design using 
Equations 5.5-2 and 5.5-6 in Attachment 5B, ``Equations to Determine 
External Wall Heating and Cooling Criteria (WCc and 
WCh) and to Determine Compliance (Ci and 
Hi) With the Criteria.''

            5.5.6  Wall Heating and Cooling Compliance Values

    5.5.6.1  The wall heating compliance value Hi and the 
wall cooling compliance value Ci are estimates of the 
cumulative annual heating and cooling energy flux attributable to heat 
transmission and solar gains. These estimates consider the effects of 
variations in internal load and wall heat capacity. They shall be 
calculated using Equations 5.5-2 and 5.5-6 in Attachment 5B.

                     5.5.6.3  Applying the Criteria

    5.5.6.3.1  The wall criteria shall be applied as follows:
    (a) For all buildings that are heated and mechanically cooled, the 
sum of the calculated wall heating and cooling compliance values, 
Hi and Ci, for all orientations of the proposed 
design, as determined in section 5.5.6, shall not exceed the sum of the 
corresponding wall criteria for all orientations for wall heating 
(WCh) and wall cooling (WCc).
    (b) For buildings that are only heated, the sum of the calculated 
wall heating compliance values, Hi, for all orientations of 
the proposed design, as determined in section 5.5.6, shall not exceed 
the sum of the corresponding wall heating criterion WCh for 
all orientations.
    (c) For buildings that are only mechanically cooled, the sum of the 
calculated cooling compliance values, Ci, for all 
orientations of the proposed design, as determined from section 5.5.6, 
shall not exceed the sum of the corresponding wall cooling criteria, 
WCc for all orientations.

          5.5.6.4  Constraints on Thermal Transmittance Values

    5.5.6.4.1  The compliance calculation procedure in section 5.5.6.3 
allows great flexibility in selecting values for envelope components as 
long as the overall criteria are met. In calculating compliance, two 
constraints are imposed on thermal transmittance values for opaque wall 
assemblies and fenestration assemblies comprising the Uo 
term, as follows:
    (a) Opaque Wall Assemblies: The opaque portion of walls with heat 
capacity (HC) less than 7 Btu/ft2 deg.F shall have an 
overall thermal transmittance (Uow) not greater than the 
value specified in Figure 5.5-4. Procedures, specified in section 5.3, 
shall be used to determine acceptable combinations of materials that 
meet the required value.
    (b) Fenestration Assemblies: The overall thermal transmittance 
(Uof) of fenestration assemblies shall not exceed 0.81 Btu/
hft\2\ deg.F for all locations with more than 3000 HDD65 
if the fenestration area exceeds 10% of the total wall area exposed to 
the outside air. Thermal transmittance for the fenestration shall be 
determined using the calculation procedures in Section 5.3.1 and shall 
include the effects of sash, frames, edge effects, and spacers for 
multiple-glazed units.

                5.5.6.5  Constraint on Daylighting Credit

    5.5.6.5.1  For a given orientation, daylight credit may be used in 
Equations 5.5-2 and 5.5-6 only for that portion of the fenestration that 
is less than or equal to 65% of the gross wall area of the orientation.

                     5.5.6.6  Lighting Power Density

    5.5.6.6.1  The Lighting Power Density used in calculating the 
compliance value shall be:
    (a) The building average unit Interior Lighting Power Allowance of 
the proposed design in W/ft\2\ as specified in section 3.0;
    (b) The average of the Lighting Power Budgets for all activity areas 
within 15 ft of each exterior wall based

[[Page 393]]

on the procedures set forth in section 5.3; or
    (c) The actual lighting power density of the proposed design in W/
ft\2\, either building average or average of the lighting power within 
15 ft of each exterior wall.

                    5.5.6.7  Equipment Power Density

    5.5.6.7.1  The equipment power density used in determining 
compliance shall be either:
    (a) The ``Average Receptacle Power Densities'' from Table 5.4-32, or
    (b) The actual average Equipment Unit Power Density, considering 
diversity, either building average or average in the activity areas 
within 15 ft of each exterior wall, not to exceed 1 W/ft\2\.

                        5.5.6.8  Occupancy Loads

    5.5.6.8.1  An occupancy load of 0.6 W/ft\2\ is assumed. If the 
occupancy loads in the building design are different from this value, 
use the larger value.

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                  Attachment 5C to 435.105 Bibliography

    1. Pacific Northwest Laboratory. October, 1983. Recommendations for 
Energy Conservation Standards and Guidelines for New Commercial 
Buildings. For Building System Division, Assistant Secretary, 
Conservation and Renewable Energy, U.S. Department of Energy. (Contract 
No. DE-AC06-76RLO 1830). The report is issued in 4 volumes consisting of 
40 separate publications (PNL-4870-1 through PNL-4870-40). The 
publications most pertinent to the envelope analysis are cited below:
    Volume 2: Description of the Development Process; Appendix A: 
Envelope Research Documentation.
    Volume 3: Description of the Testing Process; Appendix B: Envelope 
Compliance Code Documentation.
    Volume 4: Documentation of Test Results: (Each in 3 volumes): A: 
Small Office Building (Branch Bank); B: Medium Office Building; C: Large 
Office Building; D: Retail Store (Anchor Store); E: Strip Store; F: 
Apartment House; G: Hotel; H: Warehouse; I: Assembly Building (Church); 
J: School.
    2. Jones, Jerold, W., Special Project 41: ``Development of 
Recommendations to Upgrade ASHRAE Standard 90A-1980. `Energy 
Conservation in New Building Design' '', ASHRAE Journal. October, 1983.
    3. Wilcox, B., A. Gumerlock, C. Barnaby, R. Mitchell, and C. 
Huizenga, Berkeley Solar Group. December 1985. ``The Effects of Thermal 
Mass Exterior Walls on Heating and Cooling Loads in Commercial 
Buildings: A Procedure for Calculations in ASHRAE Standard 90.'' 
Proceedings, Thermal Performance of the Exterior Envelopes of Buildings 
III. ASHRAE/DOE/BTECC, pp 1187-1224, Clearwater Beach, Florida.
    4. Hirsch, James J. December 1982. ``Simulation of HVAC Equipment in 
the DOE-2 Program.'' Energy and Environment Division, Lawrence Berkeley 
Laboratory, University of California. LBL-14026. DOE Contract DE-AC03-
76SF00098.
    5. Johnson, R., D. Arasteh, D. Connell and S. Selkowitz. ``The 
Effect of Daylighting Strategies on Building Cooling Loads and Overall 
Energy Performance.'' Windows and Daylighting Group, Lawrence Berkeley 
Laboratory, University of California. LBL-20374.
    6. D. Arasteh, R. Johnson, S. Selkowitz and D. Connell. September 
1985. ``Cooling Energy and Cost Savings with Daylighting in a Hot and 
Humid Climate.'' Applied Science Division, Lawrence Berkeley Laboratory, 
University of California. LBL-19734. DOE Contract DE-AC03-76SF00098.
    7. Sullivan, R., Y.J. Huang, J. Bull, I. Turiel, R. Ritschard and S. 
Selkowitz. April 1985. ``Thermal Analysis of Buildings--Configuration 
Perturbations and Observed Climate Interface.'' Applied Science 
Division, Lawrence Berkeley Laboratory, University of California. LBL-
19383. DOE Contract DE-AC03-76SF00098. ASHRAE Transactions, Vol. 92, 
Part 1, 1986.
    8. Johnson, R., D. Arasteh, and S. Selkowitz. March, 1985. ``Energy 
Reduction Implications of Fenestration,'' Applied Science Division, 
Lawrence Berkeley Laboratory, University of California. LBL-19304. DOE 
Contract DE-AC03-76SF00098.
    9. Selkowitz, S. October 1984. ``Influence of Windows on Building 
Energy Use.'' Applied Science Division, Lawrence Berkeley Laboratory, 
University of California. LBL-18663. DOE Contract DE-AC03-76SF00098.
    10. Johnson, R., R. Sullivan, S. Selkowitz, S. Nozaki, C. Conner and 
D. Arasteh. 1984. ``Glazing Energy Performance and Design Optimization 
with Daylighting.'' Energy and Buildings, 6 (1984) pp. 305-317.
    11. Selkowitz, S., D. Arasteh, and R. Johnson. July 1984. ``Peak 
Demand Savings from Daylighting in Commercial Buildings.'' Applied 
Science Division, Lawrence Berkeley Laboratory, University of 
California. LBL-18126. DOE Contract DE-AC03-76SF00098.
    12. Johnson, R., S. Selkowitz, and R. Sullivan. April 1984. ``How 
Fenestration Can Significantly Affect Energy Use in Commercial 
Buildings.'' Energy Efficient Buildings Program, Lawrence Berkeley 
Laboratory, University of California. LBL-17330. DOE Contract DE-AC03-
76SF00098.
    13. Sullivan, R., S. Nozaki, R. Johnson, and S. Selkowitz. October 
1983. ``Commercial Building Energy Performance Analysis Using Multiple 
Regression Procedures.'' Applied Science Division, Lawrence Berkeley 
Laboratory, University of California. LBL-16645. DOE Contract DE-AC03-
76SF00098.
    14. September 1983. ``Data Base Definition and Procedural Guidelines 
for Building Envelope Thermal and Daylighting Analysis in Support of 
Recommendation to Upgrade ASHRAE/IES Standard 90.'' Applied Science 
Division, Lawrence Berkeley Laboratory, University of California. LBID-
801. DOE Contract DE-AC03-76SF00098.
    15. Johnson, R., R. Sullivan, S. Nozaki, S. Selkowitz, C. Conner, 
and D. Arasteh. September 1983. Building Envelope Thermal and 
Daylighting Analysis In Support of Recommendations to Upgrade ASHRAE/IES 
Standard 90--Final Report. Applied Science Division, Lawrence Berkeley 
Laboratory, University of California. LBLl-16770. DOE Contract DE-AC03-
76SF00098.
    16. Selkowitz, S., S. Choi, R. Johnson and R. Sullivan. 1983. ``The 
Impact of Fenestration on Energy Use and Peak Loads in Daylighted 
Commercial Buildings.'' Progress in Passive Solar Energy Systems, 
Copyright 1983. (0731-8626/83).
    17. Choi, S., R. Johnson and S. Selkowitz. 1984. ``The Impact of 
Daylighting on Peak Electrical Demand.'' Energy and Buildings, 6 (1984) 
pp. 387-399.

[[Page 425]]

    18. Selkowitz, S. and F. Winkelmann. May 1983. ``New Models for 
Analyzing the Thermal and Daylighting Performance of Fenestration.'' 
Energy Efficient Buildings Program, Lawrence Berkeley Laboratory, 
University of California. LBL-14517. DOE Contract DE-AC03-76SF00098.
    19. Selkowitz, S., J. J. Kim, M. Navvab and F. Winkelmann. June 
1982. ``The DOE-2 and Superlite Daylighting Programs.'' Applied Science 
Division, Lawrence Berkeley Laboratory, University of California. LBL-
14569. DOE Contract DE-AC03-76SF00098.
    20. Johnson, R., S. Selkowitz, F. Winkelmann, and M. Zenter. October 
1981. ``Glazing Optimization Study for Energy Efficiency in Commercial 
Office Buildings.'' Energy Efficient Buildings Program, Lawrence 
Berkeley Laboratory, University of California. LBL-12764. DOE Contract 
DE-AC03-76SF00098.
    21. Arasteh, D., Johnson, R., Selkowitz, S., and Sullivan R. 1985. 
``Energy Performance and Savings Potential with Skylights.'' ASHRAE 
Transactions, Vol. 91, Part 1.
    22. Arasteh, D., Johnson, R., and Selkowitz, S. May 1985. The 
Effects of Skylight Parameters on Daylighting Energy Savings, Applied 
Science Division. Lawrence Berkeley Laboratory, University of 
California, LBL-17456. DOE Contract DE-AC03-76SF00098.
    23. Crawley, D.B., Briggs, R.S., December 1985. Envelope Design 
Implications of ASHRAE Standards 90.1P: A Case Study View, Proceedings, 
Thermal Performance of the Exterior Envelope of Buildings III, ASHRAE/
DOE/BTECC, Clearwater Beach, FL. Pacific Northwest Laboratory, Richland, 
WA. DOE Contract DE-AC06-76RLO-1830.



Sec. 435.106  Electric power and distribution.

                              6.1  General

    6.1.1  This section contains minimum requirements for all building 
electrical systems, except required emergency systems.
    6.1.2  A building shall be considered in compliance with this 
section if the minimum requirements of section 6.3 are met.

                        6.2  Principles of Design

    6.2.1  Electric Distribution Systems
    6.2.1.1  Transformers and generating units shall be sized as close 
as possible to the actual anticipated load (i.e., oversizing is to be 
avoided so that fixed thermal losses are minimized).
    6.2.1.2  Distribution of electric power at the highest practical 
voltage and load selection at the maximum power factor consistent with 
safety shall be considered. The use of distribution system transformers 
shall be minimized.
    6.2.1.3  Tenant submetering can be one of the most cost-effective 
energy conservation measures available. A large portion of the energy 
use in tenant facilities occurs simply because there is no economic 
incentive to conserve.

                        6.3  Minimum Requirements

    6.3.1  Electrical Distribution System
    6.3.1.1  All commercial or multi-family high rise residential 
buildings, having designed connected electric service over 250 kVA, 
shall have electrical energy consumption check metered on the basis of 
usage category or tenant occupancy, depending on conditions defined 
below. For buildings that are occupied by multiple tenants, the metering 
shall be per tenant, if the tenant has a connected load of 100 kVA or 
more. HVAC and service hot water systems, shared among tenants, need not 
meet this requirement but shall be separately metered.
    6.3.1.2  The electrical power feeders for each facility for which 
check-metering is required shall be by tenant and shall be subdivided in 
accordance with the following categories:
    6.3.1.2.1  Lighting and receptacle outlets;
    6.3.1.2.2  HVAC and service water heating systems and equipment; and
    6.3.1.2.3  Special occupant equipment or systems of more than 20 kW, 
such as elevators, computer rooms, kitchens, printing equipment, and 
baling presses.
    6.3.1.2.4  Exception to Section 6.3.1.2:
    (a) 10% or less of the loads on a feeder may be from another usage 
category.
    6.3.1.3  The power feeders for each category shall contain portable 
or permanent submetering prior to or within any primary or secondary 
distribution panels. Such provisions shall include a separate 
compartment or panel of adequate size and design to house the necessary 
voltage and current transformers. An accessible means of attaching 
clamp-on meters or split-core current transformers shall be provided.
    6.3.1.4  The locations of these points of measurement may be central 
or distributed throughout the building, as

[[Page 426]]

appropriate to the layout of the building. A minimum arrangement shall 
provide a safe method for access to the enclosures through which feeder 
conductors pass, and have sufficient space to attach clamp-on or split-
core current transformers. These enclosures may be separate compartments 
or combined with electrical cabinets serving another function. 
Enclosures so furnished shall be identified by available measuring 
function. A preferred arrangement would include kWh meters and demand 
registers, or a means to transmit such information to a building energy 
management control system.
    6.3.1.5  In multiple-tenant buildings, where designed connected 
electrical service is over 250 kVA, each tenant space having a total 
connected load of more than 100 kVA shall have provision made to permit 
check-metering of the total tenant load. If the building is served by a 
common HVAC system, the HVAC loads need not be check metered for each 
tenant.

                           6.3.2  Transformers

    6.3.2.1  All permanently wired transformers, that are part of the 
building electrical distribution system, except utility-owned 
transformers, shall be selected to minimize the combination of no-load, 
part-load, and full-load losses, without compromising the electrical 
system operating and reliability requirements.
    6.3.2.2  If the total capacity of the transformers exceeds 300 kVA, 
a calculation of total estimated annual operating costs of the 
transformer losses shall be made. This calculation shall be based on 
estimated hours of transformer operation at projected part-load and 
full-load conditions, and the associated transformer core and coil 
losses. If appropriate data for projecting this calculation is 
unavailable, use Form 6.3-1 ``Transformer Loss Calculation Estimate'' as 
a basis for making the estimate. The calculations made in accordance 
with this section shall be used to compare among types of transformers 
and configurations available to the designer to balance energy costs 
with necessary operating flexibility, reliability (redundancy), and 
safety. The projected annual energy costs for the losses of the selected 
arrangement shall be retained as part of the electrical design 
documentation.

[[Page 427]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.207



[[Page 428]]

    6.3.3  Electric Motors
    6.3.3.1  All permanently wired polyphase motors of 1 hp or more 
serving the building, shall meet the requirements of this section. 
Motors expected to operate more than 500 hours per year shall have a 
minimum acceptable nominal full-load motor efficiency no less than that 
shown in Table 6.3-1.
    6.3.3.1.1  Table 6.3-1 applies to motors having nominal 1200, 1800, 
or 3600 RPM; with open, drip-proof, or TEFC enclosures. Other motor 
types are exempted from the minimum efficiency requirements of these 
standards.
    6.3.3.1.2  Motor efficiency ratings shall be based on a 
statistically valid quality control procedure conforming with ANSI/IEEE 
112-1984, Test Method B (Dynamometer) using NEMA MG 1-1987 (MG 1-12.54 
and MG 1-12.55) for motors below 500 hp. For motors 500 hp and above, 
ANSI/IEEE 112-1984, Test Method B or Method F (Equivalent Circuit 
Calculation), shall be used.
    6.3.3.1.3  Values listed in Table 6.3-1 are nominal efficiencies. 
Minimum motor efficiencies shall not be less than the corresponding 
values provided in NEMA MG 1-12.54.
[GRAPHIC] [TIFF OMITTED] TC04OC91.208

    6.3.3.1.4  Motor efficiency shall be tested using a statistically 
valid quality control procedure conforming with the IEEE 112A, Test 
Method B (1978) (Dynmometer) fan motors E below 500 hp, or Test Method F 
(1978) (Equivalent Circuit Calculation) based on no-load measurements 
for motors 500 hp and larger.

[[Page 429]]

    6.3.3.2  Motor nameplates shall list the minimum and the nominal 
full-load motor efficiencies and the full-load power factor.
    6.3.3.3  Full-load motor power factor for three-phase motors can be 
calculated from nameplate data by Equation 6.3-1:

% Power Factor=(hp  x  745  x  100)/(nominal efficiency  x  full-load 
          amps  x  rated voltage  x 30.5).

                             Equation 6.3-1

    6.3.3.4  Motor horsepower rating shall not exceed 125% of the 
calculated maximum load being served, or the next larger standard motor 
size if a standard rating does not fall within this range.
    6.3.4  Operation and Maintenance of Electrical Systems
    6.3.4.1  The designer shall specify that building owners be provided 
with written information that provides basic data relating to the 
design, operation, and maintenance of the electrical distribution system 
for the building. This shall include:
    6.3.4.1.1  a single-line diagram of the ``as-built'' building 
electrical system;
    6.3.4.1.2  schematic diagrams of electrical control systems (other 
than HVAC, covered elsewhere);
    6.3.4.1.3  manufacturers' operating and maintenance manuals on 
active electrical equipment; and
    6.3.4.1.4  the Transformer Loss Calculation Estimate if required by 
Section 6.3.2.2.



Sec. 435.107  Heating, Ventilation, and Air-Conditioning (HVAC) systems.

                              7.1  General

    7.1.1  This section contains minimum and prescriptive requirements 
for the design of HVAC systems. It is recommended that the designer 
evaluate other energy conservation measures that may be applicable to 
the proposed design.
    7.1.2  A building shall be considered in compliance with this 
section if the following conditions are met:
    7.1.2.1  The minimum requirements of Section 7.3 are met; and
    7.1.2.2  The HVAC system design complies with the prescriptive 
criteria of section 7.4. For the design of HVAC systems that incorporate 
innovative or alternate design strategies, the compliance paths set 
forth in Section 11.0 or 12.0 should be used.

                        7.2  Principles of Design

                    7.2.1  Control of Equipment Loads

    7.2.1.1  The thermal impact of equipment and appliances shall be 
minimized by use of hoods, radiation shields, or other confining 
techniques, and by use of controls to assure that such equipment is 
turned off when not needed. In addition, major heat-generating equipment 
shall, where practical, be located where it can balance other heat 
losses. For example, computer centers or kitchen areas could be located 
in the north or northwest perimeter areas of buildings depending on 
climate and prevailing wind directions. In addition, heat recovery shall 
be specifically considered for this equipment.

                        7.2.2  HVAC System Design

    7.2.2.1  Separate HVAC systems shall be considered to serve areas 
expected to operate on widely differing operating schedules or design 
conditions. For instance, systems serving office areas should generally 
be separate from those serving retail areas. When a single system serves 
a multi-tenant building, provisions shall be made to shut-off or set-
back the heating and cooling to each area independently.
    7.2.2.2  Spaces with relatively constant and weather-independent 
loads may be served with systems separate from those serving perimeter 
spaces. Areas with special temperature or humidity requirements, such as 
computer rooms, shall be served by systems separate from those serving 
areas that require comfort heating and cooling only, alternatively, 
these areas shall be served by supplementary or auxiliary systems.
    7.2.2.3  The supply of zone cooling and heating shall be sequenced 
to prevent the simultaneous operation of heating and cooling systems for 
same space. Where this is not possible due to ventilation or air 
circulation requirements, air quantities shall be reduced as much as 
possible before reheating, recooling, or mixing hot and cold air

[[Page 430]]

streams. Finally, supply air temperature shall be reset to extend 
economizer operations and to reduce reheat, recool, or mixing losses.
    7.2.2.4  Systems serving areas with significant internal heat gains 
(lighting, equipment, and people), especially interior zones with little 
or no exposure to outside air, shall be designed to take advantage of 
mild or cool weather conditions to reduce cooling energy if heat 
recovery systems are not used. These systems, called air or water 
economizers, shall be designed to provide a partial reduction in cooling 
loads even when mechanical cooling must be used to provide the remainder 
of the load. Economizer controls shall be integrated with the mechanical 
cooling (leaving air temperature) controls so that mechanical cooling is 
only operated when necessary and so supply air is not overcooled to a 
temperature below the desired supply temperature. The systems and 
controls shall be designed so that economizer operation does not 
increase heating energy use. For instance, single fan dual duct or 
multizone systems that use the same mixed air plenum for both heating 
and cooling supplies shall not be used.
    7.2.2.5  Controls shall be provided to allow systems to operate in 
an occupied mode and an unoccupied mode. In the occupied mode, controls 
shall provide for a gradually changing control point as system demands 
change from cooling to heating. In the unoccupied mode, ventilation and 
exhaust systems shall be shut off if possible, and comfort heating and 
cooling systems shall be shut off except to maintain ``setback'' space 
conditions. The setback conditions shall be the minimum and maximum 
levels required to prevent damage to the building or its contents and 
provide for a reasonable morning pick-up period. Note however that night 
setback may not conserve energy in buildings with large amounts of 
thermal mass.
    7.2.2.6  In areas where diurnal temperature swings and humidity 
levels permit, the judicious coupling of air distribution systems and 
building structural mass may be considered to allow the use of night-
time precooling to reduce the use of day-time mechanical cooling.
    7.2.2.7  High ventilation, such as in hospital operating rooms, can 
impose enormous heating and cooling loads on HVAC equipment. In these 
cases, consideration shall be given to the use of recirculating filtered 
and cleaned air, rather than 100% outside air, and pre-heating outside 
air with solar systems or reclaimed heat from other sources.

                     7.2.3  Energy Transport Systems

    7.2.3.1  Energy shall be transported by the most energy efficient 
means possible. The following options, are listed in order of efficiency 
from the (most efficient) lowest energy transport burden to the highest:
    7.2.3.1.1  Electric Wire or Fuel Pipe,
    7.2.3.1.2  Two-Phase Fluid Transfer (Steam or Refrigerant),
    7.2.3.1.3  Single-Phase Liquid Fluid (Water, Glycol, Etc.), and
    7.2.3.1.4  Air.
    7.2.3.2  The distribution system shall be selected to complement 
other system parameters such as control strategies, storage 
capabilities, and conversion and utilization system efficiencies.

                         7.2.3.3  Steam Systems

    7.2.3.3.1  Provisions for seasonal or ``non-use time'' shutdown 
shall be incorporated.
    7.2.3.3.2  The venting of steam and ingestion of air shall be 
minimized with the design directed toward full vapor performance.
    7.2.3.3.3  Subcooling shall generally be prevented.
    7.2.3.3.4  Condensate shall be returned to boilers or source devices 
at the highest possible temperature.

                         7.2.3.4  Water Systems

    7.2.3.4.1  Design flow quantity shall be minimized by designing for 
the maximum practical temperature differential.
    7.2.3.4.2  Flow quantity shall be varied with load where possible.
    7.2.3.4.3  Designs shall be for lowest practical pressure rise (or 
drop).
    7.2.3.4.4  Operating and idle control modes shall be provided.

[[Page 431]]

    7.2.3.4.5  When locating equipment, the critical pressure path shall 
be identified and the runs sized for minimum practical pressure drop.

                          7.2.3.5  Air Systems

    7.2.3.5.1  Air flow quantity shall be minimized by careful load 
analysis and an effective distribution system. If the psychometric 
nature of the application allows, the supply air quantity shall vary 
with the sensible load (i.e., VAV systems). The fan pressure requirement 
shall be held to the lowest practical value. Fan pressure shall be 
avoided as a source for control power.
    7.2.3.5.2  Each fan system shall be designed and controlled to 
reduce mechanical cooling requirements by taking advantage of favorable 
weather conditions.
    7.2.3.5.3  ``Normal'' and ``idle'' control modes shall be provided 
for the fan systems as well as the psychometric systems.
    7.2.3.5.4  Duct run distances shall be as short as possible, and the 
runs on the critical pressure path sized for minimum practical pressure 
drop.

                         7.2.4  Radiant Heating

    7.2.4.1  Radiant heating systems shall be considered in lieu of 
convective or all-air heating systems to heat areas which experience 
infiltration loads in excess of two (2) air changes per hour at design 
heating conditions.
    7.2.4.2  Radiant heating systems should be considered for areas with 
high ceilings, for spot heating, and for other applications where 
radiant heating may be more energy efficient than convective or all-air 
heating systems.

                         7.2.5  Energy Recovery

    7.2.5.1  Systems that recover energy should be considered when 
rejected fluid is of adequate temperature and a simultaneous need for 
energy exists for a significant number of operating hours.

                        7.3  Minimum Requirements

                      7.3.1  Calculation Procedures

    7.3.1.1  Heating and cooling system design loads for the purpose of 
sizing systems and equipment shall be determined in accordance with the 
procedures described in the ASHRAE Handbook, 1985 Fundamentals Volume, 
or a similar computation procedure. The design parameters specified in 
sections 7.3.1.2 through 7.3.1.10 shall be used for calculational 
purposes only and are not requirements or recommendations for operating 
setpoints.
    7.3.1.2  Indoor Design Conditions. Indoor design temperature and 
humidity conditions for general comfort applications shall be in 
accordance with the comfort criteria established in ANSI/ASHRAE Standard 
55-1981, ``Thermal Environmental Conditions for Human Occupancy,'' and/
or Chapter 8 of the ASHRAE Handbook, 1985 Fundamentals Volume, except 
that winter humidification and summer dehumidification are not required.
    7.3.1.2.1  Exceptions to Section 7.3.1.2:
    (a) Health care institutions and similar facilities where the indoor 
conditions may not be appropriate for the health and safety of 
occupants; and
    (b) Where special room temperature and/or humidity conditions are 
required by a process or procedure, other than comfort, such as rooms 
used for surgery or data processing.
    7.3.1.3  Outdoor Design Conditions. Outdoor design conditions shall 
be selected for listed locations from the ASHRAE Handbook, 1985 
Fundamentals Volume, from the columns of 99% values for heating design 
and 2.5% values for cooling design. Local weather data from the National 
Weather Service of the National Oceanic and Atmospheric Administration 
based on the same 99% and 2.5% values (or statistically similar 
annualized values such as 0.2% winter and 0.5% summer) may be used.
    7.3.1.3.1  Exception to Section 7.3.1.3:
    (a) Where necessary to assure the prevention of damage to the 
building or to material and equipment within the building, the median of 
annual extremes for heating and 1% column for cooling may be used.
    7.3.1.4  Ventilation. Outdoor air ventilation rates shall be 
selected from section 6.1 of ASHRAE Standard 62-1981, ``Ventilation for 
Acceptable Indoor Air Quality.''
    7.3.1.4.1  Exception to Section 7.3.1.4:
    (a) Outdoor air quantities, exceeding those shown in ASHRAE Standard 
62-

[[Page 432]]

1981, required because of special occupancy or process requirements, 
source control of air contamination, or local codes.
    7.3.1.5  Infiltration. Infiltration for heating and cooling design 
loads shall be calculated by the procedures in the ASHRAE Handbook, 1985 
Fundamentals Volume, or a similar computation procedure.
    7.3.1.6  Envelope. Building envelope heating and cooling loads shall 
be based on envelope characteristics, such as thermal conductance, 
shading coefficient and air leakage, consistent with the values used in 
the proposed building design to demonstrate compliance with section 5.0.
    7.3.1.7  Lighting. Lighting loads shall be based on proposed design 
lighting levels or power budgets consistent with section 3.0. Lighting 
may be ignored for heating load calculations.
    7.3.1.8  Other Loads. Other HVAC system loads, such as those due to 
people and equipment, shall be based on design data compiled from at 
least one of the following sources:
    7.3.1.8.1  Actual information based on the intended use of the 
building;
    7.3.1.8.2  Published data from manufacturers' technical publications 
and from technical society publications such as the ASHRAE Handbook, 
1987 HVAC Systems Applications Volume;
    7.3.1.8.3  Alereza, ``Estimates of Recommended Heat Gains Due to 
Commercial Appliances and Equipment,'' ASHRAE Transactions 90 (Pt. 2A), 
25-28 (1984);
    7.3.1.8.4  Default values to be used in determining the design 
energy budget in section 11.0 or 12.0 taken from Tables 11-2, 11-3, 11-4 
and 11-6; and
    7.3.1.8.5  Other data based on designer's experience of expected 
loads and occupancy patterns.
    7.3.1.8.6  Exception to Section 7.3.1.8:
    (a) Internal heat gains may be ignored for heating load 
calculations.
    7.3.1.9  Safety Factor. Design loads may, at the designer's option, 
be increased by as much as 10% to account for unexpected loads or 
changes in space usage.
    7.3.1.10  Pick-up Loads. Transient loads such as warm-up or cool-
down loads that occur after off-hour setback or shutoff, may be 
calculated from basic principles, based on the heat capacity of the 
building and its contents, the degree of setback, and desired recovery 
time, or may be assumed to be up to 30% for heating and 10% for cooling 
of the steady-state design loads.

                   7.3.2  System and Equipment Sizing

    7.3.2.1  HVAC systems and equipment shall be sized to provide no 
more than the space and system loads require, as calculated in 
accordance with section 7.3.1.
    7.3.2.1.1  Exceptions to Section 7.3.2.1:
    (a) Equipment capacity may exceed the design load if the equipment 
selected is the smallest size needed to meet the load within available 
options of equipment;
    (b) Equipment whose capacity exceeds the design load may be 
specified if calculations demonstrate that oversizing can be shown not 
to increase annual energy use;
    (c) Stand-by equipment may be installed if controls and devices are 
provided that allow stand-by equipment to operate automatically only 
when the primary equipment is not operating;
    (d) Multiple units of the same equipment type, such as multiple 
chillers and boilers, with combined capacities exceeding the design load 
may be specified to operate concurrently only if controls are provided 
that sequence or otherwise optimally control the operation of each unit 
based on cooling or heating load;
    (e) For unitary equipment with both heating and cooling capability, 
only one function, either the heating or the cooling, need meet the 
requirements of this subsection. Capacity for the other function shall 
be, within available equipment options, the smallest size necessary to 
meet the load; and
    (f) For buildings complying with section 11.0 or 12.0, equipment of 
higher capacity than the design load may be specified if the oversized 
equipment is modeled in the building energy analysis of the proposed 
design and the proposed design complies with the standards.

                7.3.3  Separate Air Distribution Systems

    7.3.3.1  Zones in a building that are expected to operate non-
concurrently

[[Page 433]]

for 750 or more hours per year shall either be served by separate air 
distribution systems, or off-hour controls shall be provided in 
accordance with section 7.3.5.3.
    7.3.3.2  Zones with special process temperature and/or humidity 
requirements shall be served by separate air distribution systems from 
those serving zones requiring only comfort heating and/or cooling, or 
supplementary provisions shall be included to allow the primary systems 
to be specifically controlled for comfort purposes only.
    7.3.3.2.1  Exception to Section 7.3.3.2:
    (a) Zones, requiring comfort heating and/or cooling, that are served 
by a system primarily used for process temperature and humidity control, 
need not be served by a separate system if the total supply air to these 
zones is no more than 25% of the total system supply air, or the zones 
total conditioned floor area is less than 1000 ft \2\.
    7.3.3.3  Zones having substantially different heating or cooling 
load characteristics, such as perimeter zones in contrast to interior 
zones, shall not be served by a single multiple zone air distribution 
system.

                       7.3.4  Temperature Controls

    7.3.4.1  System Control. Each HVAC system shall include at least one 
temperature control device.
    7.3.4.2  Zone Controls. The supply of heating and/or cooling energy 
to each zone shall be controlled by an individual thermostat located 
within the zone.
    7.3.4.2.1  Exceptions to Section 7.3.4.2:
    (a) Independent perimeter systems may serve multiple zones of the 
primary/interior system with the following limitations:
    (1) The perimeter system shall include at least one thermostatic 
control zone for each major building exposure having exterior walls 
facing only one orientation for 50 contiguous feet or more; and
    (2) The perimeter system heating and/or cooling supply shall be 
controlled by thermostat controls located within the zone(s) served by 
the system; and
    (b) A dwelling unit may be considered a single zone.
    7.3.4.3  Zone thermostats used to control comfort heating shall be 
capable of being set, locally or remotely, by adjustment or selection of 
sensors, down to 55  deg.F.
    7.3.4.4  Zone thermostats used to control comfort cooling shall be 
capable of being set, locally or remotely, by adjustment or selection of 
sensors, up to 85  deg.F.
    7.3.4.5  Zone thermostats used to control both heating and cooling 
shall be capable of providing a temperavure range or dead band of at 
least 5  deg.F within which the supply of heating and cooling energy to 
the zone is shut off or reduced to a minimum.
    7.3.4.5.1  Exceptions to Section 7.3.4.5:
    (a) For buildings complying with Section 11.0 or 12.0, dead band 
controls are not required if, in the building energy analysis, heating 
and cooling thermostat setpoints are set to the same value between 70 
deg.F and 75  deg.F and assumed to be constant throughout the year;
    (b) Special occupancy, special usage or construction code 
requirements where dead band controls are not appropriate, adjustable 
single setpoint thermostats may be used; and
    (c) Thermostats that require manual changeover between heating and 
cooling modes.

                        7.3.5  Off-hour Controls

    7.3.5.1  Each HVAC system shall have automatic control setback and/
or shutdown of equipment during periods of non-use or alternate use of 
the spaces served by the system.
    7.3.5.1.1  Exceptions to Section 7.3.5.1:
    (a) Systems serving areas expected to operate continuously;
    (b) Where equipment with a full load demand of 2kW (6826 Btu/h) or 
less may be controlled by readily accessible manual off-hour controls;
    (c) Where setback or shutdown will not result in a decrease in 
overall building energy use.
    7.3.5.2  Outside air supply and/or exhaust systems shall be equipped 
with motorized or gravity dampers or other means of automatic volume 
shutoff or reduction during periods of non-use or alternate use of the 
spaces served by the system.
    7.3.5.2.1  Exceptions to Section 7.3.5.2:

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    (a) Individual ventilation systems when design air flow is 3000 cfm 
or less;
    (b) Systems that operate continuously;
    (c) When restricted by code, such as at combustion air intakes; or
    (d) When gravity and other non-electrical ventilation systems may be 
controlled by readily accessible manual damper controls.
    7.3.5.2.2  Dampers may be required in some climates to prevent 
equipment damage due to freezing and/or to provide proper warm-up 
control.
    7.3.5.3  Systems that serve areas that operate non-concurrently for 
750 or more hours per year shall have isolation devices and controls for 
shut off or set back of heating and cooling to each zone independently. 
Isolation is not required for zones expected to operate continuously or 
expected to be inoperative only when all other zones are inoperative.
    7.3.5.3.1  For buildings where occupancy patterns are not known at 
the time of system design, isolation areas may be predesignated.
    7.3.5.3.2  Zones may be grouped into a single isolation area 
providing the total conditioned floor area does not exceed 25,000 ft \2\ 
per group nor include more than one floor.

                         7.3.6  Humidity Control

    7.3.6.1  If a system maintains specific relative humidities by 
adding moisture, a humidistat shall be provided.
    7.3.6.2  If comfort humidification is provided, the system shall be 
designed to prevent the use of fossil fuel or electricity to maintain 
relative humidity in excess of 30%.
    7.3.6.3  If comfort dehumidification is provided, the system shall 
be designed to prevent the use of fossil fuel or electricity to reduce 
relative humidity below 60%.

                    7.3.7  Materials and Construction

    7.3.7.1  Insulation required by section 7.3.7.2 and 7.3.7.3 shall be 
suitably protected from damage. Insulation shall be installed in 
accordance with the Midwest Insulation Contractors Association 
``Commercial and Industrial Insulation Standards,'' 1983.
    7.3.7.2  Piping Insulation. All HVAC system piping installed to 
serve buildings and within buildings shall be thermally insulated in 
accordance with Table 7.3-1.

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    7.3.7.2.1  Exceptions to Section 7.3.7.2:
    (a) For manufacturer installed piping within HVAC equipment tested 
and rated in accordance with Section 8.3;
    (b) For piping conveying fluids at temperatures between 55  deg.F 
and 105  deg.F;
    (c) For piping conveying fluids that have not been heated or cooled 
through the use of fossil fuels or electricity; and
    (d) When calculations demonstrate that heat gain and/or heat loss to 
or from piping without insulation will not increase building energy use.
    7.3.7.2.2  Alternative Insulation Types. Insulation thicknesses in 
Table 7.3-1 are based on insulation with thermal conductivities listed 
in Table 7.3-1 for each fluid operating temperature range, rated in 
accordance with ASTM C 335-84, ``Test Method for Steady-State Heat 
Transfer Properties of Horizontal Pipe Insulations,'' at the mean 
temperature listed in the table. For insulating materials having 
conductivities more than of those shown in the Table 7.3-1 for the 
applicable fluid operating temperature range and at the mean rating 
temperature shown, when rounded to the nearest 1/100th Btu/
h deg.Fft \2\, the minimum thickness shall be determined 
in accordance with Equation 7.3-1:

                                                                        
                         T=PR x [(1+t/PR)K/k-1]                         
                                                                         
                                                                        
                                                                        


                             Equation 7.3-1

Where:

T=minimum insulation thickness for material with conductivity K, in.
PR=pipe actual outside radius, in.
t=insulation thickness from Table 7.3-1, in.
K=conductivity of alternate material at the mean rating temperature 
          indicated in Table 7.3-1 for the applicable fluid temperature 
          range, Btuin./h deg.Fft \2\
k=the lower value of conductivity listed in Table 7.3-1 for the 
          applicable fluid temperature range, Btuin./
          h deg.Fft \2\
    7.3.7.3  Air Handling System Insulation. All air handling ducts, 
plenums, and other enclosures installed as part of an HVAC air 
distribution system shall be thermally insulated in accordance with 
Table 7.3-2 (This table comes from section 1005 of the 1985 Uniform 
Mechanical Code).

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    7.3.7.3.1  Exception to section 7.3.7.3: Duct insulation is not 
required in any of the following cases:
    (a) Manufacturer installed plenums, casings or ductwork furnished as 
a part of HVAC equipment tested and rated in accordance with section 
8.3; and
    (b) When calculations demonstrate that heat gain and/or heat loss to 
or from ducts without insulation will not increase building energy use.
    7.3.7.4  Duct Construction. All air handling ductwork and plenums 
shall be constructed, erected and tested in accordance with the 
following Sheet Metal and Air Conditioning Contractors National 
Association (SMACNA) Standards: HVAC Duct System Design Manual, 1986; 
HVAC Duct Leakage Test Manual, 1985; and Fibrous Glass Construction 
Standards, 5th edition, 1979.
    7.3.7.4.1  Ductwork designed to operate at static pressure 
differences greater than 3 in. W.C. shall be leak tested and conform 
with the following requirements of the HVAC Duct Leakage Manual, 1985: 
Test procedures shall be in accordance with those outlined in section 
5.0 of the manual, or equivalent; test reports shall be provided in 
accordance with section 6.0 of the manual, or equivalent; the tested 
duct leakage class at a test pressure equal to the design duct pressure 
class rating shall be equal to or less than leakage class 6 as defined 
in section 4.1 of the manual. Leakage testing may be limited to 
representative sections of the duct system but in no case shall such 
tested sections include less than 25% of the total installed duct area 
for the designated pressure class.
    7.3.7.4.2  Where supply ductwork designed to operate at static 
pressure differences from \1/4\ in. to 2 in. W.C. are located outside of 
the conditioned space, including return plenums, joints shall be sealed 
in accordance with Seal Class C, as defined in the SMACNA manuals 
referenced above. Pressure sensitive tape shall not be used as the 
primary sealant for such ducts designed to operate at 1 in. W.C. 
pressure difference or greater.

                     7.3.8  Completion Requirements

    7.3.8.1  An operating and maintenance manual shall be provided to 
the building owner. The manual shall include basic data relating to the 
operation and maintenance of HVAC systems and equipment. Required 
routine maintenance actions shall be clearly identified. Where 
applicable, HVAC controls information such as diagrams, schematics, 
control sequence descriptions, and maintenance and calibration 
information shall be included.
    7.3.8.2  Air system balancing shall be accomplished in a manner to 
minimize throttling losses and then fan speed shall be adjusted to meet 
design flow conditions. Balancing procedures shall be in accordance with 
those established by the National Environmental Balancing Bureau (NEBB), 
the Association of Air Balancing Council (AABC), or similar procedures.
    7.3.8.2.1  Exception to section 7.3.8.2:
    (a) Damper throttling may be used for air system balancing with fan 
motors of 1 hp or less, or if throttling results in no greater than \1/
3\ hp fan horsepower draw above that required if the fan speed were 
adjusted.
    7.3.8.3  Hydronic system balancing shall be accomplished in a manner 
to minimize throttling losses and then the pump impeller shall be 
trimmed or pump speed shall be adjusted to meet design flow conditions.
    7.3.8.3.1  Exceptions to section 7.3.8.3: Valve throttling may be 
used for hydronic systems balancing under any of the following 
conditions:
    (a) Pumps with pump motors of 10 hp and less;
    (b) If throttling results in pump horsepower draw no greater than 3 
hp above that required if the impeller were trimmed;
    (c) To reserve additional pump pressure capability in open circuit 
piping systems subject to fouling. Valve throttling pressure drop shall 
not exceed that expected for future fouling; or
    (d) Where it can be shown that throttling will not increase overall 
building energy use.
    7.3.8.4  HVAC control systems shall be tested to assure that control 
elements are calibrated, adjusted, and in proper working condition.

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     7.4  Heating, Ventilation and Air-Conditioning (HVAC) Systems--
                   Prescriptive Compliance Alternative

                          7.4.1  Zone Controls

    7.4.1.1  Zone thermostatic and humidistatic controls shall be 
capable of operating in sequence, the supply of heating and cooling 
energy to the zone. The controls shall prevent:
    7.4.1.1.1  Reheating (heating air that is cooler than system mixed 
air);
    7.4.1.1.2  Recooling (cooling air that is warmer than system mixed 
air);
    7.4.1.1.3  Mixing or the simultaneous supply of air that has been 
previously mechanically heated and air that has been previously cooled, 
either by mechanical refrigeration or by economizer systems; and
    7.4.1.1.4  Other simultaneous operation of heating and cooling 
systems to one zone.
    7.4.1.2  Exceptions to section 7.4.1.1:
    7.4.1.2.1  Variable air volume systems that, during periods of 
occupancy, are designed to reduce the air supply to each zone to a 
minimum before reheating, recooling, or mixing during periods of 
occupancy. The minimum volume setting shall be no greater than the 
larger of the following:
    (a) 30% of the peak supply volume;
    (b) The minimum volume required to meet the ventilation requirements 
of section 7.3.1.4; and
    (c) 0.4 cfm/ft\2\ of conditioned zone area. In addition, supply air 
temperatures shall be automatically reset based on representative 
building loads or outside air temperature by at least 25% of the 
difference between the design supply air and room air temperature. Zones 
expected to experience relatively constant loads, such as interior 
zones, shall be designed for the fully reset supply temperature. Supply 
air reset control is not required if calculations demonstrate that it 
increases overall building energy use;
    7.4.1.2.2  Zones where special pressurization relationships or 
cross-contamination requirements are such that variable air volume 
systems are impractical, such as some areas of hospitals and 
laboratories. In these cases, systems shall include automatic supply air 
reset controls in accordance with section 7.4.1.2.1 above;
    7.4.1.2.3  At least 75% of the energy for reheating or providing 
warm air in mixing systems is provided from site-recovered energy that 
would otherwise be wasted, or from non-depletable energy sources;
    7.4.1.2.4  Zones where specific humidity levels are required to 
satisfy process needs, such as computer rooms and museums (see section 
7.3.3.2); and
    7.4.1.2.5  Zones with a peak supply air quantity of 300 cfm or less.

                       7.4.2  Economizer Controls

    7.4.2.1  Each fan system shall be designed to take advantage of 
favorable weather conditions to reduce mechanical cooling requirements. 
The system shall include either of the following:
    7.4.2.1.1  A temperature or enthalpy air economizer system that is 
capable of automatically modulating outside air and return air dampers 
to provide up to 85% outside air for cooling; or
    7.4.2.1.2  A water economizer system that is capable of cooling 
supply air by direct and/or indirect evaporation. The system shall be 
designed and controlled to be able to provide 100% of the system cooling 
load at outside air temperatures of 50  deg.F dry-bulb/45  deg.F wet-
bulb and below. Each economizer system shall be capable of providing 
partial cooling even when additional mechanical cooling is required to 
meet the remainder of the cooling load.
    7.4.2.1.3  Exceptions to section 7.4.2.1:
    (a) individual fan/cooling units with supply capacity of less than 
3,000 cfm or a total cooling capacity less than 90,000 Btu/h. The total 
capacity of such units per building complying by this exception shall 
not exceed 600,000 Btu/h per building or 10% of the total installed 
cooling capacity, whichever is larger;
    (b) Systems with air or evaporatively cooled condensers and for 
which one of the following is true:
    (1) The system is located where the quality of the air, as defined 
in ASHRAE Standard 62-1981, is so poor as to require extensive treatment 
of the air, and

[[Page 440]]

    (2) Calculations indicate that the use of outdoor air cooling 
affects the operation of other systems, such as humidification, 
dehumidification, and supermarket refrigeration systems and will 
increase overall building energy use;
    (c) Calculations demonstrate that the overall building energy use 
for alternative designs, such as internal/external zone heat recovery 
systems, are less than those for an economizer system;
    (d) The system is located where the outdoor summer wet-bulb design 
condition (2.5% occurrence, ASHRAE Handbook, 1985 Fundamentals Volume) 
is more than 72  deg.F and annual HDD65 are less than 2,000;
    (e) Systems that serve envelope dominated spaces whose design space 
sensible cooling load, excluding transmission and infiltration loads, is 
less than or equal to transmission and infiltration losses at an outdoor 
temperature of 60  deg.F;
    (f) Systems serving residential spaces including hotel/motel rooms;
    (g) Cooling systems for which 75% of its annual energy consumption 
is provided by site-recovered energy that would otherwise be wasted, or 
from non-depletable energy sources; and
    (h) The zone(s) served by the system each have operable openings 
(windows, doors, etc.), the openable area of which is greater than 5% of 
the conditioned floor area. This exception applies only to spaces open 
to and within 20 ft of the operable openings. Automatic controls shall 
be provided that lockout system mechanical cooling when outdoor air 
temperatures are less than 60  deg.F.
    7.4.2.2  Economizer systems shall be capable of providing partial 
cooling even when additional mechanical cooling is required to meet the 
remainder of the cooling load.
    7.4.2.2.1  Exceptions to section 7.4.2.2.
    (a) Direct expansion systems may include controls to reduce the 
quantity of outside air as required to prevent coil frosting at the 
lowest step of compressor unloading. Individual direct expansion units 
that have a cooling capacity of 180,000 Btu/h or less may use economizer 
controls that preclude economizer operation whenever mechanical cooling 
is required simultaneously; and
    (b) Systems in climates with less than 750 average hours per year 
between 8 a.m. and 4 p.m. when the ambient dry bulb temperatures are 
between 55  deg.F and 69  deg.F inclusive. See Attachment 5A for climate 
data for 234 U.S. cities.
    7.4.2.3  System design and economizer controls shall be such that 
economizer operation does not increase the building heating energy use 
during normal operation.
    7.4.2.3.1  Exception to section 7.4.2.3:
    (a) At least 75% of the energy for heating is provided from site-
recovered energy that would otherwise be wasted, or from non-depletable 
energy sources.

                 7.4.3  Fan System Design Requirements.

    7.4.3.1  The following design criteria apply to all HVAC fan systems 
used for comfort heating, ventilating and/or cooling. For the purposes 
of this subsection, the energy demand of a fan is the sum of the demand 
of all fans that are required to operate at design conditions to supply 
air from the heating and/or cooling source to the conditioned space(s) 
and return it back to the source or exhaust it to the outdoors.
    7.4.3.1.1  Exceptions to section 7.4.3.1:
    (a) Systems with total fan system motor horsepower of 10 hp or less;
    (b) Unitary equipment for which the energy used by the fan is 
considered in the efficiency ratings of Section 8.0; and
    (c) Total fan energy demand need not include the additional power 
required by air treatment or filtering systems with final pressure drops 
in excess of 1 in. W.C.

                  7.4.3.2  Constant Volume Fan Systems.

    7.4.3.2.1  For supply and return fan systems that provide a constant 
air volume whenever the fans are operating, the power required for the 
combined fan system at design conditions shall not exceed 0.8 W/cfm of 
supply air.

[[Page 441]]

             7.4.3.3  Variable Air Volume (VAV) Fan Systems.

    7.4.3.3.1  For supply and return fan systems that vary system air 
volume automatically as a function of load, the power required by the 
motors for the combined system at design conditions shall not exceed 
1.25 W/cfm.
    7.4.3.3.2  Individual VAV fans with motors 75 hp and larger shall 
include controls and devices necessary for the fan motor to control 
demand to no more than 50% of design wattage at 50% of design air 
volume, based on manufacturer's test data.

                 7.4.4  Pumping System Design Criteria.

    7.4.4.1  The following design criteria apply to all HVAC pumping 
systems used for comfort heating and/or cooling. For the purposes of 
this section, the energy demand of a pumping system is the sum of the 
demand of all pumps that are required to operate at design conditions to 
supply fluid from the heating and/or cooling source to the conditioned 
space(s) or heat transfer device(s) and return it to the source.
    7.4.4.1.1  Exception to section 7.4.4.1:
    (a) Systems with total pump system motor horsepower of 10 hp or 
less.
    7.4.4.2  Friction Rate. Piping systems shall be designed at a design 
friction pressure loss rate of no more than 4.0 ft of water per 100 
equivalent ft of pipe. Lower friction rates may be required for proper 
noise or corrosion control.
    7.4.4.3  Variable Flow. Pumping systems that serve control valves 
designed to modulate or step open and close as a function of load, shall 
be designed for variable fluid flow. The system shall be capable of 
reducing flow to 50% of design flow or less. Flow may be varied by one 
of several methods, including, but not limited to, variable speed driven 
pumps, staged multiple pumps, or pumps riding their characteristic 
performance curves.
    7.4.4.3.1  Exceptions to section 7.4.4.3:
    (a) Systems where a minimum flow greater than 50% of the design flow 
is required for the proper operation of equipment served by the system, 
such as chillers;
    (b) Systems that serve no more than one control valve;
    (c) Where the overall building energy use resulting from an 
alternative design, such as a constant flow/variable temperature pumping 
system, is no more than those from a variable flow system; and
    (d) Systems that include supply temperature reset controls in 
accordance with section 7.4.5.2 without exception.

                7.4.5  System Temperature Reset Controls.

    7.4.5.1  Air Systems. Systems supplying heated or cooled air to 
multiple zones shall include controls that automatically reset supply 
air temperatures by representative building loads or by outside air 
temperature. Temperature shall be reset by at least 25% of the design 
supply-air-to-room-air temperature difference. Zones that are expected 
to experience relatively constant loads, such as interior zones, shall 
be designed for the fully reset supply temperature.
    7.4.5.1.1  Exceptions to section 7.4.5.1:
    (a) Systems which comply with section 7.4.1 without using exceptions 
in sections 7.4.1.2.1 or 7.4.1.2.2; and
    (b) Where it can be shown that supply air temperature reset 
increases overall building annual energy costs.
    7.4.5.2  Hydronic Systems. Systems supplying heated and/or chilled 
water to comfort conditioning systems shall include controls that 
automatically reset supply water temperatures by representative building 
loads (including return water temperature) or by outside air 
temperature. Temperature shall be reset by at least 25% of the design 
supply-to-return water temperature difference.
    7.4.5.2.1  Exceptions to section 7.4.5.2:
    (a) Systems that comply with section 7.4.4.3 without exception;
    (b) Where it can be shown that supply temperature reset increases 
overall building annual energy use;
    (c) Systems for which supply temperature reset controls cannot be 
implemented without causing improper operation of heating, cooling, 
humidification, or dehumidification systems; or
    (d) Systems with less than 600,000 Btu/h design capacity.

[[Page 442]]



Sec. 435.108  Heating, ventilation and air-conditioning (HVAC) equipment.

                              8.1  General

    8.1.1  This section contains minimum requirements for fundamental to 
good practice and/or the minimum acceptable state-of-the-art in energy 
efficient HVAC equipment.
    8.1.2  A building shall be considered in compliance with this 
section if the minimum requirements of Section 8.3 are met.

                        8.2  Principles of Design

    8.2.1  The rate of energy input(s) and the heating or cooling 
output(s) of all HVAC products shall be ascertained. This information 
shall be based on equipment in new condition, and shall cover full load, 
partial load, and standby conditions. The information shall also include 
performance data for modes of equipment operation and at ambient 
conditions as specified in the minimum equipment performance 
requirements below.

                          8.2.2  Source Systems

    8.2.2.1  To allow for HVAC equipment operation at the highest 
efficiencies, conversion devices shall be matched to load increments, 
and operation of modules shall be sequenced. Oversized or large scale 
systems shall never be used to serve small seasonal loads (e.g., a large 
heating boiler to serve a summer service water heating load). Specific 
``low load'' units shall be incorporated in the design where prolonged 
use at minimal capacities is expected.
    8.2.2.2  Storage techniques should be used to level or distribute 
loads that vary on a time or spatial basis to allow operation of a 
device at maximum (full-load) efficiency.
    8.2.2.3  All equipment shall be the most efficient (or highest COP) 
practical, at both design and reduced capacity (part-load) operating 
conditions.
    8.2.2.4  Fluid temperatures for heating equipment shall be as low as 
practical and for cooling equipment as high as practical, while meeting 
loads and minimizing flow quantities.

                        8.3  Minimum Requirements

                       8.3.1  Equipment Efficiency

    8.3.1.1  Minimum Equipment Efficiency. Equipment shall have a 
minimum efficiency at the specified rating conditions, not less than the 
values shown in Tables 8.3-1 through 8.3-10. Minimum efficiencies for 
equipment using chlorofluorocarbons (CFCs) refrigerants reflect the 
assumption that the use of certain refrigerants may be restricted 
because of ozone layer depletion concerns.
    8.3.1.2  Data furnished by the equipment supplier or certified under 
a nationally-recognized certification program or rating procedure may be 
used to satisfy these requirements.
    8.3.1.3  Integrated Part-Load Value (IPLV) is the descriptor for 
part-load efficiency for certain types of equipment. The IPLVs are found 
in the referenced ARI Standards. Compliance with minimum efficiency 
requirements specified for certain HVAC equipment shall include 
compliance with part-load requirements as well as standard or full-load 
requirements.
    8.3.1.4  If nationally-recognized test procedures for combined 
equipment are not available, efficiencies for service water heating 
shall be determined using data provided by equipment and component 
manufacturers, employing reasonable assumptions concerning uncertain 
parameters.
    8.3.1.5  Omission of minimum performance requirements for certain 
classes of HVAC equipment does not preclude use of such equipment where 
appropriate.

             8.3.2  Field Assembled Equipment and Components

    8.3.2.1  Where components, such as indoor or outdoor coils, from 
more than one manufacturer are used as parts of a cooling or heating 
unit, it shall be the responsibility of the system designer to specify 
component efficiencies, which when combined will provide equipment that 
is in compliance with the requirements of these standards, based on data 
provided by the component manufacturers.
    8.3.2.2  Total on-site energy input to the equipment shall be 
determined by combining the energy inputs to all

[[Page 443]]

components, elements, and accessories including but not limited to 
compressor(s), internal circulating pump(s), condenser-air fan(s), 
evaporative-condenser cooling water pump(s), purge devices, viscosity 
control heaters, and controls.
    8.3.2.3  Heat-Operated Water Chilling Package. Double-effect, heat-
operated water chilling packages shall be used in lieu of single-effect 
equipment, due to their higher efficiency, except where the energy input 
is from low temperature waste-heat or non-depletable energy sources.

                        8.3.3  Equipment Controls

    8.3.3.3  Heat pumps equipped with supplementary resistance heaters 
for comfort heating shall be installed with a control to prevent heater 
operation when the heating load can be met by the heat pump. A two-stage 
room thermostat, that controls the supplementary heat on its second 
stage, will meet this requirement. Supplementary heater operation is 
permitted where it can be shown that supplementary heating reduces 
energy use. Supplementary heater operation is permitted during short 
transient periods of less than 15 minutes during defrost cycles.
    8.3.3.3.1  Controls shall provide a means of activating the 
supplementary heat source on an emergency basis and a visible indicator 
shall be provided to indicate the emergency heat status.
    8.3.3.4  Cooling Equipment Auxiliary Controls. Evaporator coil 
frosting and excessive compressor cycling at part-load conditions shall 
not be controlled by use of either hot gas by-pass or evaporator 
pressure regulator control.

                    8.3.4  Comfort Heating Equipment

    8.3.4.1  The designer shall obtain data and information from the 
manufacturer of electric resistance comfort heating equipment regarding 
full-load and part-load energy consumption of the heating equipment over 
the range of voltages at which the equipment is intended to operate. All 
auxiliaries required for the operation of the heater equipment such as, 
but not limited to fans, pumps, viscosity control heaters, fuel handling 
equipment, and blowers shall be included in the energy input data 
provided by the manufacturer(s).

                           8.3.5  Maintenance

    8.3.5.1  Provisions shall be made to provide necessary preventive 
maintenance information to maintain efficient operation of all HVAC 
equipment.

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Sec. 435.109  Service water heating systems.

                              9.1  General

    9.1.1  This section contains minimum and prescriptive requirements 
for the design of Service Water Heating Systems.
    9.1.2  A building shall be considered in compliance with this 
section if the following conditions are met:
    9.1.2.1  The minimum requirements of section 9.3 are met; and
    9.1.2.2  The Service Water Heating System design complies with the 
prescriptive criteria of section 9.4.

                        9.2  Principles of Design

    9.2.1  Showerheads shall be designed to provide and maintain user 
comfort and energy savings. They should not use removable flow 
restricting inserts to meet flow limitation requirements.
    9.2.2  Point of use water heaters shall be considered where their 
use will reduce energy consumption and is life cycle cost effective.
    9.2.3  High temperature condensate, when returned to condensation 
pump tanks or other vented tanks, will have a certain portion flashed 
into steam, thus wasting energy. To conserve this energy, a heat 
exchanger shall be considered for use in the condensate return line to 
heat or preheat the service water, cool the condensate, and prevent 
flashing.
    9.2.4  Storage may be used to optimize heat recovery when the flow 
of heat to be recovered is out of phase with the demand for heated 
water, or when energy use for water heating can be shifted to take 
advantage of off-peak rates.

                        9.3  Minimum Requirements

                        9.3.1  Sizing of Systems

    9.3.1.1  Service water heating system design loads for the purpose 
of sizing and selecting systems shall be determined in accordance with 
the procedures described in chapter 54 of the ASHRAE Handbook, 1987 HVAC 
Systems and Applications Volume, or a similar computation procedure.

                       9.3.2  Equipment Efficiency

    9.3.2.1  All water heaters and hot water storage tanks shall meet 
the criteria of Table 9.3-1. Where multiple criteria are listed, all 
criteria shall be met. Where no criteria are provided, no requirements 
need be met.

[[Page 456]]



                               Table 9.3-1.--Standard Rating Conditions and Minimum Performance of Water Heating Equipment                              
                                                                   [January 30, 1989]                                                                   
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                              Minimum performance       
             Type                    Fuel           Storage            Input rating         Applicable test procedure ----------------------------------
                                                capacity (gal)                                                                DOE rating           Eff. 
--------------------------------------------------------------------------------------------------------------------------------------------------------
Storage water heaters.........  Electric......  <120..........  <12 kW...................  DOE Test Procedures, 1985   EF......................         
                                                                                            Code of Federal            >0.95-0.00132V..........         
                                                                                            Regulations Title 10,                                       
                                                                                            Part 430.                                                   
                                ..............  >120 (or).....  >12 kW...................  ANSI C72.1--1972..........  ........................  .......
                                Gas...........  <100..........  <75,000 Btu/h............  DOE Test Procedures, 1985   EF......................  .......
                                                                                            Code of Federal            >0.62-0.0019V...........         
                                                                                            Regulations Title 10,                                       
                                                                                            Part 30.                                                    
                                ..............  >100 (or).....  >75,000 Btu/h............  ANSI Z21.10.3-198 Gas       ........................  Et     
                                                                                            Water Heaters w/Addenda                              77%    
                                                                                            Z21.10.3a--1985.                                            
                                Oil...........  ..............  <75,000 Btu/h............  DOE Test Procedures, 1985   EF......................  .......
                                                <50...........                              Code of Federal            >0.59-0.0019V...........         
                                                                                            Regulations Title 10,                                       
                                                                                            Part 430.                                                   
                                ..............  ..............  <105,000 Btu/h...........  ..........................  >0.59-0.0019V...........  .......
                                ..............  >50 (or)......  >105,000 Btu/h...........  ..........................  ........................  Ec     
                                                                                                                                                 83%    
--------------------------------------------------------------------------------------------------------------------------------------------------------


                           Table 9.3-1.--Standard Rating Conditions and Minimum Performance of Water Heating Equipment (Cont.)                          
                                                                   [January 30, 1989]                                                                   
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Type                                                  Minimum performance     
-------------------------------------------------------------------------------------------------     Applicable test     ------------------------------
              Class                       Fuel                Capacity           Input rating            procedure                                      
--------------------------------------------------------------------------------------------------------------------------------------------------------
Unfired Storage.................  1...................  All Volume.........  All Inputs.........  .......................  ...........  HL              
                                                                                                                           ...........  <6.5 Btu/h ft\2\
Instantaneous...................  Gas.................  ...................  All Inputs.........  ANSI Z21.10.3--1984....  Et.........  ................
                                                                                                                           80%........  ................
                                  Distill Oil.........  ...................  All Inputs.........  .......................  Ec.........  ................
                                                                                                                           83%........  ................
Pool Heaters....................  Gas/Oil.............  ...................  All Inputs.........  ANSI Z21.56--1986......  Et.........  ................
                                                                                                                           78%c.......  ................
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes for Table 9.3-1:                                                                                                                                  
Terms Defined:                                                                                                                                          
1. EF = Energy factor, overall heater efficiency by DOE Test Procedure   Et = Thermal efficiency with 70 deg.F, eT   Ec = Combustion efficiency, 100    
  percent--flue loss when smoke = 0 (trace is permitted)   HL = Heat loss of tank surface area   V = Storage volume in gallons                          


[[Page 457]]

    9.3.2.1.1  Exception to section 9.3.2.1
    (a) storage water heaters and hot water storage tanks having more 
than 500 gallons of storage capacity need not meet the heat loss (HL) 
requirements of Table 9.3-1 if the tank surface area is thermally 
insulated to R-12.5 and if a standing pilot light is not used.
    9.3.2.2  Heat Traps. Storage water heaters not equipped with 
integral heat traps and having vertical pipe risers shall be installed 
with heat traps on both the inlet and outlets. The heat trap shall be 
installed directly, or as close as possible to the outlet fittings. 
Circulating systems need not employ heat traps.
    9.3.2.2.1  A heat trap may take the form of a bent piece of tubing 
that forms a loop of 360 degrees; an arrangement of pipe fittings, such 
as elbows, connected so that the inlet and outlet piping make vertically 
upward runs just before turning downward to connect to the water 
heater's inlet and outlet fittings; a commercially available heat trap; 
or any other type that effectively restricts the natural tendency of hot 
water to rise in the vertical pipe during standby periods.
    9.3.2.2.2  When the water heater outlet is directly horizontal out 
of the tank, or is piped with an elbow on the vertical outlet and then 
downward, this piping arrangement itself is effectively a heat trap and 
a separate heat trap is not then needed.

                        9.3.3  Piping Insulation

    9.3.3.1  For circulating systems, piping insulation shall conform to 
the requirements of Table 7.3-1 or an equivalent level as calculated in 
accordance with Equation 7.3-1.
    9.3.3.2  For non-circulating systems, the first 8 ft of piping from 
a storage system that is maintained at a constant temperature shall be 
insulated in accordance with Table 7.3-1, or an equivalent level as 
calculated in accordance with Equation 7.3-1. Systems without a heat 
trap to prevent circulation due to natural convection shall be 
considered circulating systems.

                             9.3.4  Controls

    9.3.4.1  Temperature. Service water heating systems shall be 
equipped with temperature controls capable of adjustment from 90  deg.F 
to a temperature setting compatible with intended use, except for 
systems serving residential dwelling units may be equipped with controls 
capable of adjustment down to 110  deg.F only. (See ASHRAE Handbook, 
1987 Systems and Applications Volume, Chapter 54, Table 3).
    9.3.4.1.1  Where temperatures higher than 120  deg.F are required at 
certain outlets for a particular intended use, separate remote heaters 
or booster heaters shall be installed for those outlets unless it can be 
shown by calculation that either energy is not saved by the application 
of this requirement or that the total cost over the life of the 
equipment is not reduced.
    9.3.4.1.2  Circulating Hot Water Systems and Heated Pipes. Systems 
designed to maintain temperatures in hot water pipes, including 
circulating hot water systems and heat tape on water pipes, shall be 
equipped with automatic controls that can be set to turn off the system 
when hot water is not required.

  9.3.5  Equipment and Control Requirements for the Conservation of Hot 
                                  Water

    9.3.5.1  Showers used for other than safety reasons shall limit the 
maximum hot water discharge to 2.75 gpm when tested according to ANSI 
A112.18.1M-1979, ``Finished and Rough Brass Plumbing Fixtures''. The 
designer shall evaluate the use of lower flow showerheads than 2.75 gpm, 
particularly for heavily used facilities. Removable flow restricting 
inserts shall not be used in showerheads to meet this criterion. When 
flow restricting inserts are used as a component part of a showerhead, 
they shall be mechanically retained at the point of manufacture. 
[Mechanically retained means a pushing or pulling force to remove the 
flow restricting insert at 8 pounds or more.] This requirement shall not 
apply to showerheads that will cause water to leak significantly from 
areas other than the spray face, if the flow restricting insert were 
removed.
    9.3.5.2  Lavatories in public restrooms, with the exception of 
lavatories for physically handicapped persons, shall be equipped with 
devices that:
    9.3.5.2.1  Limit the flow of hot water to either:
    (a) A maximum of 0.5 gpm;

[[Page 458]]

    (b) 0.75 gpm if a device or fitting is used that limits the period 
of water discharge, such as a foot switch, fixture occupancy sensor; or
    (c) 2.5 gpm if equipped with a self-closing valve;
    9.3.5.2.2  Either be equipped with a foot switch or occupancy sensor 
or similar device or limit delivery with a self-closing valve or a foot 
switch to a maximum of 0.25 gallons of hot water for circulating 
systems;
    9.3.5.2.3  Limits delivery with a self-closing valve or a foot 
switch to a maximum of 0.50 gallons for non-circulating systems; and
    9.3.5.2.4  Limits the outlet temperature to a maximum 110  deg.F.

                          9.3.6  Swimming Pools

    9.3.6.1  Pool Heaters. All pool heaters shall meet the criteria of 
Table 9.3-1 and be equipped with a readily accessible ``on-off'' switch 
to allow system shut-off without adjusting the thermostat setting and, 
when applicable, allow restarting without manually relighting the pilot 
light.
    9.3.6.2  Pool Covers. Outdoor heated swimming pools shall be 
equipped with a pool cover. However, pools deriving over 70% of the 
energy for heating from non-depletable sources or from recovery of 
energy that would otherwise be wasted (computed over an operating 
season) need not be equipped with pool covers.
    9.3.6.3  Time Switches. Time switches shall be installed on all 
swimming pool pumps and all electric swimming pool heaters. These 
switches shall allow for the shutdown of heaters during hours of peak 
utility demand except as is necessary in peak period operation to 
maintain water in a clear and sanitary condition in keeping with 
applicable public health standards.
    9.3.6.3.1  Exceptions to section 9.3.5.3:
    (a) Where public health standards require 24 hour operation of 
pumps; and
    (b) Pumps are required to operate solar pool heating systems.

    9.4  Service Hot Water Heating Systems--Prescriptive Compliance 
                               Alternative

    9.4.1  Combination Service Water Heating/Space Heating Equipment

    9.4.1.1  Water heaters used for combination service water and space 
heating shall meet the appropriate minimum efficiency requirements of 
both section 8.3 and 9.3.
    9.4.1.2  Combination space heating and service water heating 
equipment shall only be used when at least one of the following 
conditions is met:
    9.4.1.2.1  where the annual space heating energy use is less than 
50% of the annual service water heating energy use;
    9.4.1.2.2  where the energy input or storage volume of the combined 
boiler or water heater is less than twice the size of the smaller of the 
separate boilers or water heaters otherwise required;
    9.4.1.2.3  where calculations show that the combined system uses no 
more energy than separate systems that meet the requirements of sections 
8.3 and 9.3; or
    9.4.1.2.4  where the input to the combined boiler is less than 
150,000
Btu/h.
    9.4.1.3  Combination function equipment (space heating, service 
water heating, cooling, etc.) shall comply with minimum efficiency 
requirements in accordance with nationally recognized test procedures. 
Where such procedures are not available for particular equipment 
designs, compliance shall be determined based on the function 
representing the maximum annual energy consumption, using data provided 
by equipment and component manufacturers.

             9.4.2  Additional Equipment Efficiency Measures

    9.4.2.1  Electric Water Heaters. In applications where water 
temperatures not greater than 145  deg.F are required, an economic 
evaluation shall be made on the potential benefit of using an electric 
heat pump water heater(s) instead of electric resistance water 
heater(s).

[[Page 459]]

The analysis shall compare the extra costs of the heat pump unit with 
the benefits in reduced energy costs, less increased maintenance costs, 
over the estimated service life of the heat pump water heater.
    9.4.2.1.1  Exception to section 9.4.2.1:
    (a) Electric resistance water heaters used in conjunction with site-
recovered or non-depletable energy sources or off-peak heating with 
thermal storage.
    9.4.2.2  Gas-Fired Water Heaters. All gas-fired storage water 
heaters that use indoor air for combustion or draft hood dilution and 
that are installed in a conditioned room shall be equipped with a vent 
damper unless the water heater is already so equipped. Unless the water 
heater has an available electrical supply, the installation of such a 
vent damper shall not require an electrical connection. The vent damper 
shall be listed as meeting appropriate ANSI standards and shall be 
installed in accordance with manufacturer's instructions and local 
codes.
    9.4.2.2.1  Exception to section 9.4.2.2:
    (a) where the cost of the damper exceeds the value of reduced energy 
costs over the damper's lifetime.

       9.4.3  Use of Waste Heat, Solar Energy, and Thermal Storage

    9.4.3.1  An evaluation shall be made of the potential for the use of 
condenser heat, waste energy, solar energy, or off-peak heating with 
thermal storage to reduce water heating energy cost.
    9.4.3.2  Storage shall be used to optimize heat recovery when the 
flow of heat to be recovered is out of phase with the demand for heated 
water, or when energy use for water heating can be shifted to take 
advantage of off-peak rates.

[54 FR 4554, Jan. 30, 1989, as amended at 55 FR 23869, June 12, 1990; 59 
FR 18294, Apr. 18, 1994]



Sec. 435.110  Energy management.

                              10.1  General

    10.1.1  This section contains minimum requirements for building 
energy management systems. It describes the energy measurement, control, 
testing and documentation that shall be provided to the building owner. 
The intent is to minimize energy use by providing the building operator 
with design, construction and equipment data, along with a means of 
testing the completed facility.
    10.1.2  A building shall be considered in compliance with this 
section if the minimum requirements of Section 10.3 are met.

                       10.2  Principles of Design

                10.2.1  Energy Management Control Systems

    10.2.1.1  An energy management control system is critical to the 
effective management of building energy. Energy management systems 
require measurements at key points in the building system and must be 
capable of part-load operation recognition and be equipped with controls 
to match system capacity to load demands.
    10.2.1.2  Controls cannot correct inadequate source equipment, 
poorly selected components, or mismatched systems. Energy efficiency 
requires a design that is optimized by realistic loads prediction, 
careful system selection, and full control provisions.

                10.2.2  Building Operating Documentation

    10.2.2.1  The building construction drawings and specifications must 
show system types, sizes, performance criteria, controls, and materials 
intended for use prior to construction. The system designer shall 
provide or specify that documentation be provided for the education and 
guidance of the building operator showing the actual elements that have 
been installed, how they have been installed, how they performed during 
testing, and how they operate as a system in the completed facility. 
Since minimum energy use is the ultimate goal, operating procedures are 
one of the major factors in controlling energy use in buildings. The 
activities of building occupants and operators can result in differences 
as great as two to one in the energy consumption of essentially similar 
buildings. While neither the designer nor these standards can control 
the way the building is actually operated, the designer shall contribute 
to the education and guidance of the building

[[Page 460]]

operator by including this documentation in the contract specifications.
    10.2.2.2  The building operator shall be provided with the 
following:
    10.2.2.2.1  As-built drawings and specifications;
    10.2.2.2.2  Operating manuals with a schematic diagram, sequence of 
operation and system operating criteria for each and all systems 
installed;
    10.2.2.2.3  Where the building systems are complex, a comprehensive 
balancing and testing program and report to demonstrate the energy 
performance capabilities of the system; and
    10.2.2.2.4  Maintenance manuals with complete information for all 
major components in the facility.

                       10.3  Minimum Requirements

    10.3.1  Each distinct utility-provided energy service shall be 
metered. This shall apply to central and individual tenant meters. Such 
meters shall be located, or arranged, so that the meter can be visually 
monitored.
    10.3.2  Each distinct commercially-provided energy service shall 
have a system to measure and record the amount of energy being 
delivered, based on the energy content.
    10.3.3  The energy delivery systems shall be arranged to allow 
individual measurement of occupant lighting and outlet services, 
production processes, auxiliary systems, service water heating, space 
heating, space cooling, and HVAC delivery systems.
    10.3.4  Provisions shall be made for the measurement of energy 
inputs and outputs (flow, temperature, pressure, etc.) to determine 
equipment energy consumption and/or installed performance capabilities 
and efficiencies of all heating, cooling, and HVAC delivery systems 
equipment, greater than 20 kVA or 60,000 Btu/h energy input.

               10.3.5  Energy Measurement lnstrumentation

    10.3.5.1  In buildings or tenant areas with electric service greater 
than 150 kVA or fuel use greater than 500,000 Btu/h, energy use shall be 
measured for electrical lighting, miscellaneous power outlets, HVAC 
systems and equipment, service hot water, and process loads and when the 
peak use of:
    10.3.5.1.1  Production processes, including manufacturing, 
computers, laundries, kitchens, etc., is greater than 100 kVA or 300,000 
Btu/h;
    10.3.5.1.2  Auxiliary systems and service water heating is greater 
than 100 kVA or 300,000 Btu/h;
    10.3.5.1.3  Space heating (including reheat) is greater than 100 kVA 
or 300,000 Btu/h;
    10.3.5.1.4  Space cooling is greater than 100 kVA or 300,000 Btu/h; 
and
    10.3.5.1.5  HVAC delivery systems is greater than 100 kVA or 300,000 
Btu/h.
    10.3.5.1.6  Exception to section 10.3.5.1:
    (a) When there is an energy service for only 2 of the 6 categories 
listed, a single measurement may be made for the larger of the two 
energy services and the second use determined by subtraction from the 
primary service measurements.

                      10.3.6  HVAC System Controls

    10.3.6.1  The designer shall designate, specify, or otherwise show 
in the construction documents the type of controls and control systems 
needed. This shall include a description or sequence of control of the 
system's operational procedures.
    10.3.6.2  Controls may be electric, pneumatic, electronic, or direct 
digital. Control action may be ``on/off'', or proportional that can use 
manual, automatic, or remote reset and can have rate of action or 
derivative action compensation as designated by the designer. Control 
devices may be provided by the manufacturers of equipment or by the 
field installers, but all shall be compatible with the design sequence 
of control. The designer shall designate accuracy and long term 
requirements for controls.
    10.3.6.3  All primary energy conversion equipment such as boilers, 
heat exchangers, refrigeration units, furnaces and heat pumps shall have 
a load activated local control loop for each piece of equipment. 
Controls for multiple equipment shall integrate the individual control 
units or provide system control for all the units.
    10.3.6.4  All energy delivery systems shall have a local control 
loop for each system.
    10.3.6.5  Energy consuming systems or components with a peak use 
greater

[[Page 461]]

than 1 kW or 3,500 Btu/h shall be provided with a means of shut-off when 
occupancy or weather conditions do not require its operation.
    10.3.6.6  The control equipment provided for local control loops 
except for ``on/off'' and self-contained sensor devices shall be 
arranged so that sensing, control action, and control setting variables 
can be read or tested at the device.
    10.3.6.7  Control loops for terminal unit zones with less than 24 
hours per day or 7 days per week occupancy shall have separate control 
points for day and night heating and cooling. The devices shall be 
capable of local resetting, and have provisions for remote management 
system selection of the occupied or unoccupied heating or cooling mode 
of operation.

             10.3.7  Central Monitoring and Control Systems

    10.3.7.1  A central monitoring and control system shall be provided 
in any building or submetered tenant space exceeding 40,000 ft\2\ in 
gross floor area.
    10.3.7.2  The minimum energy management requirements for such a 
system shall be to:
    10.3.7.2.1  Read and retain daily totals for all energy measurement 
instruments;
    10.3.7.2.2  Total all energy values weekly and record and retain 
values placed on a summary report;
    10.3.7.2.3  Record and plot hourly outdoor and indoor temperatures 
against real time and summarize and report for each year in a format 
compatible with degree-days or bin temperature;
    10.3.7.2.4  Based on time schedules, turn on or off any HVAC or 
service water heating system or equipment;
    10.3.7.2.5  Based on time schedules, turn on or off major building 
lighting and occupancy power circuits;
    10.3.7.2.6  Reset local loop control systems for HVAC equipment;
    10.3.7.2.7  Monitor and verify operation of heating, cooling and 
energy delivery systems;
    10.3.7.2.8  Monitor and verify operation of lighting and occupant 
power, auxiliary and service hot water systems;
    10.3.7.2.9  Provide readily accessible override controls so that 
time-based HVAC and lighting controls may be temporarily overridden 
during off hours; and
    10.3.7.2.10  Provide optimum start/stop for HVAC systems.

                     10.3.8  Completion Requirements

    10.3.8.1  The building construction documents shall describe the 
requirements for placing all energy management systems in operation. 
This includes check-out procedures and all controls and metering 
equipment operational information.
    10.3.8.2  The building construction documents shall describe the 
requirements for balancing and check-out procedures for all HVAC systems 
and equipment. All HVAC system balancing shall be required to be 
accomplished in a manner to minimize throttling losses. In air systems, 
fan speeds shall be required to be adjusted to meet design conditions. 
Water systems shall be required to be proportionally adjusted to 
minimize throttling losses and then corrected to design flow conditions 
by trimming the pump impeller or changing pump speed. The design 
specifications shall state that a pump shall not be brought to final 
flow conditions by valving.
    10.3.8.3  The building construction documents shall describe the 
requirements for control system testing to assure that control elements 
are calibrated, ranges adjusted, set points ascertained, and full travel 
of moveable elements assured. All elements in the control system shall 
be tested with the system in operation.

                   10.3.9  Energy Performance Testing

    10.3.9.1  The building construction documents shall describe the 
requirements for determining building energy performance in the 
completed, operational building.
    10.3.9.2  The building energy performance testing shall be performed 
in winter for heating and in summer for cooling. These tests shall 
ascertain the in-site capabilities of all HVAC systems and equipment. 
Internal building loads shall be accounted for in assessing cooling 
performance. Heating performance shall be determined during

[[Page 462]]

unoccupied night time periods during winter weather. If any internal 
load, such as lighting, contributes to building heating, such loads 
shall be accounted for in assessing heating performance.
    10.3.9.3  Energy use measurements shall be made for the overall 
building system while HVAC system performance is being tested. Each 
energy management and control system shall be used to determine energy 
use for:
    10.3.9.3.1  Utility energy;
    10.3.9.3.2  Commercial service energy:
    10.3.9.3.3  Occupant lighting and receptacle power;
    10.3.9.3.4  Production process energy;
    10.3.9.3.5  Auxiliary systems and service water heating energy;
    10.3.9.3.6  Space heating energy;
    10.3.9.3.7  Space cooling energy; and
    10.3.9.3.8  HVAC delivery system energy.
    10.3.9.3.9  Test periods shall be at least six (6) hours in 
duration. Hourly outdoor and indoor temperatures, solar intensity during 
a day test, and wind speed during a night test shall be recorded.
    10.3.9.4  The building energy performance test data shall, at 
minimum, measure energy use and outdoor temperatures hourly for each 
test period.

                10.3.10  Documentation Data Requirements

    10.3.10.1  As-built information shall be provided for all the 
following energy-related features of the building:
    10.3.10.1.1  Thermal and solar/optical transmission characteristics 
of the building envelope, including infiltration;
    10.3.10.1.2  The operating characteristics of the HVAC, lighting, 
and service water heating equipment and systems;
    10.3.10.1.3  Internal heat gain contributed by equipment and 
processes; and
    10.3.10.1.4  The operating characteristics of controls.
    10.3.10.2  A summary report shall be provided outlining the design 
basis data for the building envelope, the internal heat gains, the 
weather extremes, major heating/cooling equipment sizes and sequence of 
operation.
    10.3.10.3  The construction documents shall require that shop 
drawings, schematic diagrams, control sequence, maintenance manuals, and 
operating instructions, with data on all HVAC, auxiliary equipment and 
service water heating systems be provided to the owner.
    10.3.10.4  A system balancing report shall be provided that follows 
National Environmental Balancing Bureau or the Association of Air 
Balancing Council formats with an extra section summarizing the energy-
related values gathered during balancing.
    10.3.10.5  An energy performance test report shall be provided 
showing all the data gathered during the energy performance tests. The 
results shall be presented in a format that provides convenient 
comparison with design values.



Sec. 435.111  Building energy cost compliance alternative.

                              11.1  General

    11.1.1  This section provides an alternative compliance path that 
allows greater flexibility in the design of energy efficient buildings 
using an annual energy cost method. Energy cost is used as the common 
denominator in determining compliance. Using unit costs rather than 
units of energy or power such as Btu, kWh or kW allows the energy use 
contribution of different fuel sources at different times to be added 
and compared. This path allows for innovation in designs, materials, and 
equipment, such as daylighting, passive solar heating, heat recovery, 
better zonal temperature control, thermal storage, and other 
applications of off-peak electrical energy, that cannot be adequately 
evaluated by the prescriptive or system performance alternatives found 
in sections 3.4, 3.5, 5.4, 5.5, and 7.4. This compliance path is 
intended for design comparisons only and is not intended to be used to 
either predict, document, or verify annual energy consumption or annual 
energy costs.
    11.1.2  The Building Energy Cost Compliance Alternative is to be 
used in lieu of the prescriptive or system performance methods and in 
conjunction with the minimum requirements found in sections 3.3, 4.3, 
5.3, 6.3, 7.3, 8.3, 9.3 and 10.3.

[[Page 463]]

    11.1.3  Compliance. Compliance under this method requires detailed 
energy analyses of the entire Proposed Design, referred to as the Design 
Energy Consumption; an estimate of annual energy cost for the proposed 
design, referred to as the Design Energy Cost; and comparison against an 
Energy Cost Budget. Compliance is achieved when the estimated Design 
Energy Cost is less than or equal to the Energy Cost Budget (see Figure 
11-1). This section provides instructions for determining the Energy 
Cost Budget and for calculating the Design Energy Consumption and Design 
Energy Cost. The Energy Cost Budget shall be determined through the 
calculation of monthly energy consumption and energy cost of a Prototype 
or Reference Building design configured to meet the requirements of 
sections 3.0 through 10.0.

[[Page 464]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.222



[[Page 465]]

    11.1.4  Designers are encouraged to employ the Building Energy Cost 
Budget compliance method set forth in this section for evaluating 
proposed design alternatives in preference to using the prescriptive/
system methods. The Building Energy Cost Budget establishes the relative 
effectiveness of each design alternative in energy cost savings, 
providing an energy cost basis upon which the building owner and 
designer may select one design over another. This Energy Cost Budget is 
the highest allowable calculated Energy Cost Budget for a specific 
building design. Other alternative designs are likely to have lower 
annual energy costs and life cycle costs than those that minimally meet 
the Energy Cost Budget.
    11.1.5  The Energy Cost Budget is a numerical target for annual 
energy cost. It is intended to assure neutrality with respect to choices 
of HVAC system type, architectural design, fuel choice, etc., by 
providing a fixed, repeatable budget target that is independent of any 
of these choices wherever possible (i.e., for the prototype buildings). 
The Energy Cost Budget for a given building size and type will vary only 
with climate, the number of stories, and the choice of simulation tool. 
The specifications of the prototypes are necessary to assure 
repeatability, but have no other significance. They are not recommended 
energy conserving practice, or even physically reasonable practice for 
some climates or buildings, but represent a reasonable worst case of 
energy cost resulting from compliance with the spirit and the letter of 
sections 3.0 through 10.0.

          11.2  Determination of the Annual Energy Cost Budget

    11.2.1  The annual Energy Cost Budgets shall be determined in 
accordance with the Prototype Building Method in section 11.2.5, or the 
Reference Building Method in section 11.2.5. Both methods calculate an 
annual Energy Cost by summing the 12 monthly Energy Cost Budgets. Each 
monthly Energy Cost Budget is the product of the monthly Building Energy 
Consumption of each type of energy used multiplied by the monthly Energy 
Cost per unit of energy for each type of energy used.
    11.2.2  The Energy Cost Budget shall be determined in accordance 
with Equation 11-1 as follows:

ECB=ECBjan+ . . . ECBm+ . . . +ECBdec

                              Equation 11-1

Based on:

ECBm=BECONm1 x ECOSm1+ . . . 
          +BECONmi  x  ECOSmi

                              Equation 11-2

Where:

ECB=The annual Energy Cost Budget
ECBm=The monthly Energy Cost Budget
BECONmi=The monthly Budget Energy Consumption of the 
          ith type of energy
ECOSmi=The monthly Energy Cost, per unit of the 
          ith type of energy

    11.2.3  The monthly Energy Cost Budget shall be determined using 
current rate schedules or contract prices available at the building site 
for all non-depletable types of energy purchased. These costs shall 
include demand charges, rate blocks, time of use rates, interruptable 
service rates, delivery charges, taxes, and all other applicable rates 
for the type, location, operation, and size of the proposed design. The 
monthly Budget Energy Consumption shall be calculated from the first day 
through the last day of each month, inclusive.
    11.2.4  The Energy Cost Budget, Design Energy Consumption and Design 
Energy Cost calculations are applicable only for determining compliance 
with these standards. They are not predictions of actual energy 
consumption or costs of the proposed building after construction. Actual 
experience will differ from these calculations due to variations such as 
occupancy, building operation and maintenance, weather, energy use not 
covered by these standards, changes in energy rates between design of 
the building and occupancy, and precision of the calculation tool.

                  11.2.5  Prototype Building Procedure

    11.2.5.1  The Prototype Building procedure shall be used for all 
building types listed below. For mixed-use buildings the Energy Cost 
Budget is derived by allocating the floor space of each building type 
within the floor space of the prototype building. For

[[Page 466]]

buildings not listed below, the Reference Building procedure of section 
11.2.5 shall be used.
    11.2.5.1.1  Prototype buildings include:
    (a) Assembly;
    (b) Office (Business);
    (c) Retail (Mercantile);
    (d) Warehouse (Storage);
    (e) School (Educational);
    (f) Hotel/Motel;
    (g) Restaurant;
    (h) Health/Institutional; and
    (i) Multi-Family.

  11.2.5.2  Use of the Prototype Building to Determine the Energy Cost 
                                 Budget

    11.2.5.2.1  Determine the building type of the Proposed Design using 
the categories in section 11.2.5.1. Using the appropriate Prototype 
Building characteristics from Tables 11-1 through 11-8, the building 
shall be simulated using the same gross floor area and number of floors 
for the Prototype Building as in the Proposed Design.
    11.2.5.2.3  The form, orientation, occupancy and use profiles for 
the Prototype Building shall be fixed as described in section 11.5.3. 
Envelope, lighting, other internal loads and HVAC systems and equipment 
shall meet the prescriptive or system requirements of section 3.0 
through 10.0 and are standardized inputs.

                    11.2.6  Reference Building Method

    11.2.6.1  The Reference Building procedure shall be used only when 
the Proposed Design cannot be represented by one or a combination of the 
Prototype Building listed in section 11.2.5.1 or the assumptions for the 
Prototype Building in section 11.5, such as occupancy and use-profiles, 
do not reasonably represent the Proposed Design.

  11.2.6.2  Use of the Reference Building to Determine the Energy Cost 
                                 Budget

    11.2.6.2.1  Each floor shall be oriented in the same manner for the 
Reference Building as in the Proposed Design. The form, gross and 
conditioned floor areas of each floor and the number of floors shall be 
the same as in the Proposed Design. All other characteristics, such as 
lighting, envelope and HVAC systems and equipment, shall meet the 
prescriptive/system requirements of section 3.0 through 10.0.

            11.2.7  Calculation Procedure and Simulation Tool

    11.2.7.1  The Prototype or Reference Buildings shall be modeled 
using the criteria of section 11.5 and section 11.6. The modeling shall 
use a climate data set appropriate for both the site and the complexity 
of the energy conserving features of the design. ASHRAE Weather Year for 
Energy Calculations (WYEC) data or bin weather data shall be a default 
choice.

 11.3  Determination of the Design Energy Consumption and Design Energy 
                                  Cost

    11.3.1  The Design Energy Consumption shall be calculated by 
modeling the Proposed Design using the same methods, assumptions, 
climate data, and simulation tool as were used to establish the Energy 
Cost Budget, except as explicitly stated in 11.5. The Design Energy Cost 
shall be calculated per Equation 11-3. If the Proposed Design includes 
cogeneration or non-depletable energy sources designed for the sale of 
energy off-site, then energy cost and income resulting from outside 
sales shall not be used to reduce the Design Energy Costs. Such systems 
shall be modeled as operating to supply energy needs of the Proposed 
Design only.

DECOS=DECOSjan+ . . . DECOSm . . . . 
          +DECOSdec

                              Equation 11-3

Based on:
DECOSm=DECONm1 x ECOSm1+ . . . 
          +DECONmi x ECOSmi

                              Equation 11-4

Where:
DECOS=The annual Design Energy Cost
DECOSm=The monthly Design Energy Cost
ICONmi=The monthly Design Energy Consumption of the 
          ith type of energy
ECOSmi=The monthly Energy Cost per unit of the ith 
          type of energy

    The DECONmi shall be calculated from the first day 
through the last day of the month, inclusive.

                            11.4  Compliance

    11.4.1  If the Design Energy Cost is less than or equal to the 
Energy Cost

[[Page 467]]

Budget, and all of the minimum requirements of sections 3.0 through 10.0 
are met, the Proposed Design complies with the standards.

                  11.5  Standard Calculation Procedure

    11.5.1  The Standard Calculation Procedure consists of methods and 
assumptions for calculating the Energy Cost Budget for the Prototype or 
Reference Building and the Design Energy Consumption and Design Energy 
Cost of the Proposed Design. In order to maintain consistency between 
the Energy Cost Budget and the Design Energy Cost, the input assumptions 
to be used are stated below. These inputs shall be used to determine the 
Energy Cost Budget and the Design Energy Consumption.
    11.5.2  Prescribed assumptions shall be used without variation. 
Default assumptions shall be used unless the designer can demonstrate 
that a different assumption better characterizes the building's energy 
use over its expected life. No modified default assumptions shall be 
used in modeling both the Prototype or Reference Building and the 
Proposed Design unless the designer demonstrates clear cause to do 
otherwise. Special procedures for speculative buildings are discussed in 
section 11.5.9. Shell buildings may not use section 11.0.

                      11.5.3  Orientation and Shape

    11.5.3.1   The Prototype Building shall consist of the same number 
of stories, and gross and conditioned floor area as the Proposed Design, 
with equal area per story. The building shape shall be rectangular, with 
a 2.5:1 aspect ratio. The long dimensions of the building shall face 
East and West. This is intended to provide an energy budget that can be 
met even if there are unfavorable site constraints. The fenestration 
shall be uniformly distributed in proportion to exterior wall area.
    11.5.3.2  Floor-to-floor height for the Prototype Building shall be 
13 ft except for dwelling units in hotels/motels and multi-family high 
rise residential buildings where floor-to-floor height shall be 9.5 ft.
    11.5.3.3  The Reference Building shall consist of the same number of 
stories, and gross floor area for each story as the Proposed Design. 
Each floor shall be oriented in the same manner as the Proposed Design. 
The geometric form shall be the same as the Proposed Design.

                         11.5.4  Internal Loads

    11.5.4.1  The systems and types of energy specified in this section 
are intended only as constraints in calculating the Energy Cost Budget. 
They are not intended as either requirements or recommendations for 
either systems or the type of energy to be used in the Proposed Design 
or for calculation of Design Energy Cost.
    11.5.4.2  Internal loads for multi-family high rise residential 
buildings are presented in Table 11-1. These assumptions shall be 
prescribed assumptions. Internal loads for other building types shall be 
modeled as noted in this subsection.

                          11.5.4.2.1  Occupancy

    (a) Occupancy schedules shall be Default Assumptions. The same 
assumptions shall be made in computing Design Energy Consumption as were 
used in calculating the Energy Cost Budget.
    (b) Table 11-2, Occupancy Density, establishes the density, in 
ft\2\/person of conditioned floor area, to be used for each building 
type. Table 11-3, Building Schedule Percentage Multipliers, establishes 
the percentage of total occupants in the building by hour of the day for 
each building type.

                          11.5.4.2.2  Lighting

    (a) Interior Lighting Power Allowance (ILPA), for calculating the 
Energy Cost Budget shall be determined from section 3.0. The lighting 
power used to calculate the Design Energy Consumption shall be the 
actual adjusted power for lighting in the Proposed Design. If the 
lighting controls in the Proposed Design are more effective at saving 
energy than those required by section 3.3, the actual installed lighting 
power shall be used along with the schedules reflecting the action of 
the controls to calculate the Design Energy Consumption. This actual 
installed lighting power shall not be adjusted by the Power Adjustment 
Factors listed in Table 3.5-2.

[[Page 468]]

    (b) Lighting energy profiles are shown in Table 11-3 that establish 
the percentage of the lighting load switched-on in each Prototype or 
Reference Building by hour of the day. These profiles are default 
assumptions and can be changed when calculating the Energy Cost Budget 
to provide, for example, a 12 hour rather than an 8 hour work day.

                         11.5.4.2.3  Receptacles

    (a) Receptacle loads and profiles are default assumptions. The same 
assumptions shall be made in calculating Design Energy Consumption as 
were used in calculating the Energy Cost Budget.
    (b) Receptacle loads include all general service loads that are 
typical in a building. These loads exclude any process electrical usage 
and HVAC primary or auxiliary electrical usage. Table 11-4, Receptacle 
Power Densities, establishes the density, in W/ft\2\, to be used for 
each building type. The receptacle energy profiles shall be the same as 
the lighting energy profiles in Table 11-3. This profile establishes the 
percentage of the receptacle load that is switched on by hour of the day 
and by building type.

                   11.5.5  Building Exterior Envelope

                    11.5.5.1  Insulation and Glazing

    11.5.5.1.1  The insulation and glazing characteristics of the 
Prototype and Reference Building envelope shall be determined by using 
the first column under ``Base Case'', with no assumed overhangs for the 
appropriate Alternate Component Tables (ACP) in section 5.0, as defined 
by climate range. The insulation and glazing characteristics from this 
ACP are Prescribed Assumptions for Prototype and Reference Buildings for 
calculating the Energy Cost Budget. In calculating the Design Energy 
Consumption of the Proposed Design, the envelope characteristics of the 
Proposed Design shall be used.

                         11.5.5.2  Infiltration

    11.5.5.2.1  For Prototype and Reference Buildings, infiltration 
assumptions shall be prescribed assumptions for calculating the Energy 
Cost Budget and default assumptions for the Design Energy Consumption. 
Infiltration shall impact perimeter zones only.
    11.5.5.2.2  When the HVAC system is switched ``on'', no infiltration 
shall be assumed. When the HVAC system is switched ``off'', the 
infiltration rate for buildings with or without operable windows shall 
be assumed to be 0.038 cfm/ft\2\ of gross exterior wall. Hotels/motels 
and multi-family high rise residential buildings shall have infiltration 
rates of 0.038 cfm/ft\2\ of gross exterior wall area at all times.

              11.5.5.3  Envelope and Ground Absorptivities

    11.5.5.3.1  For Prototype and Reference Buildings, absorptivity 
assumptions shall be prescribed assumptions for computing the Energy 
Cost Budget and default assumptions for computing the Design Energy 
Consumption. The solar absorptivity of opaque elements of the building 
envelope is assumed to be 70%. The solar absorptivity of ground surfaces 
is assumed to be 80% (20% reflectivity).

                       11.5.5.4  Window Management

    11.5.5.4.1  For the Prototype and Reference Building, window 
management drapery assumptions shall be prescribed assumptions for 
setting the Energy Cost Budget. No draperies shall be the default 
assumption for computing the Design Energy Consumption. Glazing is 
assumed to be internally shaded by medium-weight draperies, closed one-
half time. The draperies shall be modeled by assuming that one-half the 
area in each zone is draped and one-half is not. If manually-operated 
draperies, shades, or blinds are to be used in the Proposed Design, the 
Design Energy Consumption shall be calculated by assuming they are 
effective over one-half the glazing area in each zone.

                            11.5.5.5  Shading

    11.5.5.5.1  For Prototype and Reference buildings and the Proposed 
Design, shading by permanent structures, terrain, and vegetation shall 
be taken into account for computing energy consumption, whether or not 
these features are located on the building site.

[[Page 469]]

A permanent fixture is one that is likely to remain for the life of the 
Proposed Design.

                   11.5.6  HVAC Systems and Equipment

    11.5.6.1  The specifications and requirements for the HVAC systems 
of the Prototype and Reference Buildings shall be those in Table 11-5, 
HVAC Systems for Prototype and Reference Buildings. For the calculation 
of the Design Energy Consumption, the HVAC systems and equipment of the 
Proposed Design shall be used.
    11.5.6.2  The systems and types of energy presented in Table 11-5 
are intended only as constraints in calculating the Energy Cost Budget. 
They are not intended as either requirements or recommendations for 
either systems or the type of energy to be used in the Proposed Building 
or for the calculation of the Design Energy Cost.

                          11.5.6.3  HVAC Zones

    11.5.6.3.1  HVAC zones for calculating the Energy Cost Budget of the 
Prototype or Reference Building shall consist of at least four perimeter 
and one interior zones per floor. Prototype Buildings shall have one 
perimeter zone facing each cardinal direction. The perimeter zones of 
Prototype and Reference Buildings shall be 15 ft in width, or one-third 
the narrow dimension of the building, when this dimension is between 30 
ft and 45 ft inclusive, or one-half the narrow dimension of the building 
when this dimension is less than 30 ft. Zoning requirements shall be a 
default assumption for calculating the Energy Cost Budget. For multi-
family high rise residential buildings, the prototype building shall 
have one zone per dwelling unit. The proposed design shall have one zone 
per unit unless zonal thermostatic controls are provided within units; 
in this case, two zones per unit shall be modeled. Building types such 
as assembly or warehouse may be modeled as a single zone if there is 
only one space.
    11.5.6.3.2  For calculating the Design Energy Consumption, no fewer 
zones shall be used than were in the Prototype and Reference Buildings. 
The zones in the simulation shall correspond to the zones provided by 
the controls in the Proposed Design. Thermally similar zones, such as 
those facing one orientation on different floors, may be grouped 
together for the purposes of either the Design Energy Consumption or 
Energy Cost Budget simulation.

           11.5.6.4  Equipment Sizing and Redundant Equipment

    11.5.6.4.1  For calculating the Energy Cost Budget of Prototype or 
Reference Buildings, HVAC equipment shall be sized to meet the 
requirements of section 7.3.2, without using any of the exceptions. The 
size of equipment shall be that required for the building without 
process loads considered. The designer shall determine the final 
equipment sizing including the process loads by separate calculations. 
Redundant and/or emergency equipment need not be simulated if it is 
controlled so that it will not be operated during normal operations of 
the building. The designer shall document the installation of process 
equipment and the size of process loads.
    11.5.6.4.2  For calculating the Design Energy Consumption, actual 
air flow rates and installed equipment size shall be used in the 
simulation, except that excess capacity provided to meet process loads 
need not be modeled if the process load was not modeled in setting 
Energy Cost Budget. Equipment sizing in the simulation of the Proposed 
Design shall correspond to the equipment actually selected for the 
design and the designer shall not use equipment sized automatically by 
the simulation tool.
    11.5.6.4.3  Redundant and/or emergency equipment need not be 
simulated if it is controlled to not be operated during normal 
operations of the building.

                      11.5.7  Service Water Heating

    11.5.7.1  The service water loads for Prototype and Reference 
Buildings are defined in terms of Btu/h per person in Table 11-6. The 
service water heating loads from Table 11-6 are prescribed assumptions 
for multi-family high rise residential buildings and default assumptions 
for all other buildings. The same service water heating load assumptions 
shall be made in calculating Design Energy Consumption as were

[[Page 470]]

used in calculating the Energy Cost Budget.
    11.5.7.2  The service water heating system, including piping losses 
for the Prototype Building, shall be modeled using the methods of the 
ASHRAE Handbook, 1987 HVAC Systems and Applications Volume using a 
system that meets all requirements of section 9.0. The service water 
heating equipment for the Prototype or Reference Building shall be 
either natural gas or 2 fuel oil, if natural gas is not available at 
the site, or an electric heat pump.
    11.5.7.3  Exception to section 11.5.7:
    11.5.7.3.1  If electric resistance service water heating is 
preferable to an electric heat pump when analyzed according to the 
criteria of section 9.3.7.1 or when service water temperatures exceeding 
145  deg.F are required for a particular application, electric 
resistance water heating may be used.

                            11.5.8  Controls

    11.5.8.1  All occupied conditioned spaces in the Prototype, 
Reference and Proposed Design Buildings in all climates shall be 
simulated as being both heated and cooled. The assumptions in this 
subsection are prescribed assumptions. If the Proposed Design does not 
include equipment for cooling or heating, the Design Energy Consumption 
shall be determined by the specifications for calculating the Energy 
Cost Budget as described in Table 11-7.
    11.5.8.2  Exceptions to section 11.5.8:
    11.5.8.2.1  If a building is to be provided with only heating or 
cooling, both the Prototype or Reference Building and the Proposed 
Design shall be simulated, using the same assumptions. If such an 
assumption is made, the analysis shall show that the building interior 
temperature meets the comfort criteria of ANSI/ASHRAE 55-1981 ``Thermal 
Environmental Conditions for Human Occupancy,'' at least 98% of the 
occupied hours during the year.
    11.5.8.2.2  If warehouses are not intended to be mechanically 
cooled, both the Energy Cost Budget and Design Energy Consumption shall 
be modeled assuming no mechanical cooling; and
    11.5.8.2.3  In climates where winter design temperature (97.5% 
occurrence) is greater than 59  deg.F, space heating need not be 
modeled.
    11.5.8.3  Space temperature controls for the Prototype or Reference 
Building, except multi-family high rise residential buildings shall be 
set at 70  deg.F for space heating and 75  deg.F for space cooling with 
a deadband per section 7.3.4.5. The system shut off during off-hours 
shall be according to the schedule in Table 11-3, except that the 
heating system shall cycle on if any space should drop below the night 
setback setting of 55  deg.F. There shall be no similar setpoint during 
the cooling season. Lesser deadband ranges may be used in calculating 
the Design Energy Consumption.
    11.5.8.3.1  Exceptions to section 11.5.8.3:
    (a) Setback shall not be modeled in determining either the Energy 
Cost Budget or Design Energy Cost if setback is not realistic for the 
Proposed Design, such as 24 hour/day operations. Health facilities need 
not have night setback during the heating season;
    (b) Hotel/motels and multi-family high rise residential buildings 
shall have a night setback temperature of 60  deg.F from 11:00 p.m. to 
6:00 a.m. during the heating season; and
    (c) If deadband controls are not to be installed, the Design Energy 
Cost shall be calculated with both heating and cooling thermostat 
setpoints set to the same value between 70  deg.F and 75  deg.F 
inclusive, assumed to be constant for the year.
    11.5.8.3.2  For multi-family buildings, the thermostat schedule for 
the dwelling units shall be as in Table 11-8.
    (a) The Prototype Building shall use the single zone schedule. The 
Proposed Design shall use the two-zone schedule only if zonal 
thermostatic controls are provided. For Proposed Designs that use heat 
pumps employing supplementary heat, the controls used to switch on the 
auxiliary heat source during morning warm-up periods shall be simulated 
accurately. The thermostat assumptions for multi-family high-rise 
buildings are prescribed assumptions.
    11.5.8.4  When providing for outdoor air ventilation in calculating 
the Energy Cost Budget, controls shall be assumed to close the outside 
air intake to reduce the flow of outside air to 0

[[Page 471]]

cfm during setback and unoccupied periods. Ventilation using inside air 
may still be required to maintain scheduled setback temperature. Outside 
air ventilation, during occupied periods, shall be as required by ASHRAE 
Standard 62-1981, ``Ventilation for Acceptable Indoor Air,'' or the 
Proposed Design, whichever is greater.
    11.5.8.5  If humidification is to be used in the Proposed Design, 
the same level of humidification and system type shall be used in the 
Prototype or Reference Building. If dehumidification requires subcooling 
of supply air, then reheat for the Prototype or Reference Building shall 
be from recovered waste heat such as condenser waste heat.

                      11.5.9  Speculative Buildings

                           11.5.9.1  Lighting

    11.5.9.1.1  The interior lighting power allowance (ILPA) for 
calculating the Energy Cost Budget shall be determined from Table 3.4-1. 
The Design Energy Consumption may be based on an assumed adjusted 
lighting power for future lighting improvements.
    (a) The assumption about future lighting power used to calculate the 
Design Energy Consumption must be documented so that the future 
installed lighting systems may be in compliance with these standards. 
Documentation must be provided to enable future lighting systems to use 
either the Prescriptive method of section 3.4 or the Systems Performance 
method of section 3.5.
    (b) Documentation for future lighting systems that use the 
Prescriptive method of section 3.4 shall be stated as a maximum adjusted 
lighting power for the tenant spaces. The adjusted lighting power 
allowance for tenant spaces shall account for the lighting power 
provided for the common areas of the building.
    (c) Documentation for future lighting systems that use the System 
Performance method of section 3.5 shall be stated as a required lighting 
adjustment. The required lighting adjustment is the whole building 
lighting power assumed in order to calculate the Design Energy 
Consumption minus the ILPA value from Table 3.4-1 that was used to 
calculate the Energy Cost Budget. When the required lighting adjustment 
is less than zero, a complete lighting design must be developed for one 
or more representative tenant spaces, demonstrating acceptable lighting 
within the limits of the assumed lighting power allowance.

                  11.5.9.2  HVAC Systems and Equipment

    11.5.9.2.1  If the HVAC system is not completely specified in the 
plans, the Design Energy Consumption shall be based on reasonable 
assumptions about the construction of future HVAC systems and equipment. 
These assumptions shall be documented so that future HVAC systems and 
equipment may be in compliance with these standards.

                        11.6  The Simulation Tool

    11.6.1  Annual energy consumption shall be simulated with a multi-
zone, 8760 hours per year building energy model. The model shall account 
for:
    11.6.1.1  The dynamic heat transfer of the building envelope such as 
solar and internal gains;
    11.6.1.2  Equipment efficiencies as a function of load and climate;
    11.6.1.3  Lighting and HVAC system controls and distribution systems 
by simulating the whole building;
    11.6.1.4  The operating schedule of the building including night 
setback during various times of the year; and
    11.6.1.5  Energy consumption information at a level necessary to 
determine the Energy Cost Budget and Design Energy Cost through the 
appropriate utility rate schedules.
    11.6.2  While the simulation tool should simulate an entire year on 
an hour by hour basis (8760 hours), programs that approximate this 
dynamic analysis procedure and provide equivalent results are 
acceptable.
    11.6.3  Simulation tools shall be selected for their ability to 
simulate accurately the relevant features of the building in question, 
as shown in the tool's documentation. For example, a single zone model 
shall not be used to simulate a large, multi-zone building, and a 
steady-state model such as the degree-day method shall not be used to 
simulate buildings when equipment efficiency or performance is 
significantly affected by the dynamic patterns of

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weather, solar radiation, and occupancy. Relevant energy-related 
features shall be addressed by a model such as daylighting, atriums or 
sunspaces, night ventilation or thermal storage, chilled water storage 
or heat recovery, active or passive solar systems, zoning and controls 
of heating and cooling systems, and ground-coupled buildings. In 
addition, models shall be capable of translating the Design Energy 
Consumption into energy cost using actual utility rate schedules with 
the coincidental electrical demand of a building. Examples of public 
domain models capable of handling such complex building systems and 
energy cost translations available in the United States are DOE-2.1C and 
BLAST 3.0 and in Canada, Energy Systems Analysis Series.
    11.6.4  All simulation tools shall use scientifically justifiable 
documented techniques and procedures for modeling building loads, 
systems, and equipment. The algorithms used in the program shall have 
been verified by comparison with experimental measurements, loads, 
systems, and equipment.

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Sec. 435.112  Building energy compliance alternative.

                              12.1  General

    12.1  This section provides an alternative path for compliance with 
the standards that allow for greater flexibility in the design of energy 
efficient buildings using an annual energy target method. This path, as 
does the path used in section 11.0, provides an opportunity for the use 
of innovative designs, materials, and equipment such as daylighting, 
passive solar heating, heat recovery, and thermal storage as well as 
other applications of off-peak electrical energy where they cannot be 
adequately evaluated by the prescriptive or system performance methods 
found in sections 3.4, 3.5, 5.4, 5.5, 7.4., and 9.4.
    12.1.2  The Building Energy Use Budget Target alternative may be 
used as an option to the Building Energy Cost Budget method in section 
11.0 and is to be used in lieu of the prescriptive and system 
performance methods and in conjunction with sections 3.3, 4.3, 5.3, 6.3, 
7.3, 8.3, 9.3 and 10.3.
    12.1.3  Compliance under this section is demonstrated by showing 
that the calculated annual energy usage for the Proposed Design is less 
than or equal to a calculated Energy Use Budget. (See Figure 12-1). A 
life-cycle cost economic analysis is required to evaluate alternative 
fuel sources and energy reduction strategies. The procedures in this 
chapter are intended only for establishing design compliance, and are 
not intended to be used either to predict, document or verify annual 
energy consumption or annual energy costs.

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    12.1.4  Compliance under the Building Energy Use Budget method 
requires a detailed energy analysis, using a conventional simulation 
tool, of the Proposed Design. A life-cycle cost analysis shall be used 
to select the fuel source for the HVAC systems, service hot water, and 
process loads from available alternatives. The Annual Energy Consumption 
of the Proposed Design with the life-cycle cost-effective fuel selection 
is calculated to determine the modeled energy consumption, called the 
Design Energy Use.
    12.1.5  The Design Energy Use is defined as the energy that is 
consumed within the five foot line of a proposed building per 
ft2 over a 24 hour day, 365-day year period and specified 
operating hours. The calculated Design Energy Use is then compared to a 
calculated Energy Use Budget.
    12.1.6  Compliance. The Energy Use Budget is determined by 
calculating the annual energy usage for a Reference or Prototype 
Building that is configured to comply with the provisions of section 
11.0 for such buildings, except that the fuel source(s) of the Prototype 
or Reference Building shall be the same life-cycle cost-effective 
source(s) selected for the Proposed Design. If the Design Energy Use is 
less than or equal to the Energy Use Budget then the proposed design 
complies with these standards.
    12.1.7  This section provides instructions for determining the 
Design Energy Use and for calculating the Energy Use Budget. The Energy 
Use Budget is the highest allowable calculated annual energy consumption 
for a specified building design. Designers are encouraged to design 
buildings whose Design Energy Use is lower than the Energy Use Budget. 
Incorporated in this section is an optional life-cycle cost economic 
analysis procedure that may be used by the designer to examine the 
economic feasibility of all energy design alternatives and to produce a 
more optimum design.

             12.2  Determination of the Annual Energy Budget

    12.2.1  The Energy Use Budget shall be calculated for the 
appropriate Prototype or Reference Building in accordance with the 
procedures prescribed in section 11.2 with the following exceptions: The 
Energy Use Budget shall be stated in units of Btu/ft2. yr and 
the simulation tool shall segregate the calculated energy consumption by 
fuel type producing an Energy Use Budget for each fuel (the fuel 
selections having been made by a life cycle cost analysis in determining 
the proposed design).
    12.2.2  The Energy Use Budget (EUB) is calculated similarly for the 
Reference or Prototype Building using the following equation:

EUB=EUB1 x f1+EUB2 x f2+ . . 
. . . +EUBi x fi

                              Equation 12-1

Where EUB1, EUB2, . . . EUBi are the 
calculated annual energy targets for each fuel used in the Reference or 
Prototype building and f1, f2, . . . fi 
are the energy conversion factors given in Table 12-1. In lieu of case 
by case calculation of the Energy Use Budget, the designer may construct 
Energy Use Budget tables for the combinations of energy source(s) that 
may be considered in a set of project designs, such as electric heating, 
electric service water, and gas cooling or oil heating, gas service 
water and electric cooling. The values in such optional Energy Use 
Budget tables shall be equal to or less than the corresponding Energy 
Use Budgets calculated on a case by case basis according to this 
section. Energy Use Budget tables shall be constructed to correspond to 
the climatic regions and building types in accordance with provisions 
for Prototype or Reference Building models in section 11.0 of these 
standards.

[[Page 491]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.240



[[Page 492]]

              12.3  Determination of the Design Energy Use

    12.3.1  The Design Energy Use shall be calculated by modeling the 
Proposed Design using the same methods, assumptions, climate data, and 
simulation tool as were used to establish the Energy Use Budget, but 
with the design features that will be used in the final building design. 
The simulation tool used shall segregate the calculated energy 
consumption by fuel type giving an annual Design Energy Use for each 
fuel. The sum of the Design Energy Uses multiplied by the fuel 
conversion factors in Table 12-1 yields the Design Energy Use for the 
proposed design:

DEU=DEU1 x f1+DEU2 x f2+ . . 
          . . +DEUi  x fi

                              Equation 12-2

Where f1, f2, . . . fi are the fuel 
conversion factors in Table 12-1.

      12.3.2  Required Life Cycle Cost Analysis for Fuel Selection

    12.3.2.1  Fuel sources selected for the Proposed Design and 
Prototype or Reference buildings shall be determined by considering the 
energy cost and other costs and benefits that occur during the expected 
economic life of the alternative.
    12.3.2.2  The designer shall use the procedures set forth in subpart 
A of 10 CFR part 436 to make this determination. The fuel selection life 
cycle cost analysis shall include the following steps:
    12.3.2.2.1  Determine the feasible alternatives for energy sources 
of the Proposed Design's HVAC systems, service hot water, and process 
loads.
    12.3.2.2.2  Model the Proposed Design including the alternative HVAC 
and service water systems and conduct an annual energy analysis for each 
fuel source alternative using the simulation tool specified in this 
section. The annual energy analysis shall be computed on a monthly basis 
in conformance with section 11.0 of these standards with the exception 
that all process loads shall be included in the calculation. Separate 
the output of the analysis by fuel type.
    12.3.2.2.3  Determine the unit price of each fuel using information 
from the utility or other reliable local source. During rapid changes in 
fuel prices it is recommended that an average fuel price for the 
previous twelve months be used in lieu of the current price. Calculate 
the annual energy cost of each energy source alternative in accordance 
with procedures in section 11.0 for the Design Energy Cost. Estimate the 
initial cost of the HVAC and service water systems and other initial 
costs such as energy distribution lines and service connection fees 
associated with each fuel source alternative. Estimate other costs and 
benefits for each alternative including, but not necessarily limited to, 
annual maintenance and repair, periodic and one time major repairs and 
replacements and salvage of the energy and service water systems. Cost 
estimates shall be prepared using professionally recognized cost 
estimating tools, guides and techniques.
    12.3.2.2.4  Perform a life cycle cost analysis using the procedure 
specified in section 12.3.2.
    12.3.2.2.5  Compare the total life cycle cost of each energy source 
alternative. The alternative with the lowest total life-cycle cost shall 
be chosen as the energy source for the proposed design.

                            12.4  Compliance

    12.4.1  Compliance with this section is demonstrated if the Design 
Energy Use is equal to or less than the Energy Use Budget.

DEUEUB

                              Equation 12-3

    12.4.2  The energy consumption shall be measured at the building 
five foot line for all fuels. Energy consumed from non-depletable energy 
sources and heat recovery systems shall not be included in the Design 
Energy Use calculations. The thermal efficiency of fixtures, equipment, 
systems or plants in the proposed design shall be simulated by the 
selected calculation tool.

                  12.5  Standard Calculation Procedure

    12.5.1  The Standard Calculation Procedure consists of methods and 
assumptions for calculating the Energy Use Budgets for Prototype and 
Reference Buildings and the Design Energy Use for the Proposed Design. 
In

[[Page 493]]

order to maintain consistency between the Energy Use Budgets and the 
Design Energy Use, the input assumptions stated in section 11.5 are to 
be used.
    12.5.2  The terms Energy Cost Budget and Design Energy Cost or 
Consumption used in section 11.0 correlate to Energy Use Budget and 
Design Energy Use, respectively, in section 12.0.

                        12.6  The Simulation Tool

    12.6.1  The criteria established in section 11.0 for the selection 
of a simulation tool shall be followed when using the compliance path 
prescribed in section 12.0.

                 12.7  Life Cycle Cost Analysis Criteria

    12.7.1  The following life cycle cost criteria applies to the fuel 
selection requirements of this chapter and to option life cycle cost 
analyses performed to evaluate energy conservation design alternatives. 
The fuel source(s) selection shall be made in accordance with the 
requirements of subpart A of 10 CFR part 436. The implementation 
calculations for the methodology of subpart A of 10 CFR part 436 is 
provided in National Bureau of Standards Handbook 135 entitled ``Life 
Cycle Cost Manual for the Federal Energy Management Program.'' When 
performing life cycle cost analyses of optional energy conservation 
opportunities the designer may use the life cycle cost procedures of 
subpart A of 10 CFR part 436 or OMB Circular A-94 or an equivalent 
procedure that meets the assumptions listed below:
    12.7.1.1  The economic life of the Prototype Building and Proposed 
Design shall be 25 years. Anticipated replacements or renovations of 
energy related features and systems in the Prototype or Reference 
Building and Proposed Design during this period shall be included in 
their respective life cycle cost calculations.
    12.7.1.2  The designer shall follow established professional cost 
estimating practices when determining the costs and benefits associated 
with the energy related features of the Prototype or Reference Building 
and Proposed Design.
    12.7.1.3  All costs shall be expressed in current dollars. General 
inflation shall be disregarded. Differential escalation of prices 
(prices estimated to rise faster or slower than general inflation) for 
energy used in the life cycle cost calculations shall be those in effect 
at the time of the life cycle cost calculations as published by the 
Department of Energy's Energy Information Administration.
    12.7.1.4  The economic effects of taxes, depreciation and other 
factors not consistent with the practices of subpart A of 10 CFR part 
436 shall not be included in the life cycle cost calculation.



     Subpart B--Voluntary Performance Standards for New Non-Federal 
                    Residential Buildings [Reserved]



 Subpart C--Mandatory Performance Standards for New Federal Residential 
                                Buildings



Sec. 435.300  Purpose.

    (a) This subpart establishes voluntary energy conservation 
performance standards for new residential buildings. The voluntary 
energy conservation performance standards are designed to achieve the 
maximum practicable improvements in energy efficiency and increases in 
the use of non-depletable sources of energy.
    (b) Voluntary energy conservation performance standards prescribed 
under this subpart shall be developed solely as guidelines for the 
purpose of providing technical assistance for the design of energy 
conserving buildings, and shall be mandatory only for the design of 
Federal buildings.
    (c) The energy conservation performance standards will direct 
Federal policies and practices to ensure that cost-effective energy 
conservation features will be incorporated into the designs of all new 
residential buildings designed and constructed by and for Federal 
agencies.



Sec. 435.301  Scope.

    (a) The energy conservation performance standards for new Federal 
residential buildings will apply to the design of all new residential 
buildings except multifamily buildings more than three stories above 
grade.

[[Page 494]]

    (b) The primary types of buildings built by or for the Federal 
agencies, to which the energy conservation performance standards will 
apply, are:
    (1) Single-story single-family residences;
    (2) Split-level single-family residences;
    (3) Two-story single-family residences;
    (4) End-unit townhouses;
    (5) Middle-unit townhouses;
    (6) End-units in multifamily buildings (of three stories above grade 
or less);
    (7) Middle-units in multifamily buildings (of three stories above 
grade or less);
    (8) Single-section mobile homes; and
    (9) Multi-section mobile homes.



Sec. 435.302  Definitions.

    (a) ANSI means American National Standards Institute.
    (b) ASHRAE Handbook means American Society of Heating, Refrigerating 
and Air-Conditioning Engineeers, Inc., ASHRAE Handbook, 1985 
Fundamentals. Volume, 1-P Edition.
    (c) ASTM means American Society of Testing and Measurement.
    (d) British thermal unit (Btu) means approximately the amount of 
heat required to raise the temperature of one pound of water from 
59 deg.F to 60 deg.F.
    (e) Building means any new residential structure:
    (1) That includes or will include a heating or cooling system, or 
both, or a domestic hot water system, and
    (2) For which a building design is created after the effective date 
of this rule.
    (f) Building design means the development of plans and 
specifications for human living space.
    (g) Conservation Optimization Standard for Savings in Federal 
Residences means the computerized calculation procedure that is used to 
establish an energy consumption goal for the design of Federal 
residential buildings.
    (h) COSTSAFR means the Conservation Optimization Standard for 
Savings in Federal Residences.
    (i) DOE means U.S. Department of Energy.
    (j) Domestic hot water (DHW) means the supply of hot water for 
purposes other than space conditioning.
    (k) Energy conservation measure (ECM) means a building material or 
component whose use will affect the energy consumed for space heating, 
space cooling, domestic hot water or refrigeration.
    (l) Energy performance standard means an energy consumption goal or 
goals to be met without specification of the method, materials, and 
processes to be employed in achieving that goal or goals, but including 
statements of the requirements, criteria evaluation methods to be used, 
and any necessary commentary.
    (m) Federal agency means any department, agency, corporation, or 
other entity or instrumentality of the executive branch of the Federal 
Government, including the United States Postal Service, the Federal 
National Mortgage Association, and the Federal Home Loan Mortgage 
Corporation.
    (n) Federal residential building means any residential building to 
be constructed by or for the use of any Federal agency in the 
Continental U.S., Alaska, or Hawaii that is not legally subject to state 
or local building codes or similar requirements.
    (o) Life cycle cost means the minimum life cycle cost calculated by 
using a methodology specified in subpart A of 10 CFR part 436.
    (p) Point system means the tables that display the effect of the set 
of energy conservation measures on the design energy consumption and 
energy costs of a residential building for a particular location, 
building type and fuel type.
    (q) Practicable optimum life cycle energy cost means the energy 
costs of the set of conservation measures that has the minimum life 
cycle cost to the Federal government incurred during a 25 year period 
and including the costs of construction, maintenance, operation, and 
replacement.
    (r) Project means the group of one or more Federal residential 
buildings to be built at a specific geographic location that are 
included by a Federal agency in specifications issued or used by a 
Federal agency for design or construction of the buildings.

[[Page 495]]

    (s) Prototype means a fundamental house design based on typical 
construction assumptions. The nine prototypes in COSTSAFR are: single-
section manufactured house, double-section manufactured house, ranch-
style house, two-story house, split-level house, mid-unit apartment, 
end-unit apartment, mid-unit townhouse, end-unit townhouse.
    (t) Residential building means a new building that is designed to be 
constructed and developed for residential occupancy.
    (u) Set of conservation options means the combination of envelope 
design and equipment measures that influences the long term energy use 
in a building designed to maintain a minimum of ventilation level of 0.7 
air changes per hour, including the heating and cooling equipment, 
domestic hot water equipment, glazing, insulation, refrigerators and air 
infiltration control measures.
    (v) Shading coefficient means the ratio of the heat gains through 
windows, with or without integral shading devices, to that occurring 
through unshaded, \1/8\-inch clear glass.
    (w) Total annual coil load means the energy for space heating and/or 
cooling with no adjustment for HVAC equipment efficiency.

[56 FR 3772, Jan. 31, 1991]



Sec. 435.303  Requirements for the design of a Federal residential building.

    (a) The head of each Federal agency responsible for the construction 
of Federal residential buildings shall establish an energy consumption 
goal for each building to be designed or constructed by or for the 
agency.
    (b) The energy consumption goal for a Federal residential building 
shall be a total point score derived by using the micro-computer program 
and user manual entitled ``Conservation Optimization Standard for 
Savings in Federal Residences (COSTSAFR),'' unless the head of the 
Federal agency shall establish more stringent requirements for that 
agency.
    (c) The head of each Federal agency shall adopt such procedures as 
may be necessary to ensure that the design of a Federal residential 
building is not less energy conserving than the energy consumption goal 
established for the building.



Sec. 435.304  The COSTSAFR Program.

    (a) The COSTSAFR Program (Version 3.0) provides a computerized 
calculation procedure to determine the most effective set of energy 
conservation measures, selected from among the measures included within 
the Program that will produce the practicable optimum life cycle cost 
for a type of residential building in a specific geographic location. 
The most effective set of energy conservation measures is expressed as a 
total point score that serves as the energy consumption goal.
    (b) The COSTSAFR Program (Version 3.0) also prints out a point 
system that identifies a wide array of different energy conservation 
measures indicating how many points various levels of each measure would 
contribute to reaching the total point score of the energy consumption 
goal. This enables a Federal agency to use the energy consumption goal 
and the point system in the design and procurement procedures so that 
designers and builders can pick and choose among different combinations 
of energy conservation measures to meet or exceed the total point score 
required to meet the energy consumption goal.
    (c) The COSTSAFR Program (Version 3.0) operates on a micro-computer 
system that uses the MS DOS operating system and is equipped with an 
8087 co-processor.
    (d) The COSTSAFR Program (Version 3.0) may be obtained from:
National Technical Information Service; Department of Commerce; 
Springfield, Virginia 22161; (202) 487-4600

[53 FR 32545, Aug. 25, 1988, as amended at 56 FR 3772, Jan. 31, 1991]



Sec. 435.305  Alternative compliance procedure.

    (a) If a proposed building design includes unusual or innovative 
energy conservation measures which are not covered by the COSTSAFR 
program, the Federal agency shall determine whether that design meets or 
exceeds the applicable energy consumption goal in compliance with the 
procedures set forth in this section.
    (b) The Federal agency shall determine the estimated discounted 
energy cost for the COSTSAFR prototype building design, which is the 
most

[[Page 496]]

similar of the COSTSAFR prototypes to the proposed building design, by--
    (1) Printing out the COSTSAFR compliance forms for the prototype 
showing the points attributable to levels of various energy conservation 
measures;
    (2) Calculating the estimated unit energy cost on the compliance 
forms, on the basis of selecting the optimum levels on the compliance 
forms or otherwise in the User's Manual for each energy conservation 
measure; and
    (3) Multiplying the estimated unit energy cost by 100.
    (c) The Federal agency shall determine the estimated discounted 
energy cost for the proposed building design by--
    (1) Estimating the heating and cooling total annual coil loads of 
the proposed building design with the DOE 2.1C computer program on the 
basis of input assumptions including--
    (i) Shading coefficients of 0.6 for summer and 0.8 for winter;
    (ii) Thermostat setpoints of 78 degrees Fahrenheit for cooling, 70 
degrees Fahrenheit for heating (6 am to 12 midnight), and 60 degrees 
Fahrenheit for Night Setback (12 midnight to 6 am, except for houses 
with heat pumps);
    (iii) The infiltration rate measured in air changes per hour as 
calculated using appendix B of the COSTSAFR User's Manual;
    (iv) Natural venting with a constant air change rate of 10 air 
changes per hour--
    (A) When the outdoor temperature is lower than the indoor 
temperature, but not above 78 degrees Fahrenheit; and
    (B) When the enthalpy of the outdoor air is lower than the indoor 
air.
    (v) Internal gains in accordance with the following table for a 
house with 1540 square feet of floor area, adjusted by 0.35 Btu/ft \2\/
hr to account for changes in lighting as the floor area varies from 1540 
square feet--

                  Table 1--Internal Gain Schedule (Btu)                 
------------------------------------------------------------------------
                    Hour of day                      Sensible    Latent 
------------------------------------------------------------------------
1.................................................        1139       247
2.................................................        1139       247
3.................................................        1139       247
4.................................................        1139       247
5.................................................        1139       247
6.................................................        1903       412
7.................................................        2391       518
8.................................................        4782      1036
9.................................................        2790       604
10................................................        1707       370
11................................................        1707       370
12................................................        2277       493
13................................................        1707       370
14................................................        1424       308
15................................................        1480       321
16................................................        1480       321
17................................................        2164       469
18................................................        2334       506
19................................................        2505       543
20................................................        3928       851
21................................................        3928       851
22................................................        4101       888
23................................................        4101       888
24................................................        3701       802
------------------------------------------------------------------------

    (vi) Thermal transmittances for building envelope materials measured 
in accordance with applicable ASTM procedures or from the ASHRAE 
Handbook;
    (vii) Proposed heating and cooling equipment types included in 
COSTSAFR or having a certified seasonal efficiency rating;
    (viii) Weather Year for Energy Calculations (WYEC) weather year data 
(WYEC data are on tapes available from ASHRAE, 1791 Tullie Circle, N.E., 
Atlanta, Georgia 30329), or if unavailable, Test Reference Year (TRY) 
weather data (obtainable from National Climatic Data Center, 1983 Test 
Reference Year, Tape Reference Manual, TD-9706, Asheville, North 
Carolina) relevant to project location.
    (2) Estimating the discounted energy cost for the heating and 
cooling energy loads, respectively, according to the following 
equation--

Discounted Energy Cost=

                                                                        
                Total Annual Coil Load x Fuel Cost x UPW*               
-------------------------------------------------------------------------
                          Equipment Efficiency                          
                                                                        

Where:
Total Annual Coil Load=the total heating or cooling annual coil load 
          calculated under paragraph (c)(1);
Fuel Cost=the heating or cooling fuel cost calculated in accordance with 
          sections 3.3.D and 3.3.E of the User's Manual;
UPW*=the uniform present worth discount factor; selected from the last 
          page of the compliance forms.

[[Page 497]]

Equipment Efficiency=the test seasonal efficiency rating of the heating 
          and cooling equipment only (i.e., not including duct or 
          distribution system losses).

    (3) Estimating the discounted energy cost for water heating and 
refrigerator/freezer energy consumption--
    (i) For equipment types covered by the COSTSAFR compliance forms, by 
multiplying the estimated unit energy cost by 100; or
    (ii)For equipment types not covered by COSTSAFR--

Discounted Energy Cost=

                                                                        
              Annual Energy Consumption x Fuel Cost x UPW*              
-------------------------------------------------------------------------
                              Energy Factor                             
                                                                        

Where:
Fuel Cost and UPW* are as defined in paragraph (c)(2) of this section; 
          Annual Energy Consumption is as calculated in 10 CFR 430.22; 
          and Energy Factor is the measure of energy efficiency as 
          calculated under 10 CFR 430.22

    (iii) [Reserved]
    (4) Adding together the discounted energy costs calculated under 
paragraphs (c)(2) and (c)(3) of this section;
    (d) If the discounted energy cost of the proposed building design 
calculated under paragraph (c)(4) of this section is equal to or less 
than the discounted energy cost of the COSTSAFR prototype building 
design calculated under paragraph (b) of this section, then the proposed 
building design is in compliance with the applicable energy consumption 
goal under this part.

[56 FR 3772, Jan. 31, 1991]



Sec. 435.306  Selecting a life cycle effective proposed building design.

    In selecting between or among proposed building designs which comply 
with the applicable energy consumption goal under this part, each 
Federal agency shall select the design which, in comparison to the 
applicable COSTSAFR prototype, has the highest Net Savings or lowest 
total life cycle costs calculated in compliance with subpart A of 10 CFR 
part 436.


[56 FR 3773, Jan. 31, 1991]



PART 436--FEDERAL ENERGY MANAGEMENT AND PLANNING PROGRAMS--Table of Contents




Sec.
436.1  Scope.
436.2  General objectives.

   Subpart A--Methodology and Procedures for Life Cycle Cost Analyses

436.10  Purpose.
436.11  Definitions.
436.12  Life cycle cost methodology.
436.13  Presuming cost-effectiveness results.
436.14  Methodological assumptions.
436.15  Formatting cost data.
436.16  Establishing non-fuel and non-water cost categories.
436.17  Establishing energy or water cost data.
436.18  Measuring cost-effectiveness.
436.19  Life cycle costs.
436.20  Net savings.
436.21  Savings-to-investment ratio.
436.22  Adjusted internal rate of return.
436.23  Estimated simple payback time.
436.24  Uncertainty analysis.

    Subpart B--Methods and Procedures for Energy Savings Performance 
                               Contracting

436.30  Purpose and scope.
436.31  Definitions.
436.32  Qualified contractors lists.
436.33  Procedures and methods for contractor selection.
436.34  Multiyear contracts.
436.35  Standard terms and conditions.
436.36  Conditions of payment.
436.37  Annual energy audits.
436.38  Terminating contracts.

                        Subparts C--E  [Reserved]

           Subpart F--Guidelines for General Operations Plans

436.100  Purpose and scope.
436.101  Definitions.
436.102  General operations plan format and content.
436.103  Program goal setting.
436.104  Energy conservation measures and standards.
436.105  Emergency conservation plan.
436.106  Reporting requirements.
436.107  Review of plan.
436.108  Waivers.

Appendix A to Part 436--Energy Conservation Standards for General 
          Operations [Reserved]
Appendix B to Part 436--Goal Setting Methodology
Appendix C to Part 436--General Operations Energy Conservation Measures

[[Page 498]]

Appendix D to Part 436--Energy Program Conservation Elements

    Authority: 42 U.S.C. Sec. 6361; 42 U.S.C. 8251-8263; 42 U.S.C. 8287-
8287c.

    Source: 44 FR 60669, Oct. 19, 1979, unless otherwise noted.



Sec. 436.1   Scope.

    This part sets forth the rules for Federal energy management and 
planning programs to reduce Federal energy consumption and to promote 
life cycle cost effective investments in building energy systems, 
building water systems and energy and water conservation measures for 
Federal buildings.

[61 FR 32649, June 25, 1996]



Sec. 436.2  General objectives.

    The objectives of Federal energy management and planning programs 
are:
    (a) To apply energy conservation measures to, and improve the design 
for construction of Federal buildings such that the energy consumption 
per gross square foot of Federal buildings in use during the fiscal year 
1995 is at least 10 percent less than the energy consumption per gross 
square foot in 1985;
    (b) To promote the methodology and procedures for conducting life 
cycle cost analyses of proposed investments in building energy systems, 
building water systems and energy and water conservation measures;
    (c) To promote the use of energy savings performance contracts by 
Federal agencies for implementation of privately financed investment in 
building and facility energy conservation measures for existing 
Federally owned buildings; and
    (d) To promote efficient use of energy in all agency operations 
through general operations plans.

[55 FR 48220, Nov. 20, 1990, as amended at 60 FR 18334, Apr. 10, 1995; 
61 FR 32649, June 25, 1996]



   Subpart A--Methodology and Procedures for Life Cycle Cost Analyses

    Source: 55 FR 48220, Nov. 20, 1990, unless otherwise noted.



Sec. 436.10   Purpose.

    This subpart establishes a methodology and procedures for estimating 
and comparing the life cycle costs of Federal buildings, for determining 
the life cycle cost effectiveness of energy conservation measures and 
water conservation measures, and for rank ordering life cycle cost 
effective measures in order to design a new Federal building or to 
retrofit an existing Federal building. It also establishes the method by 
which efficiency shall be considered when entering into or renewing 
leases of Federal building space.

[61 FR 32649, June 25, 1996]



Sec. 436.11  Definitions.

    As used in this subpart--
    Base Year means the fiscal year in which a life cycle cost analysis 
is conducted.
    Building energy system means an energy conservation measure or any 
portion of the structure of a building or any mechanical, electrical, or 
other functional system supporting the building, the nature or selection 
of which for a new building influences significantly the cost of energy 
consumed.
    Building water system means a water conservation measure or any 
portion of the structure of a building or any mechanical, electrical, or 
other functional system supporting the building, the nature or selection 
of which for a new building influences significantly the cost of water 
consumed.
    Component price means any variable sub-element of the total charge 
for a fuel or energy or water, including but not limited to such charges 
as ``demand charges,'' ``off-peak charges'' and ``seasonal charges.''
    Demand charge means that portion of the charge for electric service 
based upon the plant and equipment costs associated with supplying the 
electricity consumed.
    DOE means Department of Energy.
    Energy conservation measures means measures that are applied to an 
existing Federal building that improve energy efficiency and are life 
cycle cost effective and that involve energy conservation, cogeneration 
facilities, renewable energy sources, improvements

[[Page 499]]

in operation and maintenance efficiencies, or retrofit activities.
    Federal agency means ``agency'' as defined by 5 U.S.C. 551(1).
    Federal building means an energy or water conservation measure or 
any building, structure, or facility, or part thereof, including the 
associated energy and water consuming support systems, which is 
constructed, renovated, leased, or purchased in whole or in part for use 
by the Federal government. This term also means a collection of such 
buildings, structures, or facilities and the energy and water consuming 
support systems for such collection.
    Investment costs means the initial costs of design, engineering, 
purchase, construction, and installation exclusive of sunk costs.
    Life cycle cost means the total cost of owning, operating and 
maintaining a building over its useful life (including its fuel and 
water, energy, labor, and replacement components), determined on the 
basis of a systematic evaluation and comparison of alternative building 
systems, except that in the case of leased buildings, the life cycle 
cost shall be calculated over the effective remaining term of the lease.
    Non-fuel operation and maintenance costs means material and labor 
cost for routine upkeep, repair and operation exclusive of energy cost.
    Non-recurring costs means costs that are not uniformly incurred 
annually over the study period.
    Non-water operation and maintenance costs mean material and labor 
cost for routine upkeep, repair and operation exclusive of water cost.
    Recurring costs means future costs that are incurred uniformly and 
annually over the study period.
    Replacement costs mean future cost to replace a building energy 
system or building water system, an energy or water conservation 
measure, or any component thereof.
    Retrofit means installation of a building energy system or building 
water system alternative in an existing Federal building.
    Salvage value means the value of any building energy system or 
building water system removed or replaced during the study period, or 
recovered through resale or remaining at the end of the study period.
    Study period means the time period covered by a life cycle cost 
analysis.
    Sunk costs means costs incurred prior to the time at which the life 
cycle cost analysis occurs.
    Time-of-day rate means the charge for service during periods of the 
day based on the cost of supplying services during various times of the 
day.
    Water conservation measures mean measures that are applied to an 
existing Federal building that improve the efficiency of water use, 
reduce the amount of water for sewage disposal and are life cycle cost 
effective and that involve water conservation, improvements in operation 
and maintenance efficiencies, or retrofit activities.

[55 FR 48220, Nov. 20, 1990, as amended at 61 FR 32649, June 25, 1996]



Sec. 436.12  Life cycle cost methodology.

    The life cycle cost methodology for this part is a systematic 
analysis of relevant costs, excluding sunk costs, over a study period, 
relating initial costs to future costs by the technique of discounting 
future costs to present values.



Sec. 436.13  Presuming cost-effectiveness results.

    (a) If the investment and other costs for an energy or water 
conservation measure considered for retrofit to an existing Federal 
building or a building energy system or building water system considered 
for incorporation into a new building design are insignificant, a 
Federal agency may presume that such a system is life cycle cost-
effective without further analysis.
    (b) A Federal agency may presume that an investment in an energy or 
water conservation measure retrofit to an existing Federal building is 
not life cycle cost-effective for Federal investment if the Federal 
building is--
    (1) Occupied under a short-term lease with a remaining term of one 
year or less, and without a renewal option or with a renewal option 
which is not likely to be exercised;
    (2) Occupied under a lease which includes the cost of utilities in 
the rent and does not provide a pass-through of

[[Page 500]]

energy or water savings to the government; or
    (3) Scheduled to be demolished or retired from service within one 
year or less.

[55 FR 48220, Nov. 20, 1990, as amended at 61 FR 32650, June 25, 1996]



Sec. 436.14  Methodological assumptions.

    (a) Each Federal Agency shall discount to present values the future 
cash flows established in either current or constant dollars consistent 
with the nominal or real discount rate, and related tables, published in 
the annual supplement to the Life Cycle Costing Manual for the Federal 
Energy Management Program (NIST 85-3273) and determined annually by DOE 
as follows--
    (1) The nominal discount rate shall be a 12 month average of the 
composite yields of all outstanding U.S. Treasury bonds neither due nor 
callable in less than ten years, as most recently reported by the 
Federal Reserve Board; and
    (2) Subject to a ceiling of 10 percent and a floor of three percent 
the real discount rate shall be a 12 month average of the composite 
yields of all outstanding U.S. Treasury bonds neither due nor callable 
in less than ten years, as most recently reported by the Federal Reserve 
Board, adjusted to exclude estimated increases in the general level of 
prices consistent with projections of inflation in the most recent 
Economic Report of the President's Council of Economic Advisors.
    (b) Each Federal agency shall assume that energy prices will change 
at rates projected by DOE's Energy Information Administration and 
published by NIST annually no later than the beginning of the fiscal 
year in the Annual Supplement to the Life Cycle Costing Manual for the 
Federal Energy Management Program, in tables consistent with the 
discount rate determined by DOE under paragraph (a) of this section, 
except that--
    (1) If the Federal agency is using component prices under 
Sec. 436.14(c), that agency may use corresponding component escalation 
rates provided by the energy or water supplier.
    (2) For Federal buildings in foreign countries, the Federal agency 
may use a ``reasonable'' escalation rate.
    (c) Each Federal agency shall assume that the price of energy or 
water in the base year is the actual price charged for energy or water 
delivered to the Federal building and may use actual component prices as 
provided by the energy or water supplier.
    (d) Each Federal agency shall assume that the appropriate study 
period is as follows:
    (1) For evaluating and ranking alternative retrofits for an existing 
Federal building, the study period is the expected life of the retrofit, 
or 25 years from the beginning of beneficial use, whichever is shorter.
    (2) For determining the life cycle costs or net savings of mutually 
exclusive alternatives for a given building energy system or building 
water system (e.g., alternative designs for a particular system or size 
of a new or retrofit building energy system or building water system), a 
uniform study period for all alternatives shall be assumed which is 
equal to--
    (i) The estimated life of the mutually exclusive alternative having 
the longest life, not to exceed 25 years from the beginning of 
beneficial use with appropriate replacement and salvage values for each 
of the other alternatives; or
    (ii) The lowest common multiple of the expected lives of the 
alternative, not to exceed 25 from the beginning of beneficial use with 
appropriate replacement and salvage values for each alternative.
    (3) For evaluating alternative designs for a new Federal building, 
the study period extends from the base year through the expected life of 
the building or 25 years from the beginning of beneficial use, whichever 
is shorter.
    (e) Each Federal agency shall assume that the expected life of any 
building energy system or building water system is the period of service 
without major renewal or overhaul, as estimated by a qualified engineer 
or architect, as appropriate, or any other reliable source except that 
the period of service of a building energy or water system shall not be 
deemed to exceed the expected life of the owned building, or the 
effective remaining term of the

[[Page 501]]

leased building (taking into account renewal options likely to be 
exercised).
    (f) Each Federal agency may assume that investment costs are a lump 
sum occurring at the beginning of the base year, or may discount future 
investment costs to present value using the appropriate present worth 
factors under paragraph (a) of this section.
    (g) Each Federal agency may assume that energy or water costs and 
non-fuel or non-water operation and maintenance costs begin to accrue at 
the beginning of the base year or when actually projected to occur.
    (h) Each Federal agency may assume that costs occur in a lump sum at 
any time within the year in which they are incurred.
    (i) This section shall not apply to calculations of estimated simple 
payback time under Sec. 436.22 of this part.

[55 FR 48220, Nov. 20, 1990, as amended at 61 FR 32650, June 25, 1996]



Sec. 436.15  Formatting cost data.

    In establishing cost data under Secs. 436.16 and 436.17 and 
measuring cost effectiveness by the modes of analysis described by 
Sec. 436.19 through Sec. 436.22, a format for accomplishing the analysis 
which includes all required input data and assumptions shall be used. 
Subject to Sec. 436.18(b), Federal agencies are encouraged to use 
worksheets or computer software referenced in the Life Cycle Cost Manual 
for the Federal Energy Management Program.



Sec. 436.16  Establishing non-fuel and non-water cost categories.

    (a) The relevant non-fuel cost categories are--
    (1) Investment costs;
    (2) Non-fuel operation and maintenance cost;
    (3) Replacement cost; and
    (4) Salvage value.
    (b) The relevant non-water cost categories are--
    (1) Investment costs;
    (2) Non-water operation and maintenance cost;
    (3) Replacement cost; and
    (4) Salvage value.
    (c) The present value of recurring costs is the product of the base 
year value of recurring costs as multiplied by the appropriate uniform 
present worth factor under Sec. 436.14, or as calculated by computer 
software indicated in Sec. 436.18(b) and used with the official discount 
rate and escalation rate assumptions under Sec. 436.14. When recurring 
costs begin to accrue at a later time, subtract the present value of 
recurring costs over the delay, calculated using the appropriate uniform 
present worth factor for the period of the delay, from the present value 
of recurring costs over the study period or, if using computer software, 
indicate a delayed beneficial occupancy date.
    (d) The present value of non-recurring cost under Sec. 436.16(a) is 
the product of the non-recurring costs as multiplied by appropriate 
single present worth factors under Sec. 436.14 for the respective years 
in which the costs are expected to be incurred, or as calculated by 
computer software provided or approved by DOE and used with the official 
discount rate and escalation rate assumptions under Sec. 436.14.

[55 FR 48220, Nov. 20, 1990, as amended at 61 FR 32650, June 25, 1996]



Sec. 436.17  Establishing energy or water cost data.

    (a) Each Federal agency shall establish energy costs in the base 
year by multiplying the total units of energy used in the base year by 
the price per unit of energy in the base year as determined in 
accordance with Sec. 436.14(c).
    (b) When energy costs begin to accrue in the base year, the present 
value of energy costs over the study period is the product of energy 
costs in the base year as established under Sec. 436.17(a), multiplied 
by the appropriate modified uniform present worth factor adjusted for 
energy price escalation for the applicable region, sector, fuel type, 
and study period consistent with Sec. 436.14, or as calculated by 
computer software provided or approved by DOE and used with the official 
discount rate and escalation rate assumptions under Sec. 436.14. When 
energy costs begin to accrue at a later time, subtract the present value 
of energy costs over the delay, calculated using the adjusted, modified 
uniform present worth factor for the period of delay, from the present 
value of energy costs over the

[[Page 502]]

study period or, if using computer software, indicate a delayed 
beneficial occupancy date.
    (c) Each Federal agency shall establish water costs in the base year 
by multiplying the total units of water used in the base year by the 
price per unit of water in the base year as determined in accordance 
with Sec. 436.14(c).
    (d) When water costs begin to accrue in the base year, the present 
value of water costs over the study period is the product of water costs 
in the base year as established under Sec. 436.17(a), or as calculated 
by computer software provided or approved by DOE and used with the 
official discount rate and assumptions under Sec. 436.14. When water 
costs begin to accrue at a later time, subtract the present value of 
water costs over the delay, calculated using the uniform present worth 
factor for the period of delay, from the present value of water costs 
over the study period or, if using computer software, indicate a delayed 
beneficial occupancy date.

[55 FR 48220, Nov. 20, 1990, as amended at 61 FR 32650, June 25, 1996]



Sec. 436.18  Measuring cost-effectiveness.

    (a) In accordance with this section, each Federal agency shall 
measure cost-effectiveness by combining cost data established under 
Secs. 436.16 and 436.17 in the appropriate mode of analysis as described 
in Sec. 436.19 through Sec. 436.22.
    (b) Federal agencies performing LCC analysis on computers shall use 
either the Federal Buildings Life Cycle Costing (FBLCC) software 
provided by DOE or software consistent with this subpart.
    (c) Replacement of a building energy or water system with an energy 
or water conservation measure by retrofit to an existing Federal 
building or by substitution in the design for a new Federal building 
shall be deemed cost-effective if--
    (1) Life cycle costs, as described by Sec. 436.19, are estimated to 
be lower; or
    (2) Net savings, as described by Sec. 436.20, are estimated to be 
positive; or
    (3) The savings-to-investment ratio, as described by Sec. 436.21, is 
estimated to be greater than one; or
    (4) The adjusted internal rate of return, as described by 
Sec. 436.22, is estimated to be greater than the discount rate as set by 
DOE.
    (d) As a rough measure, each Federal agency may determine estimated 
simple payback time under Sec. 436.23, which indicates whether a 
retrofit is likely to be cost effective under one of the four 
calculation methods referenced in Sec. 436.18(c). An energy or water 
conservation measure alternative is likely to be cost-effective if 
estimated payback time is significantly less than the useful life of 
that system, and of the Federal building in which it is to be installed.
    (e) Mutually exclusive alternatives for a given building energy or 
water system, considered in determining such matters as the optimal size 
of a solar energy system, the optimal thickness of insulation, or the 
best choice of double-glazing or triple-glazing for windows, shall be 
compared and evaluated on the basis of life cycle costs or net savings 
over equivalent study periods. The alternative which is estimated to 
result in the lowest life cycle costs or the highest net savings shall 
be deemed the most cost-effective because it tends to minimize the life 
cycle cost of Federal building.
    (f) When available appropriations will not permit all cost-effective 
energy or water conservation measures to be undertaken, they shall be 
ranked in descending order of their savings-to-investment ratios, or 
their adjusted internal rate of return, to establish priority. If 
available appropriations cannot be fully exhausted for a fiscal year by 
taking all budgeted energy or water conservation measures according to 
their rank, the set of energy or water conservation measures that will 
maximize net savings for available appropriations should be selected.
    (g) Alternative building designs for new Federal buildings shall be 
evaluated on the basis of life cycle costs. The alternative design which 
results in the lowest life cycle costs for a given new building shall be 
deemed the most cost-effective.

[55 FR 48220, Nov. 20, 1990, as amended at 61 FR 32650, June 25, 1996]

[[Page 503]]



Sec. 436.19  Life cycle costs.

    Life cycle costs are the sum of the present values of--
    (a) Investment costs, less salvage values at the end of the study 
period;
    (b) Non-fuel operation and maintenance costs:
    (c) Replacement costs less salvage costs of replaced building 
systems; and
    (d) Energy and/or water costs.

[55 FR 48220, Nov. 20, 1990, as amended at 61 FR 32651, June 25, 1996]



Sec. 436.20  Net savings.

    For a retrofit project, net savings may be found by subtracting life 
cycle costs based on the proposed project from life cycle costs based on 
not having it. For a new building design, net savings is the difference 
between the life cycle costs of an alternative design and the life cycle 
costs of the basic design.



Sec. 436.21  Savings-to-investment ratio.

    The savings-to-investment ratio is the ratio of the present value 
savings to the present value costs of an energy or water conservation 
measure. The numerator of the ratio is the present value of net savings 
in energy or water and non-fuel or non-water operation and maintenance 
costs attributable to the proposed energy or water conservation measure. 
The denominator of the ratio is the present value of the net increase in 
investment and replacement costs less salvage value attributable to the 
proposed energy or water conservation measure.

[61 FR 32651, June 25, 1996]



Sec. 436.22  Adjusted internal rate of return.

    The adjusted internal rate of return is the overall rate of return 
on an energy or water conservation measure. It is calculated by 
subtracting 1 from the nth root of the ratio of the terminal value of 
savings to the present value of costs, where n is the number of years in 
the study period. The numerator of the ratio is calculated by using the 
discount rate to compound forward to the end of the study period the 
yearly net savings in energy or water and non-fuel or non-water 
operation and maintenance costs attributable to the proposed energy or 
water conservation measure. The denominator of the ratio is the present 
value of the net increase in investment and replacement costs less 
salvage value attributable to the proposed energy or water conservation 
measure.

[61 FR 32651, June 25, 1996]



Sec. 436.23  Estimated simple payback time.

    The estimated simple payback time is the number of years required 
for the cumulative value of energy or water cost savings less future 
non-fuel or non-water costs to equal the investment costs of the 
building energy or water system, without consideration of discount 
rates.

[61 FR 32651, June 25, 1996]



Sec. 436.24  Uncertainty analyses.

    If particular items of cost data or timing of cash flows are 
uncertain and are not fixed under Sec. 436.14, Federal agencies may 
examine the impact of uncertainty on the calculation of life cycle cost 
effectiveness or the assignment of rank order by conducting additional 
analyses using any standard engineering economics method such as 
sensitivity and probabilistic analysis. If additional analysis casts 
substantial doubt on the life cycle cost analysis results, a Federal 
agency should consider obtaining more reliable data or eliminating the 
building energy or water system alternative.

[55 FR 48220, Nov. 20, 1990, as amended at 61 FR 32651, June 25, 1996]



    Subpart B--Methods and Procedures for Energy Savings Performance 
                               Contracting

    Source:60 FR 18334, Apr. 10, 1995, unless otherwise noted.



Sec. 436.30  Purpose and scope.

    (a) General. This subpart provides procedures and methods which 
apply to Federal agencies with regard to the award and administration of 
energy savings performance contracts awarded within five years of April 
10, 1995. This subpart applies in addition to the Federal Acquisition 
Regulation at Title 48

[[Page 504]]

of the CFR and related Federal agency regulations. The provisions of 
this subpart are controlling with regard to energy savings performance 
contracts notwithstanding any conflicting provisions of the Federal 
Acquisition Regulation and related Federal agency regulations.
    (b) Utility incentive programs. Nothing in this subpart shall 
preclude a Federal agency from--
    (1) Participating in programs to increase energy efficiency, 
conserve water, or manage electricity demand conducted by gas, water, or 
electric utilities and generally available to customers of such 
utilities;
    (2) Accepting financial incentives, goods, or services generally 
available from any such utility to increase energy efficiency or to 
conserve water or manage electricity demand; or
    (3) Entering into negotiations with electric, water, and gas 
utilities to design cost-effective demand management and conservation 
incentive programs to address the unique needs of each Federal agency.
    (c) Promoting competition. To the extent allowed by law, Federal 
agencies should encourage utilities to select contractors for the 
conduct of utility incentive programs in a competitive manner to the 
maximum extent practicable.
    (d) Interpretations. The permissive provisions of this subpart shall 
be liberally construed to effectuate the objectives of Title VIII of the 
National Energy Conservation Policy Act, 42 U.S.C. 8287-8287c.

[60 FR 18334, Apr. 10, 1995, as amended at 60 FR 19343, Apr. 18, 1995]



Sec. 436.31  Definitions.

    As used in this subpart--
    Act means Title VIII of the National Energy Conservation Policy Act.
    Annual energy audit means a procedure including, but not limited to, 
verification of the achievement of energy cost savings and energy unit 
savings guaranteed resulting from implementation of energy conservation 
measures and determination of whether an adjustment to the energy 
baseline is justified by conditions beyond the contractor's control.
    Building means any closed structure primarily intended for human 
occupancy in which energy is consumed, produced, or distributed.
    Detailed energy survey means a procedure which may include, but is 
not limited to, a detailed analysis of energy cost savings and energy 
unit savings potential, building conditions, energy consuming equipment, 
and hours of use or occupancy for the purpose of confirming or revising 
technical and price proposals based on the preliminary energy survey.
    DOE means Department of Energy.
    Energy baseline means the amount of energy that would be consumed 
annually without implementation of energy conservation measures based on 
historical metered data, engineering calculations, submetering of 
buildings or energy consuming systems, building load simulation models, 
statistical regression analysis, or some combination of these methods.
    Energy conservation measures means measures that are applied to an 
existing Federally owned building or facility that improves energy 
efficiency, are life-cycle cost-effective under subpart A of this part, 
and involve energy conservation, cogeneration facilities, renewable 
energy sources, improvements in operation and maintenance efficiencies, 
or retrofit activities.
    Energy cost savings means a reduction in the cost of energy and 
related operation and maintenance expenses, from a base cost established 
through a methodology set forth in an energy savings performance 
contract, utilized in an existing federally owned building or buildings 
or other federally owned facilities as a result of--
    (1) The lease or purchase of operating equipment, improvements, 
altered operation and maintenance, or technical services; or
    (2) The increased efficient use of existing energy sources by 
cogeneration or heat recovery, excluding any cogeneration process for 
other than a federally owned building or buildings or other federally 
owned facilities.
    Energy savings performance contract means a contract which provides 
for the performance of services for the design, acquisition, 
installation, testing, operation, and, where appropriate,

[[Page 505]]

maintenance and repair of an identified energy conservation measure or 
series of measures at one or more locations.
    Energy unit savings means the determination, in electrical or 
thermal units (e.g., kilowatt hour (kwh), kilowatt (kw), or British 
thermal units (Btu)), of the reduction in energy use or demand by 
comparing consumption or demand, after completion of contractor-
installed energy conservation measures, to an energy baseline 
established in the contract.
    Facility means any structure not primarily intended for human 
occupancy, or any contiguous group of structures and related systems, 
either of which produces, distributes, or consumes energy.
    Federal agency has the meaning given such term in section 551(1) of 
Title 5, United States Code.
    Preliminary energy survey means a procedure which may include, but 
is not limited to, an evaluation of energy cost savings and energy unit 
savings potential, building conditions, energy consuming equipment, and 
hours of use or occupancy, for the purpose of developing technical and 
price proposals prior to selection.
    Secretary means the Secretary of Energy.



Sec. 436.32  Qualified contractors lists.

    (a) DOE shall prepare a list, to be updated annually, or more often 
as necessary, of firms qualified to provide energy cost savings 
performance services and grouped by technology. The list shall be 
prepared from statements of qualifications by or about firms engaged in 
providing energy savings performance contract services on questionnaires 
obtained from DOE. Such statements shall, at a minimum, include prior 
experience and capabilities of firms to perform the proposed energy cost 
savings services by technology and financial and performance 
information. DOE shall issue a notice annually, for publication in the 
Commerce Business Daily, inviting submission of new statements of 
qualifications and requiring listed firms to update their statements of 
qualifications for changes in the information previously provided.
    (b) On the basis of statements of qualifications received under 
paragraph (a) of this section and any other relevant information, DOE 
shall select a firm for inclusion on the qualified list if--
    (1) It has provided energy savings performance contract services or 
services that save energy or reduce utility costs for not less than two 
clients, and the firm possesses the appropriate project experience to 
successfully implement the technologies which it proposes to provide;
    (2) Previous project clients provide ratings which are ``fair'' or 
better;
    (3) The firm or any principal of the firm has neither been insolvent 
nor declared bankruptcy within the last five years;
    (4) The firm or any principal of the firm is not on the list of 
parties excluded from procurement programs under 48 CFR part 9, subpart 
9.4; and
    (5) There is no other adverse information which warrants the 
conclusion that the firm is not qualified to perform energy savings 
performance contracts.
    (c) DOE may remove a firm from DOE's list of qualified contractors 
after notice and an opportunity for comment if--
    (1) There is a failure to update its statement of qualifications;
    (2) There is credible information warranting disqualification; or
    (3) There is other good cause.
    (d) A Federal agency shall use DOE's list unless it elects to 
develop its own list of qualified firms consistent with the procedures 
in paragraphs (a) and (b) of this section.
    (e) A firm not designated by DOE or a Federal agency pursuant to the 
procedures in paragraphs (a) and (b) of this section as qualified to 
provide energy cost savings performance services shall receive a written 
decision and may request a debriefing.
    (f) Any firm receiving an adverse final decision under this section 
shall apply to the Board of Contract Appeals of the General Services 
Administration in order to exhaust administrative remedies.

[[Page 506]]



Sec. 436.33  Procedures and methods for contractor selection.

    (a) Competitive selection. Competitive selections based on 
solicitation of firms are subject to the following procedures--
    (1) With respect to a particular proposed energy cost savings 
performance project, Federal agencies shall publish a Commerce Business 
Daily notice which synopsizes the proposed contract action.
    (2) Each competitive solicitation--
    (i) Shall request technical and price proposals and the text of any 
third-party financing agreement from interested firms;
    (ii) Shall consider DOE model solicitations and should use them to 
the maximum extent practicable;
    (iii) May provide for a two-step selection process which allows 
Federal agencies to make an initial selection based, in part, on 
proposals containing estimated energy cost savings and energy unit 
savings, with contract award conditioned on confirmation through a 
detailed energy survey that the guaranteed energy cost savings are 
within a certain percentage (specified in the solicitation) of the 
estimated amount; and
    (iv) May state that if the Federal agency requires a detailed energy 
survey which identifies life cycle cost effective energy conservation 
measures not in the initial proposal, the contract may include such 
measures.
    (3) Based on its evaluation of the technical and price proposals 
submitted, any applicable financing agreement (including lease-
acquisitions, if any), statements of qualifications submitted under 
Sec. 436.32 of this subpart, and any other information determines to be 
relevant, the Federal agency may select a firm on a qualified list to 
conduct the project.
    (4) If a proposed energy cost savings project involves a large 
facility with too many contiguously related buildings and other 
structures at one site for proposing firms to assume the costs of a 
preliminary energy survey of all such structures, the Federal agency--
    (i) May request technical and price proposals for a representative 
sample of buildings and other structures and may select a firm to 
conduct the proposed project; and
    (ii) After selection of a firm, but prior to award of an energy 
savings performance contract, may request the selected firm to submit 
technical and price proposals for all or some of the remaining buildings 
and other structures at the site and may include in the award for all or 
some of the remaining buildings and other structures.
    (5) After selection under paragraph (a)(3) or (a)(4) of this 
section, but prior to award, a Federal agency may require the selectee 
to conduct a detailed energy survey to confirm that guaranteed energy 
cost savings are within a certain percentage (specified in the 
solicitation) of estimated energy cost savings in the selectee's 
proposal. If the detailed energy survey does not confirm that guaranteed 
energy savings are within the fixed percentage of estimated savings, the 
Federal agency may select another firm from those within the competitive 
range.
    (b) Unsolicited proposals. Federal agencies may--
    (1) Consider unsolicited energy savings performance contract 
proposals from firms on a qualified contractor list under this subpart 
which include technical and price proposals and the text of any 
financing agreement (including a lease-acquisition) without regard to 
the requirements of 48 CFR 15.503 (a) and (c); 48 CFR 15.506-2(a)(1); 
and 48 CFR 15.507(a), (b)(2), (b)(3), (b)(4) and (b)(5).
    (2) Reject an unsolicited proposal that is too narrow because it 
does not address the potential for significant energy conservation 
measures from other than those measures in the proposal.
    (3) After requiring a detailed energy survey, if appropriate, and 
determining that technical and price proposals are adequate, award a 
contract to a firm on a qualified contractor list under this subpart on 
the basis of an unsolicited proposal, provided that the Federal agency 
complies with the following procedures--
    (i) An award may not be made to the firm submitting the unsolicited 
proposal unless the Federal agency first publishes a notice in the 
Commerce Business Daily acknowledging receipt

[[Page 507]]

of the proposal and inviting other firms on the qualified list to submit 
competing proposals.
    (ii) Except for unsolicited proposals submitted in response to a 
published general statement of agency needs, no award based on such an 
unsolicited proposal may be made in instances in which the Federal 
agency is planning the acquisition of an energy conservation measure 
through an energy savings performance contract.
    (c) Certified cost or pricing data.
    (1) Energy savings performance contracts under this part are firm 
fixed-price contracts.
    (2) Pursuant to the authority provided under section 304A(b)(1)(B) 
of the Federal Property and Administrative Services Act of 1049, the 
heads of procuring activities shall waive the requirement for submission 
of certified cost or pricing data. However, this does not exempt 
offerors from submitting information (including pricing information) 
required by the Federal agency to ensure the impartial and comprehensive 
evaluation of proposals.



Sec. 436.34  Multiyear contracts.

    (a) Subject to paragraph (b) of this section, Federal agencies may 
enter into a multiyear energy savings performance contract for a period 
not to exceed 25 years, as authorized by 42 U.S.C. 8287, without funding 
of cancellation charges, if:
    (1) The multiyear energy savings performance contract was awarded in 
a competitive manner using the procedures and methods established by 
this subpart;
    (2) Funds are available and adequate for payment of the scheduled 
energy cost for the first fiscal year of the multiyear energy savings 
performance contract;
    (3) Thirty days before the award of any multiyear energy savings 
performance contract that contains a clause setting forth a cancellation 
ceiling in excess of $750,000, the head of the awarding Federal agency 
gives written notification of the proposed contract and the proposed 
cancellation ceiling for the contract to the appropriate authorizing and 
appropriating committees of the Congress; and
    (4) Except as otherwise provided in this section, the multiyear 
energy savings performance contract is subject to 48 CFR part 17, 
subpart 17.1, including the requirement that the contracting officer 
establish a cancellation ceiling.
    (b) Neither this subpart nor any provision of the Act requires, 
prior to contract award or as a condition of a contract award, that a 
Federal agency have appropriated funds available and adequate to pay for 
the total costs of an energy savings performance contract for the term 
of such contract.



Sec. 436.35  Standard terms and conditions.

    (a) Mandatory requirements. In addition to contractual provisions 
otherwise required by the Act or this subpart, any energy savings 
performance contract shall contain clauses--
    (1) Authorizing modification, replacement, or changes of equipment, 
at no cost to the Federal agency, with the prior approval of the 
contracting officer who shall consider the expected level of performance 
after such modification, replacement or change;
    (2) Providing for the disposition of title to systems and equipment;
    (3) Requiring prior approval by the contracting officer of any 
financing agreements (including lease-acquisitions) and amendments to 
such an agreement entered into after contract award for the purpose of 
financing the acquisition of energy conservation measures;
    (4) Providing for an annual energy audit and identifying who shall 
conduct such an audit, consistent with Sec. 436.37 of this subpart; and
    (5) Providing for a guarantee of energy cost savings to the Federal 
agency, and establishing payment schedules reflecting such guarantee.
    (b) Third party financing. If there is third party financing, then 
an energy savings performance contract may contain a clause:
    (1) Permitting the financing source to perfect a security interest 
in the installed energy conservation measures, subject to and 
subordinate to the rights of the Federal agency; and
    (2) Protecting the interests of a Federal agency and a financing 
source, by

[[Page 508]]

authorizing a contracting officer in appropriate circumstances to 
require a contractor who defaults on an energy savings performance 
contract or who does not cure the failure to make timely payments, to 
assign to the financing source, if willing and able, the contractor's 
rights and responsibilities under an energy savings performance 
contract;



Sec. 436.36  Conditions of payment.

    (a) Any amount paid by a Federal agency pursuant to any energy 
savings performance contract entered into under this subpart may be paid 
only from funds appropriated or otherwise made available to the agency 
for the payment of energy expenses and related operation and maintenance 
expenses which would have been incurred without an energy savings 
performance contract. The amount the agency would have paid is equal to:
    (1) The energy baseline under the energy savings performance 
contract (adjusted if appropriate under Sec. 436.37), multiplied by the 
unit energy cost; and
    (2) Any related operations and maintenance cost prior to 
implementation of energy conservation measures, adjusted for increases 
in labor and material price indices.
    (b) Federal agencies may incur obligations pursuant to energy 
savings performance contracts to finance energy conservation measures 
provided guaranteed energy cost savings exceed the contractor's debt 
service requirements.



Sec. 436.37  Annual energy audits.

    (a) After contractor implementation of energy conservation measures 
and annually thereafter during the contract term, an annual energy audit 
shall be conducted by the Federal agency or the contractor as determined 
by the contract. The annual energy audit shall verify the achievement of 
annual energy cost savings performance guarantees provided by the 
contractor.
    (b) The energy baseline is subject to adjustment due to changes 
beyond the contractor's control, such as--
    (1) Physical changes to building;
    (2) Hours of use or occupancy;
    (3) Area of conditioned space;
    (4) Addition or removal of energy consuming equipment or systems;
    (5) Energy consuming equipment operating conditions;
    (6) Weather (i.e., cooling and heating degree days); and
    (7) Utility rates.
    (c) In the solicitation or in the contract, Federal agencies shall 
specify requirements for annual energy audits, the energy baseline, and 
baseline adjustment procedures.



Sec. 436.38  Terminating contracts.

    (a) Except as otherwise provided by this subpart, termination of 
energy savings performance contracts shall be subject to the termination 
procedures of the Federal Acquisition Regulation in 48 CFR part 49.
    (b) In the event an energy savings performance contract is 
terminated for the convenience of a Federal agency, the termination 
liability of the Federal agency shall not exceed the cancellation 
ceiling set forth in the contract, for the year in which the contract is 
terminated.



                        Subparts C--E  [Reserved]



           Subpart F--Guidelines for General Operations Plans

    Authority: Energy Policy and Conservation Act, as amended, 42 U.S.C. 
6361; Executive Order 11912, as amended, 42 FR 37523 (July 20, 1977); 
National Energy Conservation Policy Act, title V, part 3, 42 U.S.C. 8251 
et seq.; Department of Energy Organization Act, 42 U.S.C. 7254.

    Source: 45 FR 44561, July 1, 1980, unless otherwise noted.



Sec. 436.100  Purpose and scope.

    (a) Purpose. The purpose of this subpart is to provide guidelines 
for use by Federal agencies in their development of overall 10-year 
energy management plans to establish energy conservation goals, to 
reduce the rate of energy consumption, to promote the efficient use of 
energy, to promote switching for petroleum-based fuels and natural gas 
to coal and other energy sources, to provide a methodology for reporting 
their progress in meeting the goals of those plans, and to promote 
emergency energy conservation planning to assuage the impact of a sudden 
disruption in the supply of oil-based fuels, natural

[[Page 509]]

gas or electricity. The plan is intended to provide the cornerstone for 
a program to conserve energy in the general operations of an agency.
    (b) Scope. This subpart applies to all general operations of Federal 
agencies and is applicable to management of all energy used by Federal 
agencies that is excluded from coverage pursuant to section 543(a)(2) of 
part 3 of title V of the National Energy Conservation Policy Act, as 
amended (42 U.S.C. 8251-8261).

[45 FR 44561, July 1, 1980, as amended at 55 FR 48223, Nov. 20, 1990]



Sec. 436.101  Definitions.

    As used in this subpart--
    Automotive gasoline means all grades of gasoline for use in internal 
combustion engines except aviation gasoline. Does not include diesel 
fuel.
    Aviation gasoline (AVGAS) means all special grades of gasoline for 
use in aviation reciprocating engines.
    Btu means British thermal unit; the quantity of heat required to 
raise the temperature of one pound of water one degree Fahrenheit.
    Cogeneration means the utilization of surplus energy, e.g., steam, 
heat or hot water produced as a by-product of the manufacture of some 
other form of energy, such as electricity. Thus, diesel generators are 
converted to cogeneration sets when they are equipped with boilers that 
make steam and hot water (usable as energy) from the heat of the exhaust 
and the water that cools the generator.
    Diesel and petroleum distillate fuels means the lighter fuel oils 
distilled-off during the refining process. Included are heating oils, 
fuels, and fuel oil. The major uses of distillate fuel oils include 
heating, fuel for on- and off-highway diesel engines, marine diesel 
engines and railroad diesel fuel.
    DOE means the Department of Energy.
    Emergency conservation plan means a set of instructions designed to 
specify actions to be taken in response to a serious interruption of 
energy supply.
    Energy efficiency goal means the ratio of production achieved to 
energy used.
    Energy use avoidance means the amount of energy resources, e.g., 
gasoline, not used because of initiatives related to conservation. It is 
the difference between the baseline without a plan and actual 
consumption.
    Facility means any structure or group of closely located structures, 
comprising a manufacturing plant, laboratory, office or service center, 
plus equipment.
    Federal agency means any Executive agency under 5 U.S.C. 105 and the 
United States Postal Service, each entity specified in 5 U.S.C. 5721(1) 
(B) through (H) and, except that for purposes of this subpart, the 
Department of Defense shall be separated into four reporting 
organizations: the Departments of the Army, Navy and Air Force and the 
collective DOD agencies, with each responsible for complying with the 
requirements of this subpart.
    Fiscal year or FY means, for a given year, October 1 of the prior 
year through September 30 of the given year.
    Fuel types means purchased electricity, fuel oil, natural gas, 
liquefied petroleum gas, coal, purchased steam, automotive gasoline, 
diesel and petroleum distillate fuels, aviation gasoline, jet fuel, Navy 
special, and other identified fuels.
    General operations means world-wide Federal agency operations, other 
than building operations, and includes services; production and 
industrial activities; operation of aircraft, ships, and land vehicles; 
and operation of Government-owned, contractor-operated plants.
    General transportation means the use of vehicles for over-the-road 
driving as opposed to vehicles designed for off-road conditions, and the 
use of aircraft and vessels. This category does not include special 
purpose vehicles such as combat aircraft, construction equipment or mail 
delivery vehicles.
    Goal means a specific statement of an intended energy conservation 
result which will occur within a prescribed time period. The intended 
result must be time-phased and must reflect expected energy use assuming 
planned conservation programs are implemented.
    Guidelines means a set of instructions designed to prescribe, direct 
and regulate a course of action.

[[Page 510]]

    Industrial or production means the operation of facilities including 
buildings and plants which normally use large amounts of capital 
equipment, e.g., GOCO plants, to produce goods (hardware).
    Jet fuel means fuels for use, generally in aircraft turbine engines.
    Life cycle cost means the total cost of acquiring, operating and 
maintaining equipment over its economic life, including its fuel costs, 
determined on the basis of a systematic evaluation and comparison of 
alternative investments in programs, as defined in subpart A of this 
part.
    Liquefied petroleum gas means propane, propylene-butanes, butylene, 
propane-butane mixtures, and isobutane that are produced at a refinery, 
a natural gas processing plant, or a field facility.
    Maintenance means activities undertaken to assure that equipment and 
energy-using systems operate effectively and efficiently.
    Measures means actions, procedures, devices or other means for 
effecting energy efficient changes in general operations which can be 
applied by Federal agencies.
    Measure of performance means a scale against which the fulfillment 
of a requirement can be measured.
    Navy special means a heavy fuel oil that is similar to ASTM grade 
No. 6 oil or Bunker C oil. It is used to power U.S. Navy ships.
    Non-renewable energy source means fuel oil, natural gas, liquefied 
petroleum gas, synthetic fuels, and purchased steam or electricity, or 
other such energy sources.
    Operational training and readiness means those activities which are 
necessary to establish or maintain an agency's capability to perform its 
primary mission. Included are major activities to provide essential 
personnel strengths, skills, equipment/supply inventory and equipment 
condition. General administrative and housekeeping activities are not 
included.
    Overall plan means the comprehensive agency plan for conserving fuel 
and energy in all operations, to include both the Buildings Plan 
developed pursuant to subpart C of this part and the General Operations 
Plan.
    Plan means those actions which an agency envisions it must undertake 
to assure attainment of energy consumption and efficiency goals without 
an unacceptably adverse impact on primary missions.
    Program means the organized set of activities and allocation of 
resources directed toward a common purpose, objective, or goal 
undertaken or proposed by an agency in order to carry out the 
responsibilities assigned to it.
    Renewable energy sources means sunlight, wind, geothermal, biomass, 
solid wastes, or other such sources of energy.
    Secretary means the Secretary of the Department of Energy.
    Services means the provision of administrative assistance or 
something of benefit to the public.
    Specific Functional Category means those Federal agency activities 
which consume energy, or which are directly linked to energy consuming 
activities and which fall into one of the following groups: Services, 
General Transportation, Industrial or Production, Operational Training 
and Readiness, and Others.
    Standard means an energy conservation measure determined by DOE to 
be applicable to a particular agency or agencies. Once established as a 
standard, any variance or decision not to adopt the measure requires a 
waiver.
    Under Secretary means the Under Secretary of the Department of 
Energy.
    Variance means the difference between actual consumption and goal.
    656 Committee means the Interagency Federal Energy Policy Committee, 
the group designated in section 656 of the DOE Organization Act to 
provide general oversight for interdepartmental FEMP matters. It is 
chaired by the Under Secretary of DOE and includes the designated 
Assistant Secretaries or Assistant Administrator of the Department of 
Defense, Commerce, Housing and Urban Development, Transportation, 
Agriculture, Interior and the U.S. Postal Service and General Services 
Administration, along with similar level representatives of the National 
Aeronautics and Space Administration and the Veterans Administration.

[[Page 511]]



Sec. 436.102  General operations plan format and content.

    (a) Each Federal agency shall prepare and submit to the Under 
Secretary, DOE, within six months from the effective date of these 
guidelines, a general operations 10-year plan which shall consist of two 
parts, an executive summary and a text. Subsequent agency revisions to 
plans shall be included in each agency's annual report on progress which 
shall be forwarded to DOE by July 1 annually.
    (b) The following information shall be included in each Federal 
agency general operations 10-year plan for the period of fiscal years 
1980-1990:
    (1) An Executive Summary which includes--
    (i) A brief description of agency missions, and applicable 
functional categories pursuant to Sec. 436.106(a)(2);
    (ii) A Goals and Objectives Section which summarizes what energy 
savings or avoidance will be achieved during the plan period, and what 
actions will be taken to achieve those savings, and the costs and 
benefits of measures planned for reducing energy consumption, increasing 
energy efficiencies, and shifting to a more favorable fuel mix. 
Assumptions of environmental, safety and health effects of the goals 
should be included;
    (iii) A chart depicting the agency organizational structure for 
energy management, showing energy management program organization for 
headquarters and for major subordinate elements of the agency;
    (iv) A schedule for completion of requirements directed in this 
subpart, including phase-out of any procedures made obsolete by these 
guidelines; and
    (v) Identification of any significant problem which may impede the 
agency from meeting its energy management goals.
    (2) A Text which includes--
    (i) A Goals and Objectives Section developed pursuant to 
Sec. 436.103 describing agency conservation goals; these goals will be 
related to primary mission goals;
    (ii) An Investment Section describing the agency planned investment 
program by fiscal year, pursuant to appendix B of this subpart, all 
measures selected pursuant to Sec. 436.104, and the estimated costs and 
benefits of the measures planned for reducing energy consumption and 
increasing energy efficiencies;
    (iii) An Organization Section which includes: (A) Designation of the 
principal energy conservation officer, such as an Assistant Secretary or 
Assistant Administrator, who is responsible for supervising the 
preparation, updating and execution of the Plan, for planning and 
implementation of agency energy conservation programs, and for 
coordination with DOE with respect to energy matters; (B) designation of 
a middle-level staff member as a point of contact to interface with the 
DOE Federal Programs Office at the staff level; and (C) designation of 
key staff members within the agency who are responsible for technical 
inputs to the plan or monitoring progress toward meeting the goals of 
the plan;
    (iv) An Issues Section addressing problems, alternative courses of 
action for resolution, and agency recommendations that justify any 
decisions not to plan for or implement measures contained in appendix C 
of this subpart, and identifying any special projects, programs, or 
administrative procedures which may be beneficial to other Federal 
agency energy management programs:
    (v) An implementing Instructions Section which includes a summary of 
implementing instructions issued by agency headquarters, and attachments 
of appropriate documents such as:
    (A) Specific tasking resulting from development of the Plan;
    (B) Guidance for the development of emergency conservation plans;
    (C) Task milestones;
    (D) Listing of responsible sub-agencies and individuals at both 
agency headquarters and subordinate units;
    (E) Reporting and administrative procedures for headquarters and 
subordinate organizations;
    (F) Report schedules pursuant to Sec. 436.106(c);
    (G) Schedules for feedback in order to facilitate plan updating, to 
include reviews of emergency conservation plans developed pursuant to 
Sec. 436.105;
    (H) Schedules for preparing and submitting the annual report on 
energy management pursuant to Sec. 436.106(a);

[[Page 512]]

    (I) Schedules of plan preparation and publication;
    (J) Communication, implementation, and control measures such as 
inspections, audits, and others; and
    (vi) An Emergency Conservation Plan Summary Section pursuant to the 
requirements of Sec. 436.105(d).
    (3) Appendices which are needed to discuss and evaluate any 
innovative energy conserving technologies or methods, not included in 
this part, which the agency has identified for inclusion in its plan.
    (c) Each plan must be approved and signed by the principal energy 
conservation officer designated pursuant to paragraph (b)(2) of this 
section.



Sec. 436.103  Program goal setting.

    (a) In developing and revising plans for a projected 10-year plan 
each agency shall establish and maintain energy conservation goals in 
accordance with the requirements of this section.
    (b) Agencies shall establish three types of conservation goals:
    (1) Energy consumption goals, by fuel type by functional category 
(see appendix B).
    (2) Energy efficiency goals by fuel type by functional category (see 
appendix B).
    (3) Fuel switching goals for shifting energy use from oil and 
natural gas to other fuels in more plentiful supply from domestic 
sources (see appendix B).
    (c) General operations energy conservation goals shall be 
established by each Federal agency with the broad purpose of achieving 
reductions in total energy consumption and increased efficiency without 
serious mission degradation or unmitigated negative environmental 
impacts. Within the broad framework, each agency should seek first to 
reduce energy consumption per unit of output in each applicable 
functional category. In evaluating energy efficiency, each agency should 
select and use standards of measurement which are consistent throughout 
the planning period. Particular attention should be given to increased 
energy use efficiency in nonrenewable fuel consumption. The second focus 
of attention should be on initiatives which shift energy use from oil 
and natural gas to other fuels in more plentiful supply from domestic 
sources.



Sec. 436.104  Energy conservation measures and standards.

    (a) Each agency shall consider for inclusion in its plan the 
measures identified in appendix C of this subpart.
    (b) The following questions should be considered in the evaluation 
of each measure:
    (1) Does this measure provide an incentive or disincentive?
    (2) What is the estimate of savings by fuel type?
    (3) What are the direct and indirect impacts of this measure?
    (4) Is this measure to be mandatory throughout the agency?
    (5) If not mandatory, under what circumstances will it be 
implemented, and who will be responsible for determining specific 
applicability?
    (6) Who will be the direct participants in the implementation of 
this measure?
    (7) What incentives (if any) are to be provided for the 
participants?
    (8) When will this measure be implemented?
    (9) Will this measure be implemented in a single step or will it be 
phased in? If it will be phased in, over what period of time?
    (10) Will performance of the measure be evaluated and reported?
    (11) By what criterion will performance be determined?
    (12) Who will prepare performance reports?
    (13) What is the reporting chain?
    (14) What is the reporting period?
    (c) Each agency will take all necessary steps to implement the 
energy conservation standards for general operations listed in appendix 
A (reserved).



Sec. 436.105  Emergency conservation plan.

    (a) Each agency shall establish an emergency conservation plan, a 
summary of which shall be included in the general operations plan, for 
assuaging the impact of a sudden disruption in the supply of oil-based 
fuels, natural gas or electricity. Priorities for temporarily reducing 
missions, production, services, and other programmatic or

[[Page 513]]

functional activities shall be developed in accordance with paragraph 
(b) of this section. Planning for emergencies is to address both 
buildings and general operations. Provisions shall be made for testing 
emergency actions to ascertain that they are effective.
    (b) Federal agencies shall prepare emergency conservation plans for 
10 percent, fifteen percent, and 20 percent reduction compared to the 
previous fiscal year in gasoline, other oil-based fuels, natural gas, or 
electricity for periods of up to 12 months. In developing these plans, 
agencies shall consider the potential for emergency reductions in energy 
use in buildings and facilities which the agency owns, leases, or has 
under contract and by employees through increased use of car and van 
pooling, preferential parking for multipassenger vehicles, and greater 
use of mass transit. Agencies may formulate whatever additional 
scenarios they consider necessary to plan for various energy 
emergencies.
    (c) In general, Federal agencies' priorities shall go to those 
activities which directly support the agencies' primary missions. 
Secondary mission activities which must be curtailed or deferred will be 
reported to DOE as mission impacts. The description of mission impacts 
shall include estimates of the associated resources and time required to 
mitigate the effects of the reduction in energy. Other factors or 
assumptions to be used in energy conservation emergency planning are as 
follows:
    (1) Agencies will be given 15-30 days notice to implement any given 
plan.
    (2) Substitution of fuels in plentiful supply for fuels in short 
supply is authorized, if the substitution can be completed within a 3-
month period and the cost is within the approval authority of the 
executive branch.
    (3) All costs and increases in manpower or other resources 
associated with activities or projects to assuage mission impacts will 
be clearly defined in respective agency plans. One-time costs will be 
identified separately.
    (4) Confronting the emergency situation will be considered a 
priority effort and all projects and increases in operating budgets 
within the approval authority of the executive branch will be 
expeditiously considered and approved if justified.
    (d) Summary plans for agency-wide emergency conservation management 
shall be provided to DOE pursuant to Sec. 436.102(b)(2)(vi). Such 
summaries shall include:
    (1) Agency-wide impacts of energy reductions as determined in 
accordance with paragraph (b) of this section.
    (2) Actions to be taken agency-wide to alleviate the energy 
shortfalls as they occur.
    (3) An assessment of agency services or production that may need to 
be curtailed or limited after corrective actions have been taken.
    (4) A summation of control and feedback mechanisms for managing an 
energy emergency situation.



Sec. 436.106  Reporting requirements.

    (a) By July 1 of each year each Federal agency shall submit an 
``Annual Report on Energy Management'' based on fiscal year data to the 
Secretary of DOE. The general operations portion of this report will 
encompass all agency energy use not reported in the buildings portion 
and shall include:
    (1) A summary evaluation of progress toward the achievement of 
energy consumption, energy efficiency, and fuel switching goals 
established by the agency in its plans;
    (2) Energy consumption reported by functional categories. Reports 
must include General Transportation and one or more of the following 
functional categories: industrial or production, services, operational 
training and readiness, and other. Agencies may report in subcategories 
of their own choosing. The following information is to be reported for 
the usage of each fuel type in physical units for each selected 
functional category:
    (i) Total energy consumption goal;
    (ii) Total energy consumed;
    (iii) Total energy use avoidance;
    (iv) Variance between actual consumption and consumption goal;
    (v) Cost saved;
    (vi) Status of planned investments, and if different from the 
investment program upon which existing goals are based, the expected 
impact on meeting goals; and

[[Page 514]]

    (vii) Summary of any other benefits realized.
    (3) The energy efficiencies as calculated in accordance with 
appendix B of this subpart, or by an equivalent method, for the 
appropriate functional categories identified in paragraph (a)(2) of this 
section. The following information is to be reported for the energy 
efficiency for each fuel type by functional category:
    (i) Energy efficiency goal;
    (ii) Efficiency for the reporting period;
    (iii) Summary of any other benefits realized.
    (4) A summary of fuel switching progress including:
    (i) Description and cost of investments in fuel switching;
    (ii) Avoidance in use of oil-based fuels and natural gas;
    (iii) Increased use of solar, wood, gasohol and other renewable 
energy sources;
    (iv) Increased use of coal and coal derivatives, and
    (v) Use of all other alternative fuels.
    (b) Each agency's annual report shall be developed in accordance 
with a format to be provided by DOE and will include agency revisions to 
10-year plans.
    (c) Agencies whose annual total energy consumption exceeds one 
hundred billion Btu's, shall, in addition to the annual report required 
under paragraph (a) of this section, submit quarterly reports of the 
energy usage information specified in paragraph (a)(2) of this section.
    (d) Agencies who consume energy in operations in foreign countries 
will include data on foreign operations if foreign consumption is 
greater than 10% of that consumed by the agency in the United States, 
its territories and possessions. If an agency's estimated foreign 
consumption is less than 10% of its total domestic energy use, reporting 
of foreign consumption is optional. Reports should be annotated if 
foreign consumption is not included.

[45 FR 44561, July 1, 1980, as amended at 51 FR 4586, Feb. 6, 1986]



Sec. 436.107  Review of plan.

    (a) Each plan or revision of a plan shall be submitted to DOE and 
DOE will evaluate the sufficiency of the plan in accordance with the 
requirements of this subpart. Written notification of the adequacy of 
the plan including a critique, will be made by DOE and sent to the 
agency submitting the plan or revision within 60 days of submission. 
Agencies shall be afforded an opportunity to modify and return the plan 
within an appropriate period of time for review by DOE.
    (b) A general operations plan under the guidelines will be evaluated 
with respect to:
    (1) Adequacy of information or plan content required to be included 
by Sec. 436.102;
    (2) Adequacy of goal setting methodology or baseline justification 
as stated in Sec. 436.103;
    (3) Adequacy of a well-justified investment program which considers 
all measures included in appendix C of this subpart; and
    (4) Other factors as appropriate.
    (c) After reviewing agency plans or revisions of plans, the Under 
Secretary of DOE, may submit to the ``656'' Committee for its 
recommendation, major problem areas or common deficiencies.
    (d) Status of the plan review, the Under Secretary's decisions, and 
``656'' Committee recommendations, will be published as appropriate in 
the DOE annual report to the President, titled ``Energy Management in 
the Federal Government.''



Sec. 436.108  Waivers.

    (a) Any Federal agency may submit a written request to the Under 
Secretary for a waiver from the procedures and requirements of this 
subpart. The request for a waiver must identify the specific 
requirements and procedures of this subpart from which a waiver is 
sought and provide a detailed explanation, including appropriate 
information or documentation, as to why a waiver should be granted.
    (b) A request for a waiver under this section must be submitted at 
least 60 days prior to the due date for the required submission.
    (c) A written response to a request for a waiver will be issued by 
the Under Secretary no later than 30 days from receipt of the request. 
Such a response will either (1) grant the request with

[[Page 515]]

any conditions determined to be necessary to further the purposes of 
this subpart, (2) deny the request based on a determination that the 
reasons given in the request for a waiver do not establish a need that 
takes precedence over the futherance of the purposes of this subpart, or 
(3) deny the request based on the failure to submit adequate information 
upon which to grant a waiver.
    (d) A requested waiver may be submitted by the Under Secretary to 
the ``656'' Committee for its review and recommendation. The agency 
official that submitted the request may attend any scheduled meeting of 
the ``656'' Committee at which the request is planned to be discussed. 
The determination to approve or disapprove a request for a waiver shall 
be made by the Under Secretary.
    (e) Status of the requests for a waiver, the Under Secretary's 
decisions, and ``656'' Committee recommendations, will be published, as 
appropriate, in the DOE annual report to the President, entitled 
``Energy Management in the Federal Government.''

   Appendix A to Part 436--Energy Conservation Standards for General 
                          Operations [Reserved]

            Appendix B to Part 436--Goal Setting Methodology

    In establishing and updating agency goals for energy conservation, 
the following methodology or an equivalent method should be utilized:
    (a) For overall energy consumption--
    (1) An analysis shall be made to determine what factors have the 
most significant impact upon the amount of each fuel type used by the 
agency in performing functions in support of its overall mission. 
Consideration is to be given, but not limited to, the following factors: 
Number of people using energy; number of vehicles using gasoline; 
amounts of other equipment using energy; tempo of operations (one, two, 
or three shifts); the type of operations (degree of equipment or labor 
intensity); equipment fuel limitations; environmental conditions 
(tropical versus arctic, etc.); budget levels for fuel, operations, 
maintenance, and equipment acquisition; and phase-out schedule (of older 
equipment or plants which may be inefficient). After identifying these 
factors, a further analysis shall be made to identify any projected 
workload changes in the quality or quantity of these factors on a yearly 
basis up to 1990.
    (2) Based upon the analysis in (a)(1) and an evaluation of available 
information on past energy usage, a baseline of energy use by fuel type 
by functional category shall be established beginning with FY 1975. In 
addition to ``General Transportation,'' other functional categories 
should be selected to enhance energy management. Total fuel use for a 
particular activity may be allocated to the functional category for 
which the preponderance of fuel is used. Figure B-1 is an example of one 
such baseline.
[GRAPHIC] [TIFF OMITTED] TC04OC91.241


[[Page 516]]


    This example shows an increase in energy use, for a specific fuel 
type, during the period 1975-1981, with a further increase from 1981 to 
1984 and a leveling off and no growth from 1984-1990. A justification, 
based on factors as discussed above, shall accompany each baseline.
    (3) Thereafter, analyses should be made of the measures available 
for reducing the energy consumption profiles without adverse impact on 
mission accomplishment. Finding viable opportunities for reducing energy 
use, increasing energy efficiency and switching energy sources, will 
require consultation with specialists in the fields of operations, 
maintenance, engineering, design, and economics, and consideration of 
the measures identified in Appendix C. The DOE Federal Energy Management 
Programs Office can, upon request, provide information on where such 
resources can be located. Once these measures are identified, they are 
to be incorporated into a time-phased investment program, (using where 
appropriate, the life cycle costing factors and methodology in subpart A 
of this part). If investment and other costs for implementing a measure 
are insignificant, a Federal agency may presume that a measure is cost-
effective without further analysis. An estimate must then be made as to 
the lead time required to implement the program and realize energy 
reductions.
    Figure B-2 shows a summarized investment program, which should be 
accompanied by a detailed description of the measures, projects, and 
programs making up the total planned investments for each year. This 
summary need not be by function or fuel type.
[GRAPHIC] [TIFF OMITTED] TC04OC91.242

    These analyses should enable the agency to project an energy 
consumption goal, with the assumption that funds for executing the 
planned projects will be approved. Figure B-3 shows a new energy use 
profile, with planned initiatives and related investments taken into 
consideration, and the resulting goal entitled ``Energy Use With A 
Plan'' superimposed on Figure B-1. Included are the anticipated effects 
on consumption cause by improvements in energy efficiency and fuel 
switching.

[[Page 517]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.243


    A comparison of these projections will show the energy use avoidance 
resulting from the investment program as depicted in Figure B-2. Using 
the prices of fuel contained in Appendix C to Subpart A, the dollars 
saved can be projected against the dollars invested. Life cycle costing 
methodology pursuant to subpart A, will be used to determine priorities 
for submitting individual initiatives into the appropriate budget year.
    (b) For energy efficiencies--Energy efficiency baselines and goals 
for each fuel type shall be calculated using the same consumption 
factors and similar methodology to that outlined in paragraph (a). 
Energy consumption by fuel type shall be linked to mission through the 
functional categories listed in Sec. 436.106(a)(2). This will identify a 
rate which will indicate energy efficiency trends. This linkage may be 
accomplished through the following algorithm:
    Step 1: Determine functional categories from section 436.106(a)(2) 
which best describe the Agency overall mission.
    Step 2: Determine types of fuels used to support the functions 
selected in Step 1.
    Step 3: Determine quantities of fuel consumed or planned for 
consumption over a specific period of time.
    Step 4: Determine quantity of output of function for same period of 
time used in Step 3. Quantify output in a standard measure which best 
describes functional category.
    Step 5: Determine the energy efficiency ratio by dividing quantity 
from Step 4 by quantity from Step 3.
    This ratio of fuel consumed to a unit measure of output will be used 
to develop a projection of a baseline and goals through 1990, and used 
in reporting variance. Examples of ratios that should be considered are:

     Production or industrial process type operations

Ton of product

Cu. ft. of natural gas

     Services, such as postal delivery

Customers served or
pounds delivered

Gallons of automotive
gasoline

     General transportation

Passenger miles

Gallons of automotive gasoline

     Training

Persons trained
or in training

Gallons of navy special

    Agencies shall select one or more of these ratios, which shall be 
used throughout the planning period, or use more appropriate energy 
efficiency ratios, to describe their overall functions. Figure B-4 
illustrates the planning baseline and goal resulting from this type of 
analysis.

[[Page 518]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.244



[[Page 519]]

    (c) For fuel switching--Fuel switching goals for gasoline other oil-
based fuel and natural gas may be calculated as follows:
    Step 1: For each fiscal year, identify investments, where 
appropriate, in fuel switching from gasoline, other oil-based fuel and 
natural gas to alternate renewable or nonrenewable fuel sources.
    Step 2: Project for each fiscal year, the avoidance in the use of 
gasoline, other oil-based fuel and natural gas resulting from previous 
fuel switching investments.
    Completion of these steps will permit the formulation of charts such 
as that shown in Figure B-5.
[GRAPHIC] [TIFF OMITTED] TC04OC91.245

 Appendix C to Part 436--General Operations Energy Conservation Measures

    (a) The following individual measures or set of measures must be 
considered for inclusion in each agency 10-year energy management plan:
    (1) Federal Employee Ridesharing Programs--Includes the use of 
vanpooling and carpooling and complies with existing orders and 
regulations governing parking for vanpools and carpools.
    (2) Fleet Profile Change--Includes energy considerations in 
equipment selection and assignment.
    (3) Fleet Mileage Efficiency--Includes agency plans to implement 
existing orders, goals, and laws related to vehicle fuel economy.
    (4) Driver Training--Includes development of appropriate programs 
for training operators of U.S. Government vehicles in energy 
conservation.
    (5) Maintenance Procedures Improvement--Includes activities to 
insure proper vehicle maintenance to optimize energy conservation.
    (6) Operating Procedures Improvement--Includes use of cooperative 
passenger shuttle and courier services on an interagency or other basis 
within each metropolitan area.
    (7) Mass Transit--Includes employee use of existing services for 
business-related activities and commuting.
    (8) Public Education to Promote Vanpooling and Carpooling--Includes 
activities to support the EPCA requirement to establish ``responsible 
public education programs to promote vanpooling and carpooling 
arrangements'' through their employee awareness programs.
    (9) Elimination of Free or Subsidized Employee Parking--Includes 
elimination of free or subsidized employee parking on Federal 
installations in accordance with OMB Cir. A-118, August 13, 1979.
    (10) Two-Wheeled Vehicle Programs--Includes activities to encourage 
the substitution of bicycles, mopeds, etc. for automobiles for commuting 
and operational purposes. These may include the establishment

[[Page 520]]

of weather-protected secure storage facilities, shower and locker 
facilities, and restricted routes for these vehicles on Federal 
property. Cooperative programs with local civil authorities may also be 
included.
    (11) Consolidation of Facilities and Process Activities--Includes 
such measures as physical consolidation of operations to minimize intra-
operational travel and may include facility closure or conversion. 
Alternative work patterns, availability of transportation, energy source 
availability, and technical and financial feasibility are among the 
considerations that should be evaluated.
    (12) Agency Procurement Programs--Includes activities to ensure that 
energy conservation opportunities are fully exploited with respect to 
the agency's procurement programs including procurements relating to 
operations and maintenance activities; e.g., (a) giving preference to 
fuel-efficient products whenever practicable, and (b) ensuring that 
agency's contractors having a preponderance of cost-type contracts 
pursue a comprehensive energy conservation program.
    (13) Energy Conservation Awareness Programs--Includes programs aimed 
toward gaining and perpetuating employee awareness and participation in 
energy conservation measures on the job and in their personal 
activities.
    (14) Communication--Includes substitution of communications for 
physical travel.
    (15) Dress Code--Includes measures to allow employees greater 
freedom in their choice of wearing apparel to promote greater 
participation in conservation.
    (16) Land Use--Includes energy considerations to be employed in new 
site selection, such as colocation.
    (17) Automatic Data Processing (ADP)--Includes all energy aspects of 
ADP operation and equipment selection.
    (18) Aircraft Operations--Includes energy-conserving measures 
developed for both military and Federal administrative and research and 
development aircraft operations.
    (19) GOCO Facilities and Industrial Plants Operated by Federal 
Employees--Includes development of energy conservation plans at these 
facilities and plants which contain measures such as energy efficient 
periodic maintenance.
    (20) Energy Conserving Capital Plant and Equipment Modification--
Includes development of energy conservation and life cycle cost 
parameter measures for replacement of capital plant and equipment.
    (21) Process Improvements--Includes measures to improve energy 
conservation in industrial process operations. These may include 
consideration of equipment replacement or modification, as well as 
scheduling and other operational changes.
    (22) Improved Steam Maintenance and Management--Includes measures to 
improve energy efficiency of steam systems. These may include improved 
maintenance, installation of energy-conserving devices, and the 
operational use of substitutes for live steam where feasible.
    (23) Improvements in Waste Heat Recovery--Includes measures 
utilizing waste heat for other purposes.
    (24) Improvement in Boiler Operations--Includes energy-conserving 
retrofit measures for boiler operations.
    (25) Improved Insulation--Includes measures addressing the addition 
or replacement of insulation on pipes, storage tanks, and in other 
appropriate areas.
    (26) Scheduling by Major Electric Power Users--Includes measures to 
shift major electrical power demands to non-peak hours, to the maximum 
extent possible.
    (27) Alternative Fuels--Includes measures to alter equipment such as 
generators to use lower quality fuels and to fill new requirements with 
those that use alternative fuels. The use of gasohol in stationary 
gasoline-powered equipment should be considered, in particular.
    (28) Cogeneration--Includes measures to make full use of 
cogeneration in preference to single-power generation.
    (29) Mobility Training and Operational Readiness--Includes measures 
which can reduce energy demands through the use of simulators, 
communications, computers for planning, etc.
    (30) Energy Conservation Inspection or Instruction Teams--Includes 
measures which formulate and perpetuate the review of energy 
conservation through inspections to determine where specific 
improvements can be made and then followed by an instruction and 
training program.
    (31) Intra-agency and Interagency Information Exchange Program--
Includes measures providing a free exchange of energy conservation ideas 
and experiences between elements of an agency and between other agencies 
in the same geographic area.
    (32) Recycled Waste--Includes measures to recycle waste materials 
such as paper products, glass, aluminum, concrete and brick, garbage, 
asphalt road materials or any material which requires a petroleum base.
    (33) Fuel Conversion--Includes measures to accomplish conversion 
from petroleum based fuels and natural gas to coal and other alternative 
fuels for appropriate equipment.
    (34) Operational Lighting--Includes measures to reduce energy 
consumption for lighting in operational areas and GOCO plants by: 
switching off by means of automatic controls; maximizing the use of 
daylight by floor planning; keeping window and light fixtures clean and 
replacing fixtures when they begin to deteriorate, rather than when they 
fail altogether; providing automatic dimmer controls to reduce lighting 
when daylight increases; and cleaning the work area during daylight, if 
possible, rather than at night.

[[Page 521]]

    (35) Lighting Fixtures--Includes measures to increase energy 
efficiency of lighting. The following reveals the relative efficiencies 
of common lamp types.

------------------------------------------------------------------------
                                                             Improvement
                   Lamp type                       Lumens        over   
                                                    watt       tungsten 
------------------------------------------------------------------------
Tungsten lamp..................................          12           X1
Modern fluorescent lamp........................          85           X7
Mercury halide lamp............................         100           X8
High pressure sodium lamp......................         110           X9
Low pressure sodium lamp.......................         180          X15
------------------------------------------------------------------------

    (36) Industrial Buildings Heating--Includes measures to improve the 
energy conservation of industrial buildings such as: fixing holes in 
roofs, walls and windows; fitting flexible doors, fitting controls to 
heating systems; use of ``economizer units'' which circulate hot air 
back down from roof level to ground level; use of controlled 
ventilation; insulation of walls and roof; use of ``optimisers'' or 
optimum start controls in heating systems, so that the heating switch-on 
is dictated by actual temperature conditions rather than simply by time.
    (37) Hull Cleaning and Antifouling Coating--Includes measures to 
reduce energy consumption through periodic cleaning of hulls and 
propellers or through the use of antifouling coatings.
    (38) [Reserved]
    (39) Building Temperature Restrictions on Thermostat Setting for 
Heating, Cooling and Hot Water--Includes enforcement of suggested 
restriction levels: 65 degrees for heating, 78 degrees for cooling, and 
105 degrees or ban for hot water.
    (40) Such other measures as DOE may from time-to-time add to this 
appendix, or as the Federal agency concerned may find to be energy-
saving or efficient.

      Appendix D to Part 436--Energy Program Conservation Elements

    (a) In all successful energy conservation programs, certain key 
elements need to be present. The elements listed below must be 
incorporated into each agency conservation program and must be reflected 
in the 10-year plan prescribed in Sec. 436.102. Those organizations that 
have already developed programs should review them to determine whether 
the present management systems incorporate these elements.
    (1) Top Management Control. Top management must have a personal and 
sustained commitment to the program, provide active direction and 
motivation, and require regular review of overall energy usage at senior 
staff meetings.
    (2) Line Management Accountability. Line managers must be 
accountable for the energy conservation performance of their 
organizations and should participate in establishing realistic goals and 
developing strategies and budgets to meet these goals.
    (3) Formal Planning. An overall 10-year plan for the period 1980-
1990 must be developed and formalized which sets forth performance-
oriented conservation goals, including the categorized reduction in 
rates of energy consumption that the program is expected to realize. The 
plan will be supplemented by guidelines enumerating specific 
conservation procedures that will be followed. These procedures and 
initiatives must be life cycle cost-effective as well as energy 
efficient.
    (4) Goals. Goals must be established in a measurable manner to 
answer questions of ``Where are we?'' ``Where do we want to go?'' ``Are 
we getting there?'' and ``Are our initiatives for getting there life 
cycle cost-effective?''
    (5) Monitoring. Progress must be reviewed periodically both at the 
agency headquarters and at local facility levels to identify program 
weakness or additional areas for conservation actions. Progress toward 
achievement of goals should be assessed, and explanations should be 
required for non-achievement or unusual variations in energy use. 
Monitoring should include personal inspections and staff visits, 
management information reporting and audits.
    (6) Using Technical Expertise. Personnel with adequate technical 
background and knowledge of programmatic objectives should be used to 
help management set technical goals and parameters for efficient 
planning and implementation of energy conservation programs. These 
technicians should work in conjunction with the line managers who are 
accountable for both mission accomplishment and energy conservation.
    (7) Employee Awareness. Employees must gain an awareness of energy 
conservation through formal training and employee information programs. 
They should be invited to participate in the process of developing an 
energy conservation program, and to submit definitive suggestions for 
conservation of energy.
    (8) Energy Emergency Planning. Every energy management plan must 
provide for programs to respond to contingencies that may occur at the 
local, state or National level. Programs must be developed for potential 
energy emergency situations calling for reductions of 10 percent, 15 
percent and 20 percent for up to 12 months. Emergency plans must be 
tested to ascertain their effectiveness.
    (9) Budgetary and Fiscal Support. Resources necessary for the energy 
conservation program must be planned and provided for, and the fiscal 
systems adjusted to support energy management investments and 
information reporting.
    (10) Environmental Considerations. Each agency shall fulfill its 
obligations under the

[[Page 522]]

National Environmental Policy Act in developing its plan.



PART 440--WEATHERIZATION ASSISTANCE FOR LOW-INCOME PERSONS--Table of Contents




Sec.
440.1  Purpose and scope.
440.2  Administration of grants.
440.3  Definitions.
440.10  Allocation of funds.
440.11  Native Americans.
440.12  State application.
440.13  Local application.
440.14  State plans.
440.15  Subgrantees.
440.16  Minimum program requirements.
440.17  Policy Advisory Council.
440.18  Allowable expenditures.
440.19  Labor.
440.20  Low-cost/no-cost weatherization activities.
440.21  Standards and techniques for weatherization.
440.22  Eligible dwelling units.
440.23  Oversight, training, and technical assistance.
440.24  Recordkeeping.
440.25  Reports.
440.26-440.29 [Reserved]
440.30  Administrative review.

Appendix A to Part 440--Standards for Weatherization Materials

    Authority: 42 U.S.C. 6861-6871; 42 U.S.C. 7191.

    Source: 49 FR 3629, Jan. 27, 1984, unless otherwise noted.



Sec. 440.1  Purpose and scope.

    This part contains the regulations adopted by the Department of 
Energy to carry out a program of weatherization assistance for low-
income persons established by the Energy Conservation in Existing 
Buildings Act of 1976, 42 U.S.C. 6861 et seq., enacted as Title IV, Part 
A, of the Energy Conservation and Production Act, Pub.L. 94-385, 90 
Stat. 1150 et seq., and amended by Title II, Part 2, of the National 
Energy Conservation Policy Act, Pub.L. 95-619, 92 Stat. 3206 et seq., by 
the Energy Security Act, Pub. L. 96-294, 94 Stat. 611 et seq., and the 
State Energy Efficiency Programs Improvement Act, Pub. L. 101-440, 104 
Stat. 1006 et seq. It is the purpose of this part to implement a 
weatherization assistance program to increase the energy efficiency of 
dwellings owned or occupied by low-income persons, reduce their total 
residential energy expenditures, and improve their health and safety, 
especially low-income persons who are particularly vulnerable such as 
the elderly, the handicapped, and children.

[58 FR 12525, Mar. 4, 1993]



Sec. 440.2  Administration of grants.

    Grant awards under this part shall comply with applicable law 
including, without limitation, the requirements of:
    (a) Executive Order 12372 entitled ``Intergovernmental Review of 
Federal Programs'', 48 FR 3130, and the DOE Regulation implementing this 
Executive Order entitled ``Intergovernmental Review of Department of 
Energy Programs and Activities'' (10 CFR part 1005);
    (b) Office of Management and Budget Circular A-97, entitled ``Rules 
and Regulations Permitting Federal Agencies to Provide Specialized or 
Technical Services to State and Local Units of Government under Title 
III of the Inter-Governmental Coordination Act of 1968;''
    (c) Unless in conflict with provisions of this part, the DOE 
Financial Assistance Rule (10 CFR part 600); and
    (d) Such other procedures applicable to this part as DOE may from 
time to time prescribe for the administration of financial assistance.



Sec. 440.3  Definitions.

    As used in this part:
    Act means the Energy Conservation in Existing Buildings Act of 1976, 
as amended, 42 U.S.C. 6851 et seq.
    Assistant Secretary means the Assistant Secretary for Conservation 
and Renewable Energy or official to whom the Assistant Secretary's 
functions may be redelegated by the Secretary.
    Base Allocation means the fixed amount of funds for each State as 
set forth in Sec. 440.10(b)(1).
    CAA means a Community Action Agency.
    Capital-Intensive furnace or cooling efficiency modifications means 
those major heating and cooling modifications which require a 
substantial amount of funds, including replacement and major repairs, 
but excluding

[[Page 523]]

such items as tune-ups, minor repairs, and filters.
    Children means dependents not exceeding 19 years or a lesser age set 
forth in the State plan.
    Community Action Agency means a private corporation or public agency 
established pursuant to the Economic Opportunity Act of 1964, Pub. L. 
88-452, which is authorized to administer funds received from Federal, 
State, local, or private funding entities to assess, design, operate, 
finance, and oversee antipoverty programs.
    Cooling Degree Days means a population-weighted annual average of 
the climatological cooling degree days for each weather station within a 
State, as determined by DOE.
    Deputy Assistant Secretary means the Deputy Assistant Secretary for 
Technical and Financial Assistance or any official to whom the Deputy 
Assistant Secretary's functions may be redelegated by the Assistant 
Secretary.
    DOE means the Department of Energy.
    Dwelling Unit means a house, including a stationary mobile home, an 
apartment, a group of rooms, or a single room occupied as separate 
living quarters.
    Elderly Person means a person who is 60 years of age or older.
    Family Unit means all persons living together in a dwelling unit.
    Formula Allocation means the amount of funds for each State as 
calculated based on the formula in Sec. 440.10(b)(3).
    Formula Share means the percentage of the total formula allocation 
provided to each State as calculated in Sec. 440.10 (b)(3).
    Governor means the chief executive officer of a State, including the 
Mayor of the District of Columbia.
    Grantee means the State or other entity named in the Notification of 
Grant Award as the recipient.
    Handicapped Person means any individual (1) who is a handicapped 
individual as defined in section 7(6) of the Rehabilitation Act of 1973, 
(2) who is under a disability as defined in section 1614(a)(3)(A) or 
223(d)(1) of the Social Security Act or in section 102(7) of the 
Developmental Disabilities Services and Facilities Construction Act, or 
(3) who is receiving benefits under chapter 11 or 15 of title 38, U.S.C.
    Heating Degree Days means a population-weighted seasonal average of 
the climatological heating degree days for each weather station within a 
State, as determined by DOE.
    Incidental Repairs means those repairs necessary for the effective 
performance or preservation of weatherization materials. Such repairs 
include, but are not limited to, framing or repairing windows and doors 
which could not otherwise be caulked or weather-stripped and providing 
protective materials, such as paint, used to seal materials installed 
under this program.
    Indian Tribe means any tribe, band, nation, or other organized group 
or community of Native Americans, including any Alaskan native village, 
or regional or village corporation as defined in or established pursuant 
to the Alaska Native Claims Settlement Act, Pub. L. 92-203, 85 Stat. 
688, which (1) is recognized as eligible for the special programs and 
services provided by the United States to Native Americans because of 
their status as Native Americans, or (2) is located on, or in proximity 
to, a Federal or State reservation or rancheria.
    JTPA means the Job Training Partnership Act, 29 U.S.C. 1501 et seq.
    Local Applicant means a CAA or other public or non profit entity 
unit of general purpose local government.
    Low Income means that income in relation to family size which:
    (1) Is at or below 125 percent of the poverty level determined in 
accordance with criteria established by the Director of the Office of 
Management and Budget, except that the Secretary may establish a higher 
level if the Secretary, after consulting with the Secretary of 
Agriculture and the Secretary of Health and Human Services, determines 
that such a higher level is necessary to carry out the purposes of this 
part and is consistent with the eligibility criteria established for the 
weatherization program under section 222(a)(12) of the Economic 
Opportunity Act of 1964;
    (2) Is the basis on which cash assistance payments have been paid 
during the preceding twelve month-period under titles IV and XVI of the 
Social

[[Page 524]]

Security Act or applicable State or local law; or
    (3) If a State elects, is the basis for eligibility for assistance 
under the Low Income Home Energy Assistance Act of 1981, provided that 
such basis is at least 125 percent of the poverty level determined in 
accordance with criteria established by the Director of the Office of 
Management and Budget.
    Native American means a person who is a member of an Indian tribe.
    Program Allocation means the base allocation plus formula allocation 
for each State.
    Relevant Reporting Period means the Federal fiscal year beginning on 
October 1 and running through September 30 of the following calendar 
year.
    Rental Dwelling Unit means a dwelling unit occupied by a person who 
pays rent for the use of the dwelling unit.
    Residential Energy Expenditures means the average annual cost of 
purchased residential energy, including the cost of renewable energy 
resources.
    Secretary means the Secretary of the Department of Energy.
    Separate Living Quarters means living quarters in which the 
occupants do not live and eat with any other persons in the structure 
and which have either direct access from the outside of the building or 
through a common hall or complete kitchen facilities for the exclusive 
use of the occupants. The occupants may be a single family, one person 
living alone, two or more families living together, or any other group 
of related or unrelated persons who share living arrangements, and 
includes shelters for homeless persons.
    Shelter means a dwelling unit or units whose principal purpose is to 
house on a temporary basis individuals who may or may not be related to 
one another and who are not living in nursing homes, prisons, or similar 
institutional care facilities.
    Single-Family Dwelling Unit means a structure containing no more 
than one dwelling unit.
    Skirting means material used to border the bottom of a dwelling unit 
to prevent infiltration.
    State means each of the States and the District of Columbia.
    Subgrantee means an entity managing a weatherization project which 
receives a grant of funds awarded under this part from a grantee.
    Support Office Director means the Director of the DOE Field Support 
Office with the responsibility for grant administration or any official 
to whom that function may be redelegated by the Assistant Secretary.
    Total Program Allocations means the annual appropriation less funds 
reserved for training and technical assistance.
    Tribal Organization means the recognized governing body of any 
Indian tribe or any legally established organization of Native Americans 
which is controlled, sanctioned, or chartered by such governing body.
    Unit of General Purpose Local Government means any city, county, 
town, parish, village, or other general purpose political subdivision of 
a State.
    Vestibule means an enclosure built around a primary entry to a 
dwelling unit.
    Weatherization Materials mean:
    (1) Caulking and weatherstripping of doors and windows;
    (2) Furnace efficiency modifications including, but not limited to--
    (i) Replacement burners, furnaces, or boilers or any combination 
thereof;
    (ii) Devices for minimizing energy loss through heating system, 
chimney, or venting devices; and
    (iii) Electrical or mechanical furnace ignition systems which 
replace standing gas pilot lights;
    (3) Cooling efficiency modifications including, but not limited to--
    (i) Replacement air conditioners;
    (ii) Ventilation equipment;
    (iii) Screening and window films; and
    (iv) Shading devices.
    Weatherization Project means a project conducted in a single 
geographical area which undertakes to weatherize dwelling units that are 
energy inefficient.

[49 FR 3629, Jan. 27, 1984, as amended at 50 FR 712, Jan. 4, 1985; 50 FR 
49917, Dec. 5, 1985; 55 FR 41325, Oct. 10, 1990; 58 FR 12525, Mar. 4, 
1993; 60 FR 29480, June 5, 1995]



Sec. 440.10  Allocation of funds.

    (a) DOE shall allocate financial assistance for each State from sums 
appropriated for any fiscal year, upon annual application.

[[Page 525]]

    (b) Based on total program allocations at or above the amount of 
total program allocations under Pub. L. 103-332, DOE shall determine the 
program allocation for each State from available funds as follows:
    (1) Allocate to each State a ``Base Allocation'' as listed in Table 
1.

                                 Table 1                                
                                                                        
                                                                        
Alabama.................................................       1,636,000
Alaska..................................................       1,425,000
Arkansas................................................       1,417,000
Arizona.................................................         760,000
California..............................................       4,404,000
Colorado................................................       4,574,000
Connecticut.............................................       1,887,000
Delaware................................................         409,000
District of Columbia....................................         487,000
Florida.................................................         761,000
Georgia.................................................       1,844,000
Hawaii..................................................         120,000
Idaho...................................................       1,618,000
Illinois................................................      10,717,000
Indiana.................................................       5,156,000
Iowa....................................................       4,032,000
Kansas..................................................       1,925,000
Kentucky................................................       3,615,000
Louisiana...............................................         912,000
Maine...................................................       2,493,000
Maryland................................................       1,963,000
Massachusetts...........................................       5,111,000
Michigan................................................      12,346,000
Minnesota...............................................       8,342,000
Mississippi.............................................       1,094,000
Missouri................................................       4,615,000
Montana.................................................       2,123,000
Nebraska................................................       2,013,000
Nevada..................................................         586,000
New Hampshire...........................................       1,193,000
New Jersey..............................................       3,775,000
New Mexico..............................................       1,519,000
New York................................................      15,302,000
North Carolina..........................................       2,853,000
North Dakota............................................       2,105,000
Ohio....................................................      10,665,000
Oklahoma................................................       1,846,000
Oregon..................................................       2,320,000
Pennsylvania............................................      11,457,000
Rhode Island............................................         878,000
South Carolina..........................................       1,130,000
South Dakota............................................       1,561,000
Tennessee...............................................       3,218,000
Texas...................................................       2,999,000
Utah....................................................       1,692,000
Vermont.................................................       1,014,000
Virginia................................................       2,970,000
Washington..............................................       3,775,000
West Virginia...........................................       2,573,000
Wisconsin...............................................       7,061,000
Wyoming.................................................         967,000
                                                                        
                                                         ---------------
    Total...............................................     171,258,000
------------------------------------------------------------------------

    (2) Subtract 171,258,000 from total program allocations.
    (3) Calculate each State's formula share as follows:
    (i) Divide the number of ``Low Income'' households in each State by 
the number of ``Low Income'' households in the United States and 
multiply by 100.
    (ii) Divide the number of ``Heating Degree Days'' for each State by 
the median ``Heating Degree Days'' for all States.
    (iii) Divide the number of ``Cooling Degree Days'' for each State by 
the median ``Cooling Degree Days'' for all States, then multiply by 0.1.
    (iv) Calculate the sum of the two numbers from paragraph (b)(3)(ii) 
and (iii) of this section.
    (v) Divide the residential energy expenditures for each State by the 
number of households in the State.
    (vi) Divide the sum of the residential energy expenditures for the 
States in each Census division by the sum of the households for the 
States in that division.
    (vii) Divide the quotient from paragraph (b)(3)(v) of this section 
by the quotient from paragraph (b)(3)(vi) of this section.
    (viii) Multiply the quotient from paragraph (b)(3)(vii) of this 
section for each State by the residential energy expenditures per low-
income household for its respective Census division.
    (ix) Divide the product from paragraph (b)(3)(viii) of this section 
for each State by the median of the products of all States.
    (x) Multiply the results for paragraph (b)(3)(i), (iv) and (ix) of 
this section for each State.
    (xi) Divide the product in paragraph (b)(3)(x) of this section for 
each State by the sum of the products in paragraph (b)(3)(x) of this 
section for all States.
    (4) Calculate each State's program allocation as follows:
    (i) Multiply the remaining funds calculated in paragraph (b)(2) of 
this section by the formula share calculated in paragraph (b)(3)(xi) of 
this section,
    (ii) Add the base allocation from paragraph (b)(1) of this section 
to the product of paragraph (b)(4)(i) of this section.

[[Page 526]]

    (c) Should total program allocations for any fiscal year fall below 
the total program allocations under Pub. L. 103- 332, then each State's 
program allocation shall be reduced from its allocated amount under Pub. 
L. 103-332 by the same percentage as total program allocations for the 
fiscal year fall below the total program allocations under Pub. L. 103-
332.
    (d) All data sources used in the development of the formula are 
publicly available. The relevant data is available from the Bureau of 
the Census, the Department of Energy's Energy Information Administration 
and the National Oceanic and Atmospheric Administration.
    (e) Should updates to the data used in the formula become available 
in any fiscal year, these changes would be implemented in the formula in 
the following program year.
    (f) DOE may reduce the program allocation for a State by the amount 
DOE determines cannot be reasonably expended by a grantee to weatherize 
dwelling units during the budget period for which financial assistance 
is to be awarded. In reaching this determination, DOE will consider the 
amount of unexpended financial assistance currently available to a 
grantee under this part and the number of dwelling units which remains 
to be weatherized with the unexpended financial assistance.
    (g) DOE may increase the program allocation of a State by the amount 
DOE determines the grantee can expend to weatherize additional dwelling 
units during the budget period for which financial assistance is to be 
awarded.
    (h) The Support Office Director shall notify each State of the 
program allocation for which that State is eligible to apply.

[60 FR 29480, June 5, 1995]



Sec. 440.11  Native Americans.

    (a) Notwithstanding any other provision of this part, the Support 
Office Director may determine, after taking into account the amount of 
funds made available to a State to carry out the purposes of this part, 
that:
    (1) The low-income members of an Indian tribe are not receiving 
benefits under this part equivalent to the assistance provided to other 
low-income persons in the State under this part and
    (2) The low-income members of such tribe would be better served by 
means of a grant made directly to provide such assistance.
    (b) In any State for which the Support Office Director shall have 
made the determination referred to in paragraph (a) of this section, the 
Support Office Director shall reserve from the sums that would otherwise 
be allocated to the State under this part not less than 100 percent, or 
more than 150 percent, of an amount which bears the same ratio to the 
State's allocation for the fiscal year involved as the population of all 
low-income Native Americans for whom a determination under paragraph (a) 
of this section has been made bears to the population of all low-income 
persons in the State.
    (c) The Support Office Director shall make the determination 
prescribed in paragraph (a) of this section in the event a State:
    (1) Does not apply within the sixty-day time period prescribed in 
Sec. 440.12(a);
    (2) Recommends that direct grants be made for low-income members of 
an Indian tribe as provided in Sec. 440.12(b)(5);
    (3) Files an application which DOE determines, in accordance with 
the procedures in Sec. 440.30, not to make adequate provision for the 
low-income members of an Indian tribe residing in the State; or
    (4) Has received grant funds and DOE determines, in accordance with 
the procedures in Sec. 440.30, that the State has failed to implement 
the procedures required by Sec. 440.16(6).
    (d) Any sums reserved by the Support Office Director pursuant to 
paragraph (b) of this section shall be granted to the tribal 
organization serving the individuals for whom the determination has been 
made, or where there is no tribal organization, to such other entity as 
the Support Office Director determines is able to provide adequate 
weatherization assistance pursuant to this part. Where the Support 
Office Director intends to make a grant to an organization to perform 
services benefiting more than one Indian tribe, the approval of each 
Indian tribe shall be a

[[Page 527]]

prerequisite for the issuance of a notice of grant award.
    (e) Within 30 days after the Support Office Director has reserved 
funds pursuant to paragraph (b) of this section, the Support Office 
Director shall give written notice to the tribal organization or other 
qualified entity of the amount of funds reserved and its eligibility to 
apply therefor.
    (f) Such tribal organization or other qualified entity shall 
thereafter be treated as a unit of general purpose local government 
eligible to apply for funds hereunder, pursuant to the provisions of 
Sec. 440.13.

[49 FR 3629, Jan. 27, 1984, as amended at 58 FR 12529, Mar. 4, 1993]



Sec. 440.12  State application.

    (a) To be eligible for financial assistance under this part, a State 
shall submit an application to DOE in conformity with the requirements 
of this part not later than 60 days after the date of notice to apply is 
received from the Support Office Director. After receipt of an 
application for financial assistance or for approval of an amendment to 
a State plan, the Support Office Director may request the State to 
submit within a reasonable period of time any revisions necessary to 
make the application complete or to bring the application into 
compliance with the requirements of this part. The Support Office 
Director shall attempt to resolve any dispute over the application 
informally and to seek voluntary compliance. If a State fails to submit 
timely appropriate revisions to complete the application, the Support 
Office Director may reject the application as incomplete in a written 
decision, including a statement of reasons, which shall be subject to 
administrative review under Sec. 440.30 of this part.
    (b) Each application shall include:
    (1) The name and address of the State agency or office responsible 
for administering the program;
    (2) A copy of the final State plan prepared after notice and a 
public hearing in accordance with Sec. 440.14(a), except that an 
application by a local applicant need not include a copy of the final 
State plan;
    (3) The budget for total funds applied for under the Act, which 
shall include a justification and explanation of any amounts requested 
for expenditure pursuant to Sec. 440.18(d) for State administration;
    (4) The total number of dwelling units proposed to be weatherized 
with grant funds during the budget period for which assistance is to be 
awarded--
    (i) With financial assistance previously obligated under this part, 
and
    (ii) With the program allocation to the State;
    (5) A recommendation that a tribal organization be treated as a 
local applicant eligible to submit an application pursuant to 
Sec. 440.13(b), if such a recommendation is to be made;
    (6) A monitoring plan which shall indicate the method used by the 
State to insure the quality of work and adequate financial management 
control at the subgrantee level;
    (7) A training and technical assistance plan which shall indicate 
how funds for training and technical assistance will be used; and
    (8) Any further information which the Secretary finds necessary to 
determine whether an application meets the requirements of this part.
    (c) On or before 60 days from the date that a timely filed 
application is complete, the Support Office Director shall decide 
whether DOE shall approve the application. The Support Office Director 
may--
    (1) Approve the application in whole or in part to the extent that 
the application conforms to the requirements of this part;
    (2) Approve the application in whole or in part subject to special 
conditions designed to ensure compliance with the requirements of this 
part; or
    (3) Disapprove the application if it does not conform to the 
requirements of this part.

(Approved by the Office of Management and Budget under control number 
1904-0047)

[49 FR 3629, Jan. 27, 1984, as amended at 50 FR 712, Jan. 4, 1985; 55 FR 
41325, Oct. 10, 1990; 58 FR 12529, Mar. 4, 1993; 60 FR 29481, June 5, 
1995]

[[Page 528]]



Sec. 440.13  Local applications.

    (a) The Support Office Director shall give written notice to all 
local applicants throughout a State of their eligibility to apply for 
financial assistance under this part in the event:
    (1) A State, within which a local applicant is situated, fails to 
submit an application within 60 days after notice in accordance with 
Sec. 440.12(a) or
    (2) The Support Office Director finally disapproves the application 
of a State, and, under Sec. 440.30, either no appeal is filed or the 
Support Office Director's decision is affirmed.
    (b) To be eligible for financial assistance, a local applicant shall 
submit an application pursuant to Sec. 440.12(b) to the Support Office 
Director within 30 days after receiving the notice referred to in 
paragraph (a) of this section.
    (c) In the event one or more local applicants submits an application 
for financial assistance to carry out projects in the same geographical 
area, the Support Office Director shall hold a public hearing with the 
same procedures that apply under section Sec. 440.14(a).
    (d) Based on the information provided by a local applicant and 
developed in any hearing held under paragraph (c) of this section, the 
Support Office Director shall determine in writing whether to award a 
grant to carry out one or more weatherization projects.
    (e) If there is an adverse decision in whole or in part under 
paragraph (d) of this section, that decision is subject to 
administrative review under Sec. 440.30 of this part.
    (f) If, after a State application has been finally disapproved by 
DOE and the Support Office Director approves local applications under 
this section, the Support Office Director may reject a new State 
application in whole or in part as disruptive and untimely without 
prejudice to submission of an application for the next program year.

(Approved by the Office of Management and Budget under control number 
1904-0047)

[49 FR 3629, Jan. 27, 1984, as amended at 58 FR 12525, 12529, Mar. 4, 
1993]



Sec. 440.14  State plans.

    (a) Before submitting an application, a State shall give not less 
than 10 days notice of hearing, reasonably calculated to inform 
prospective subgrantees, and shall conduct one or more public hearing 
for the purpose of receiving comments on a proposed State plan. The 
proposed State plan shall identify and describe proposed weatherization 
projects, including a statement of proposed subgrantees and the amount 
each will receive; shall address the other items contained in paragraph 
(b) of this section; and shall be made available throughout the State 
prior to the hearing. The notice for the hearing shall specify that 
copies of the plan are available and how they may be obtained. A 
transcript of the hearings shall be prepared and written submission of 
views and data shall be accepted for the record.
    (b) Subsequent to the hearing, the State shall prepare a final State 
plan which shall identify and describe:
    (1) The production schedule for the State, which shall indicate 
projected expenditures and the number of dwelling units which are 
expected to be weatherized each quarter during the program year;
    (2) An estimate of the number of dwelling units expected to be 
weatherized during the program year by category to include:
    (i) Single-family and multi-family residences;
    (ii) Elderly persons' residences;
    (iii) Handicapped persons' residences;
     (iv) Renters' residences;
    (v) If Native Americans do not receive direct grants under 
Sec. 440.11, Native American residences; and
    (vi) Children's residences, if the State selects this category as a 
priority with paragraphs (b)(2)(ii) and (b)(2)(iii) of this section.
    (3) The climatic conditions within the State;
    (4) The type of weatherization work to be done;
    (5) An estimate of the amount of energy to be conserved;
    (6) An estimate of the number of eligible dwelling units in which 
the elderly reside;
    (7) An estimate of the number of eligible dwelling units in which 
the handicapped reside;

[[Page 529]]

    (8) Each area to be served by a weatherization project within the 
State, and shall include for each area:
    (i) The tentative allocation;
    (ii) The number of dwelling units expected to be weatherized during 
the program year, and the number of previously weatherized units 
expected to be weatherized;
    (iii) The estimated number of rental dwelling units to be 
weatherized; and
    (iv) Sources of labor.
    (9) The manner in which the State plan is to be implemented, and 
shall include:
    (i) An analysis of the existence and effectiveness of any 
weatherization project being carried out by a subgrantee;
    (ii) An explanation of the method used to select each area to be 
served by a weatherization project;
    (iii) The extent to which priority will be given to the 
weatherization of single-family or other high energy consuming dwelling 
units;
    (iv) The amount of non-Federal resources to be applied to the 
program;
    (v) The amount of Federal resources, other than DOE weatherization 
grant funds, to be applied to the program;
    (vi) The amount of weatherization grant funds allocated to the State 
under this part;
    (vii) The expected average cost per dwelling to be weatherized, 
taking into account the total number of dwellings to be weatherized and 
the total amount of funds, Federal and non-Federal, expected to be 
applied to the program;
    (viii) The average amount of the DOE funds specified in 
Sec. 440.18(c) (1) through (11) to be applied to any dwelling unit;
    (ix) The average amount of DOE funds to be applied to any dwelling 
unit for weatherization materials as specified in Sec. 440.18(c)(1);
    (x) The procedures used by the State for providing additional 
administrative funds to qualified subgrantees as specified in 
Sec. 440.18(d).
    (xi) Procedures for determining the most cost-effective measures in 
a dwelling unit or a statement that Project Retro-Tech or another DOE-
approved audit will be used;
    (xii) The definition of ``low income'' which the State has chosen 
for use statewide for determining eligibility under Sec. 440.22(a).
    (xiii) The definition of ``children'' which the State has chosen 
consistent with Sec. 440.3.
    (xiv) The amount of Federal funds to be used, and an explanation of 
how they will be used, to increase the amount of weatherization 
assistance that the State obtains from non-Federal sources, including 
private sources, and the expected leveraging effect to be accomplished.

(Approved by the Office of Management and Budget under control number 
1904-0047)

[49 FR 3629, Jan. 27, 1984, as amended at 50 FR 712, Jan. 4, 1985; 58 FR 
12526, Mar. 4, 1993; 60 FR 29481, June 5, 1995]



Sec. 440.15  Subgrantees.

    (a) The grantee shall ensure that:
    (1) Each subgrantee is a CAA or other public or nonprofit entity;
    (2) Each subgrantee is selected on the basis of public comment 
received during a public hearing conducted pursuant to Sec. 440.14(a) 
and other appropriate findings regarding:
    (i) The subgrantee's experience and performance in weatherization or 
housing renovation activities;
    (ii) The subgrantee's experience in assisting low-income persons in 
the area to be served; and
    (iii) The subgrantee's capacity to undertake a timely and effective 
weatherization program.
    (3) In selecting a subgrantee, preference is given to any CAA or 
other public or nonprofit entity which has, or is currently 
administering, an effective program under this part or under title II of 
the Economic Opportunity Act of 1964, with program effectiveness 
evaluated by consideration of factors including, but not necessarily 
limited to, the following:
    (i) The extent to which the past or current program achieved or is 
achieving weatherization goals in a timely fashion;
    (ii) The quality of work performed by the subgrantee;
    (iii) The number, qualifications, and experience of the staff 
members of the subgrantee; and

[[Page 530]]

    (iv) The ability of the subgrantee to secure volunteers, training 
participants, and public service employment workers pursuant to JTPA.
    (b) The grantee shall ensure that the funds received under this part 
will be allocated to the entities selected in accordance with paragraph 
(a) of this section, such that funds will be allocated to areas on the 
basis of the relative need for a weatherization project by low-income 
persons.
    (c) If DOE finds that a subgrantee selected to undertake 
weatherization activities under this part has failed to comply 
substantially with the provisions of the Act or this part and should be 
replaced, such finding shall be treated as a finding under 
Sec. 440.30(i) for purposes of Sec. 440.30.
    (d) Any new or additional subgrantee shall be selected at a hearing 
in accordance with Sec. 440.14(a) and upon the basis of the criteria in 
paragraph (a) of this section.
    (e) A State may terminate financial assistance under a subgrant 
agreement for a grant period only in accordance with established State 
procedures that provide to the subgrantee appropriate notice of the 
State's reasons for termination and afford the subgrantee an adequate 
opportunity to be heard.

[49 FR 3629, Jan. 27, 1984, as amended at 55 FR 41326, Oct. 10, 1990; 58 
FR 12526, Mar. 4, 1993]



Sec. 440.16  Minimum program requirements.

    Prior to the expenditure of any grant funds each grantee shall 
develop, publish, and implement procedures to ensure that:
    (a) No dwelling unit may be weatherized without documentation that 
the dwelling unit is an eligible dwelling unit as provided in 
Sec. 440.22;
    (b) Priority is given to identifying and providing weatherization 
assistance to elderly and handicapped low-income persons and such 
priority as the applicant determines is appropriate is given to dwelling 
units containing children and to single-family or other high-energy-
consuming dwelling units;
    (c) Financial assistance provided under this part will be used to 
supplement, and not supplant, State or local funds, and, to the maximum 
extent practicable as determined by DOE, to increase the amounts of 
these funds that would be made available in the absence of Federal funds 
provided under this part;
    (d) To the maximum extent practicable, the grantee will secure the 
services of volunteers when such personnel are generally available, 
training participants and public service employment workers, pursuant to 
JTPA, to work under the supervision of qualified supervisors and 
foremen;
    (e) To the maximum extent practicable, the use of weatherization 
assistance shall be coordinated with other Federal, State, local, or 
privately funded programs in order to improve energy efficiency and to 
conserve energy;
    (f) The low-income members of an Indian tribe shall receive benefits 
equivalent to the assistance provided to other low-income persons within 
a State unless the grantee has made the recommendation provided in 
Sec. 440.12(b)(5);
    (g) No dwelling unit may be reported to DOE as completed until all 
weatherization materials have been installed and the subgrantee, or its 
authorized representative, has performed a final inspection(s) including 
any mechanical work performed and certified that the work has been 
completed in a workmanlike manner and in accordance with the priority 
determined by the audit procedures required by Sec. 440.21; and
    (h) Subgrantees limit expenditure of funds under this part for 
installation of materials (other than weatherization materials) to abate 
energy-related health and safety hazards, to a list of types of such 
hazards, permissible abatement materials and their costs which is 
submitted, and updated as necessary at the same time as an annual 
application under Sec. 440.12 of this part and which DOE shall approve 
if--
    (1) Elimination of such hazards are necessary before, or as a result 
of, installation of weatherization materials; and
    (2) The grantee sets forth a limitation on the percent of average 
dwelling unit costs which may be used to abate such hazards which is 
reasonable in light of the primary energy conservation purpose of this 
part;

[[Page 531]]

    (i) The benefits of weatherization to occupants of rental units are 
protected in accordance with Sec. 440.22(b)(3) of this part.

(Approved by the Office of Management and Budget under control number 
1904-0047)

[49 FR 3629, Jan. 27, 1984, as amended at 58 FR 12526, Mar. 4, 1993]



Sec. 440.17  Policy Advisory Council.

    (a) Prior to the expenditure of any grant funds, a State policy 
advisory council shall be established by a State or by the Support 
Office Director if a State does not participate in the program which:
    (1) Has special qualifications and sensitivity with respect to 
solving the problems of low-income persons, including the weatherization 
and energy conservation problems of these persons;
    (2) Is broadly representative of organizations and agencies, 
including consumer groups that represent low-income persons, 
particularly elderly and handicapped low-income persons and low-income 
Native Americans, in the State or geographical area in question; and
    (3) Has responsibility for advising the appropriate official or 
agency administering the allocation of financial assistance in the State 
or area with respect to the development and implementation of a 
weatherization assistance program.

[49 FR 3629, Jan. 27, 1984, as amended at 58 FR 12529, Mar. 4, 1993]



Sec. 440.18  Allowable expenditures.

    (a) An average of at least 40 percent of the funds provided in a 
State under this part for weatherization materials, labor, and related 
matters included in paragraphs (c)(1) through (9) of this section shall 
be spent for weatherization materials, except if DOE approves a State's 
application to waive the 40 percent requirement under Sec. 440.21(h).
    (b) The expenditure of financial assistance provided under this part 
for labor, weatherization materials, and related matters included in 
paragraphs (c)(1) through (9) and (c)(15) of this section shall not 
exceed an average of $1,600 per dwelling unit weatherized in the State, 
except as adjusted as follows:
    (1) The $1,600 average will be adjusted annually by DOE beginning in 
calendar year 1991 by increasing the limitation by an amount equal to:
    (i) The limitation amount for the previous year, multiplied by
    (ii) The lesser of:
    (A) The percentage increase in the Consumer Price Index (all items, 
United States city average) for the most recent calendar year completed 
before the beginning of the year for which the determination is being 
made, or
    (B) Three percent.
    (2) In addition to the average per-dwelling-unit limitation 
applicable in a State under this section, DOE shall, upon application by 
a State, establish a separate average per-dwelling-unit limitation for 
dwelling units in such States which conform to program requirements and, 
in addition to any other weatherization modifications, have capital-
intensive furnace or cooling efficiency modifications as defined in 
Sec. 440.3 made under this part. The average per-dwelling-unit 
limitation applicable in a State which meets these requirements shall 
not exceed an amount equal to:
    (i) The amount permitted for the expenditure of financial assistance 
for labor, weatherization materials, and related matters for dwelling 
units in such State in paragraphs (c) (1) through (9) and (c)(15) of 
this section plus
    (ii) An amount determined by the State to be the average amount that 
is appropriate for capital-intensive furnace or cooling efficiency 
modifications of dwelling units of the type assisted under this part in 
such State and approved by DOE.
    (c) Allowable expenditures under this part include only:
    (1) The cost of purchase and delivery of weatherization materials;
    (2) Labor costs, in accordance with Sec. 440.19;
    (3) Transportation of weatherization materials, tools, equipment, 
and work crews to a storage site and to the site of weatherization work;
    (4) Maintenance, operation, and insurance of vehicles used to 
transport weatherization materials;

[[Page 532]]

    (5) Maintenance of tools and equipment;
    (6) Purchase or annual lease of tools, equipment, and vehicles, 
except that any purchase of vehicles shall be referred to DOE for prior 
approval in every instance;
    (7) Employment of on-site supervisory personnel;
    (8) Storage of weatherization materials, tools, and equipment;
    (9) The cost of incidental repairs if such repairs are necessary to 
make the installation of weatherization materials effective;
    (10) The cost of liability insurance for weatherization projects for 
personal injury and for property damage;
    (11) The cost of carrying out low-cost/no-cost weatherization 
activities in accordance with Sec. 440.20;
    (12) The cost of weatherization program financial audits as required 
by Sec. 440.23(d);
    (13) Allowable administrative expenses under paragraph (d) of this 
section; and
    (14) Funds used for leveraging activities in accordance with 
Sec. 440.14(b)(9)(xiv); and
    (15) The cost of eliminating health and safety hazards elimination 
of which is necessary before, or because of, installation of 
weatherization materials.
    (d) Not more than 10 percent of any grant made to a State may be 
used by the grantee and subgrantees for administrative purposes in 
carrying out duties under this part, except that not more than 5 percent 
may be used by the State for such purposes, and not less than 5 percent 
must be made available to subgrantees by States. A State may provide in 
its annual plan for recipients of grants of less than $350,000 to use up 
to an additional 5 percent of such grants for administration if the 
State has determined that such recipient requires such additional amount 
to implement effectively the administrative requirements established by 
DOE pursuant to this part.
    (e) No grant funds awarded under this part shall be used for any of 
the following purposes:
    (1) To weatherize a dwelling unit which is designated for 
acquisition or clearance by a Federal, State, or local program within 12 
months from the date weatherization of the dwelling unit would be 
scheduled to be completed; or
    (2) To install or otherwise provide weatherization materials for a 
dwelling unit weatherized previously with grant funds under this part, 
except:
    (i) As provided under Sec. 440.20;
    (ii) If such dwelling unit has been damaged by fire, flood, or act 
of God and repair of the damage to weatherization materials is not paid 
for by insurance; or
    (iii) That dwelling units partially weatherized under this part or 
under other Federal programs during the period September 30, 1975, 
through September 30, 1985, may receive further financial assistance for 
weatherization under this part. While DOE will continue to require these 
homes to be reported separately, States may count these homes as 
completions for the purposes of compliance with the per-home expenditure 
limit in Sec. 440.18. Each dwelling unit must receive a new energy audit 
which takes into account any previous energy conservation improvements 
to the dwelling.

[58 FR 12526, Mar. 4, 1993]



Sec. 440.19   Labor.

    (a) Payments for labor costs under Sec. 440.18(c)(2) shall consist 
of:
    (1) Payments permitted by the Department of Labor to supplement 
wages paid to training participants and public service employment 
workers pursuant to JTPA and
    (2) Payments to employ labor (particularly persons eligible for 
training under JTPA) or to engage a contractor (particularly a nonprofit 
organization or a business owned by disadvantaged individuals which 
performs weatherization services), provided a grantee has determined an 
adequate number of volunteers, training participants, and public service 
employment workers, assisted pursuant to JTPA, are not available to 
weatherize dwelling units for a subgrantee under the supervision of 
qualified supervisors.

[49 FR 3629, Jan. 27, 1984, as amended at 50 FR 713, Jan. 4, 1985; 58 FR 
12527, Mar. 4, 1993]

[[Page 533]]



Sec. 440.20  Low-cost/no-cost weatherization activities.

    (a) An eligible dwelling unit may be weatherized without regard to 
the limitations contained in Sec. 440.18 (e)(2) or Sec. 440.21(b) from 
funds designated by the grantee for carrying out low-cost/no-cost 
weatherization activities provided:
    (1) Inexpensive weatherization materials are used, such as water 
flow controllers, furnace or cooling filters, or items which are 
primarily directed toward reducing infiltration, including 
weatherstripping, caulking, glass patching, and insulation for plugging 
and
    (2) No labor paid with funds provided under this part is used to 
install weatherization materials referred to in paragraph (a)(1) of this 
section.
    (b) A maximum of 10 percent of the amount allocated to a subgrantee, 
not to exceed $50 in materials costs per dwelling unit, may be expended 
to carry out low-cost/no-cost weatherization activities, unless the 
Support Office Director approves a higher expenditure per dwelling unit.

[49 FR 3629, Jan. 27, 1984, as amended at 50 FR 713, Jan. 4, 1985; 58 FR 
12529, Mar. 4, 1993]



Sec. 440.21  Standards and techniques for weatherization.

    (a) Paragraphs (b) through (g) of this section set forth the energy 
audit procedures which apply to the grantees and subgrantees who are 
subject to the 40 percent material cost requirement in Sec. 440.18(a) of 
this part. Paragraphs (b), (d), (e), and (h) through (k) of this section 
set forth the requirements for the energy audit procedures which, if 
satisfied in the State plan, warrant approval of a State's application 
to waive the 40 percent material cost requirement in Sec. 440.18(a) of 
this part.
    (b) Only weatherization materials which are listed in appendix A and 
which meet or exceed standards prescribed in appendix A to this part 
shall be purchased with funds provided under this part, except that DOE 
may approve an unlisted material upon application from any State.
    (c) The most cost-effective weatherization materials for each 
dwelling unit shall be determined by audit procedures using the 
following formula:
    (1) The cost of fuel saved per year by installing a weatherization 
material in a dwelling unit;
    (2) Multiplied by the appropriate lifetime of the weatherization 
material; and
    (3) Divided by the cost of the weatherization material and the cost 
of the installation of the weatherization material.
    (d) The computation of the cost of fuel saved per year must take 
into account the number of heating or cooling degree days in the area of 
which the computation is being made and must otherwise use reasonable 
methods and assumptions.
    (e) The figures used for the lifetime of the materials and for the 
costs of materials and cost of the installation of the materials must be 
generally accepted in the relevant trade.
    (f) The weatherization materials which shall be installed first are 
those which are determined to be the most cost effective using the 
formula in paragraph (c) of this section.
    (g) The audit procedures used in Project Retro-Tech to determine the 
most cost-effective weatherization materials comply with this section. 
The grantee or subgrantee may use other audit procedures to determine 
the most cost-effective weatherization materials, provided that these 
procedures comply with this section and are approved by the Support 
Office Director prior to their use. A grantee or subgrantee may use 
results obtained from audits conducted under the Residential 
Conservation Service Program as part of the audit procedures which have 
been approved by the Support Office Director.
    (h) The energy audit procedures must--
    (1) Consider the rate of energy use;
    (2) Address significant heating and cooling needs;
    (3) Make provision for use of advanced diagnostic and assessment 
techniques which DOE has determined are consistent with sound 
engineering practices;
    (4) Determine energy use from actual energy bills or by generally 
accepted engineering calculations;
    (5) Consistent with paragraphs (d) and (e) of this section, 
determine that

[[Page 534]]

each weatherization material is cost effective by ensuring that the net 
fuel cost savings over the lifetime of such weatherization material, 
discounted to present value in accordance with paragraph (i) of this 
section, to the costs to be claimed as allowable under 
Sec. 440.18(c)(1), (2), and (7), and any other significant, related cost 
required to be included by a State, is greater than or equal to one;
    (6) Assign priorities among weatherization materials in descending 
order of their cost effectiveness ratios calculated under paragraph 
(h)(5) of this section;
    (i) After adjusting those ratios for interaction between 
architectural and mechanical weatherization materials by decreasing the 
estimated fuel cost savings for a lower priority weatherization material 
in light of fuel cost savings for a related higher priority 
weatherization material; and
    (ii) Eliminating any weatherization material if its cost 
effectiveness ratio, as adjusted under paragraph (h)(6) of this section, 
is less than one;
    (7) Determine that the total conservation investment has a positive 
rate of return by ensuring that the ratio of the cumulative net fuel 
cost savings of all weatherization materials, adjusted for interaction 
between architectural and mechanical weatherization materials if any, to 
the cumulative costs included under paragraph (h)(5) of this section and 
the costs to be claimed as allowable under Sec. 440.18(c)(9), is greater 
than or equal to one;
    (8) Identify health and safety hazards to be abated with DOE funds 
in compliance with the State's DOE-approved health and safety procedures 
under Sec. 440.16(h); and
    (9) Treat the dwelling unit as a whole system by examining its 
heating and cooling system, its air exchange system and it occupants' 
living habits and needs, and making necessary adjustments to the 
priority of weatherization materials with adequate documentation of the 
reasons for such an adjustment.
    (i) The energy audit must provide for use of the annually adjusted 
discount rate provided by DOE except that a State may keep that rate 
constant up to 5 years or may use a reasonable higher real discount 
rate. Subject to a ceiling of 10 percent and floor of 3 percent and 
subject to adjustment by DOE region for a rate of fuel cost escalation 
predicted by the DOE Energy Information Administration, DOE shall 
calculate annually the adjusted discount rate, for use under paragraph 
(h) of this section as a 12-month average of the composite yields of all 
outstanding U.S. Treasury bonds neither due nor callable in less than 10 
years, as most recently reported by the Federal Reserve, adjusted to 
exclude estimated increases in the general level of prices consistent 
with projections of inflation in the most recent Economic Report of the 
President's Council of Economic Advisers.
    (j) For typical dwelling units without unusual energy consuming 
characteristics which significantly alter typical energy usage, energy 
audits may be accomplished by using a priority list developed by 
conducting, in compliance with paragraph (h) of this section, site-
specific energy audits of a representative sample of typical dwelling 
units for each major dwelling type covered by the State's weatherization 
program. Priority lists developed in accordance with this paragraph must 
be revalidated by conducting a representative sample of site-specific 
energy audits every 5 years.
    (k) Subject to DOE approval, a State may use as a part of an energy 
audit, a list of presumptively cost effective general heat waste 
reduction weatherization materials and the circumstance under which such 
materials may be presumed cost effective without need for further audit 
justification if those materials are shown to be cost effective in 
typical dwelling units for major dwelling unit types in the State based 
on documentation of a representative number of site-specific energy 
audits.

[58 FR 12527, Mar. 4, 1993]



Sec. 440.22  Eligible dwelling units.

    (a) A dwelling unit shall be eligible for weatherization assistance 
under this part if it is occupied by a family unit:
    (1) Whose income is at or below 125 percent of the poverty level 
determined in accordance with criteria established

[[Page 535]]

by the Director of the Office of Management and Budget;
    (2) Which contains a member who has received cash assistance 
payments under Title IV or XVI of the Social Security Act or applicable 
State or local law at any time during the 12-month period preceding the 
determination of eligibility for weatherization assistance; or
    (3) If the State elects, is eligible for assistance under the Low-
Income Home Energy Assistance Act of 1981, provided that such basis is 
at least 125 percent of the poverty level determined in accordance with 
criteria established by the Director of the Office of Management and 
Budget.
    (b) A subgrantee may weatherize a building containing rental 
dwelling units using financial assistance for dwelling units eligible 
for weatherization assistance under paragraph (a) of this section, 
where:
    (1) The subgrantee has obtained the written permission of the owner 
or his agent;
    (2) Not less than 66 percent (50 percent for duplexes and four-unit 
buildings) of the dwelling units in the building:
    (i) Are eligible dwelling units, or
    (ii) Will become eligible dwelling units within 180 days under a 
Federal, State, or local government program for rehabilitating the 
building or making similar improvements to the building; and
    (3) The grantee has established procedures for dwellings which 
consist of a rental unit or rental units to ensure that:
    (i) The benefits of weatherization assistance in connection with 
such rental units, including units where the tenants pay for their 
energy through their rent, will accrue primarily to the low-income 
tenants residing in such units;
    (ii) For a reasonable period of time after weatherization work has 
been completed on a dwelling containing a unit occupied by an eligible 
household, the tenants in that unit (including households paying for 
their energy through their rent) will not be subjected to rent increases 
unless those increases are demonstrably related to matters other than 
the weatherization work performed;
    (iii) The enforcement of paragraph (b)(3)(ii) of this section is 
provided through procedures established by the State by which tenants 
may file complaints, and owners, in response to such complaints, shall 
demonstrate that the rent increase concerned is related to matters other 
than the weatherization work performed; and
    (iv) No undue or excessive enhancement shall occur to the value of 
the dwelling units.
    (c) In order to secure the Federal investment made under this part 
and address the issues of eviction from and sale of property receiving 
weatherization materials under this part, States may seek landlord 
agreement to placement of a lien or to other contractual restrictions;
    (d) As a condition of having assistance provided under this part 
with respect to multifamily buildings, a State may require financial 
participation, when feasible, from the owners of such buildings. Such 
financial participation shall not be reported as program income, nor 
will it be treated as if it were appropriated funds. The funds 
contributed by the landlord shall be expended in accordance with the 
agreement between the landlord and the weatherization agency.
    (e) In devising procedures under paragraph (b)(3)(iii) of this 
section, States should consider requiring use of alternative dispute 
resolution procedures including arbitration.
    (f) A State may weatherize shelters. For the purpose of determining 
how many dwelling units exist in a shelter, a grantee may count each 800 
square feet of the shelter as a dwelling unit or it may count each floor 
of the shelter as a dwelling unit.

[58 FR 12528, Mar. 4, 1993]



Sec. 440.23  Oversight, training, and technical assistance.

    (a) The Secretary and the appropriate Support Office Director, in 
coordination with the Secretary of Health and Human Services, shall 
monitor and evaluate the operation of projects carried out by CAA's 
receiving financial assistance under this part through on-site 
inspections, or through

[[Page 536]]

other means, in order to ensure the effective provision of 
weatherization assistance for the dwelling units of low-income persons.
    (b) DOE shall also carry out periodic evaluations of a program and 
weatherization projects that are not carried out by a CAA and that are 
receiving financial assistance under this part.
    (c) The Secretary and the appropriate Support Office Director, the 
Comptroller General of the United States, and for a weatherization 
project carried out by a CAA, the Secretary of Health and Human Services 
or any of their duly authorized representatives, shall have access to 
any books, documents, papers, information, and records of any 
weatherization project receiving financial assistance under the Act for 
the purpose of audit and examination.
    (d) Each grantee shall ensure that audits by or on behalf of 
subgrantees are conducted with reasonable frequency, on a continuing 
basis, or at scheduled intervals, usually annually, but not less 
frequently than every two years, in accordance with 10 CFR part 600, and 
OMB Circular 110, Attachment F, as applicable.
    (e) The Secretary may reserve from the funds appropriated for any 
fiscal year an amount not to exceed 10 percent to provide, directly or 
indirectly, training and technical assistance to any grantee or 
subgrantee. Such training and technical assistance may include providing 
information concerning conservation practices to occupants of eligible 
dwelling units.

[49 FR 3629, Jan. 27, 1984, as amended at 58 FR 12529, Mar. 4, 1993]



Sec. 440.24  Recordkeeping.

    Each grantee or subgrantee receiving Federal financial assistance 
under this part shall keep such records as DOE shall require, including 
records which fully disclose the amount and disposition by each grantee 
and subgrantee of the funds received, the total cost of a weatherization 
project or the total expenditure to implement the State plan for which 
assistance was given or used, the source and amount of funds for such 
project or program not supplied by DOE, the average costs incurred in 
weatherization of individual dwelling units, the average size of the 
dwelling being weatherized, the average income of households receiving 
assistance under this part, and such other records as DOE deems 
necessary for an effective audit and performance evaluation. Such 
recordkeeping shall be in accordance with the DOE Financial Assistance 
Rule, 10 CFR part 600, and any further requirements of this part.

[58 FR 12529, Mar. 4, 1993]



Sec. 440.25  Reports.

    DOE may require any recipient of financial assistance under this 
part to provide, in such form as may be prescribed, such reports or 
answers in writing to specific questions, surveys, or questionnaires as 
DOE determines to be necessary to carry out its responsibilities or the 
responsibilities of the Secretary of Health and Human Services under 
this part.

(Approved by the Office of Management and Budget under control number 
1901-0127)
Secs. 440.26-440.29 [Reserved]



Sec. 440.30  Administrative review.

    (a) An applicant shall have 20 days from the date of receipt of a 
decision under Sec. 440.12 or Sec. 440.13 to file a notice requesting 
administrative review. If an applicant does not timely file such a 
notice, the decision under Sec. 440.12 or Sec. 440.13 shall become final 
for DOE.
    (b) A notice requesting administrative review shall be filed with 
the Support Office Director and shall be accompanied by a written 
statement containing supporting arguments and requesting, if desired, 
the opportunity for a public hearing.
    (c) A notice or any other document shall be deemed filed under this 
section upon receipt.
    (d) On or before 15 days from receipt of a notice requesting 
administrative review which is timely filed, the Support Office Director 
shall forward to the Deputy Assistant Secretary, the notice requesting 
administrative review, the decision under Sec. 440.12 or Sec. 440.13 as 
to which administrative review is sought, a draft recommended final 
decision for the concurrence of the Deputy Assistant Secretary, and any 
other relevant material.

[[Page 537]]

    (e) If the applicant requests a public hearing, the Deputy Assistant 
Secretary, within 15 days, shall give actual notice to the State and 
Federal Register notice of the date, place, time, and procedures which 
shall apply to the public hearing. Any public hearing under this section 
shall be informal and legislative in nature.
    (f) On or before 45 days from receipt of documents under paragraph 
(d) of this section or the conclusion of the public hearing, whichever 
is later, the Deputy Assistant Secretary shall concur in, concur in as 
modified, or issue a substitute for the recommended decision of the 
Support Office Director.
    (g) On or before 15 days from the date of receipt of the 
determination under paragraph (f) of this section, the Governor may file 
an application, with a supporting statement of reasons, for 
discretionary review by the Assistant Secretary. On or before 15 days 
from filing, the Assistant Secretary shall send a notice to the Governor 
stating whether the Deputy Assistant Secretary's determination will be 
reviewed. If the Assistant Secretary grants review, a decision shall be 
issued no later than 60 days from the date review is granted. The 
Assistant Secretary may not issue a notice or decision under this 
paragraph without the concurrence of the DOE Office of General Counsel.
    (h) A decision under paragraph (f) of this section shall be final 
for DOE if there is no review under paragraph (g) of this section. If 
there is review under paragraph (g) of this section, the decision 
thereunder shall be final for DOE, and no appeal shall lie elsewhere in 
DOE.
    (i) Prior to the effective date of the termination of eligibility 
for further participation in the program because of failure to comply 
substantially with the requirements of the Act or of this part, a 
grantee shall have the right to written notice of the basis for the 
enforcement action and the opportunity for a public hearing 
notwithstanding any provisions to contrary of 10 CFR 600.26, 600.28(b), 
600.29, 600.121(c), and 600.443. A notice under this paragraph shall be 
mailed by the Support Office Director by registered mail, return-receipt 
requested, to the State, local grantee, and other interested parties. To 
obtain a public hearing, the grantee must request an evidentiary 
hearing, with prior Federal Register notice, in the election letter 
submitted under Rule 2 of 10 CFR 1024.4 and the request shall be granted 
notwithstanding any provisions of Rule 2 to the contrary.

[55 FR 41326, Oct. 10, 1990, as amended at 58 FR 12529, Mar. 4, 1993]

           Appendix A--Standards for Weatherization Materials

    The following Government standards are produced by the Consumer 
Product Safety Commission and are published in title 16, Code of Federal 
Regulations:
    Thermal Insulating Materials for Building Elements Including Walls, 
Floors, Ceilings, Attics, and Roofs Insulation--organic fiber--
conformance to Interim Safety Standard in 16 CFR part 1209;
    Fire Safety Requirements for Thermal Insulating Materials According 
to Insulation Use--Attic Floor--insulation materials intended for 
exposed use in attic floors shall be capable of meeting the same 
flammability requirements given for cellulose insulation in 16 CFR part 
1209;
    Enclosed spaces--insulation materials intended for use within 
enclosed stud or joist spaces shall be capable of meeting the smoldering 
combustion requirements in 16 CFR part 1209.
    The following standards which are not otherwise set forth in part 
440 are incorporated by reference and made a part of part 440. The 
following standards have been approved for incorporation by reference by 
the Director of the Federal Register in accordance with 5 U.S.C. 552(a) 
and 1 CFR part 51. These materials are incorporated as they exist on 
April 5, 1993 and a notice of any change in these materials will be 
published in the Federal Register. The standards incorporated by 
reference are available for inspection at the Office of the Federal 
Register Information Center, 800 North Capitol Street, suite 700, 
Washington, DC.
    The standards incorporated by reference in part 440 can be obtained 
from the following sources:

Air Conditioning and Refrigeration Institute, 1501 Wilson Blvd., 
Arlington, VA 22209; (703) 524-8800.
American Gas Association, 1515 Wilson Blvd., Arlington, VA 22209; (703) 
841-8400.
American National Standards Institute, Inc., 1430 Broadway, New York, NY 
10018; (212) 642-4900.
American Society of Mechanical Engineers, United Engineering Center, 345 
East 47th Street, New York, NY 10017; (212) 705-7800.

[[Page 538]]

American Society for Testing and Materials, 1916 Race Street, 
Philadelphia, PA 19103; (215) 299-5400.
American Architectural Manufacturers Association, 1540 East Dundee Road, 
Palatine, IL 60067; (708) 202-1350.
Federal Specifications, General Services Administration, Specifications 
Section, Room 6654, 7th and D Streets, SW, Washington, DC 20407; (202) 
708-5082.
Gas Appliance Manufacturers Association, 1901 Moore St., Arlington, VA 
22209; (703) 525-9565.
National Electrical Manufacturers Association, 2101 L Street, NW, Suite 
300, Washington, DC 20037; (202) 457-8400.
National Fire Protection Association, Batterymarch Park, P.O. Box 9101, 
Quincy, MA 02269; (617) 770-3000.
National Standards Association, 1200 Quince Orchard Blvd., Gaithersburg, 
MD 20878; (301) 590-2300. (NSA is a local contact for materials from 
ASTM).
National Wood Window and Door Association, 1400 East Touhy Avenue, Des 
Plaines, IL 60018; (708) 299-5200.
Sheet Metal and Air Conditioning Contractors Association, P.O. Box 
221230, Chantilly, VA 22022-1230; (703) 803-2980.
Steel Door Institute, 712 Lakewood Center North, 14600 Detroit Avenue, 
Cleveland, OH 44107; (216) 899-0100.
Steel Window Institute, 1230 Keith Building, Cleveland, OH 44115; (216) 
241-7333.
Tubular Exchanger Manufacturers Association, 25 North Broadway, 
Tarrytown, NY 10591; (914) 332-0040.
Underwriters Laboratories, Inc., P.O. Box 75530, Chicago, IL 60675-5330; 
(708) 272-8800.
    More information regarding the standards in this reference can be 
obtained from the following sources:

Environmental Protection Agency, 401 M Street, NW, Washington, DC 20006; 
(202) 554-1080.
National Institute of Standards and Technology, U.S. Department of 
Commerce, Gaithersburg, MD 20899, (301) 975-2000
Weatherization Assistance Programs Division, Conservation and Renewable 
Energy, Mail Stop 5G-023, Forrestal Bldg, 1000 Independence Ave, SW, 
Washington, DC 20585; (202) 586-2207.

   Thermal Insulating Materials for Building Elements Including Walls,  
                   Floors, Ceilings, Attics, and Roofs                  
                       [Standards for conformance]                      
Insulation--mineral fiber:                                              
  Blanket insulation......................  ASTM\1\ C665-88.            
  Roof insulation board...................  ASTM C726-88.               
  Loose-fill insulation...................  ASTM C764-88.               
Insulation--mineral cellular:                                           
  Vermiculite loose-fill insulation.......  ASTM C516-80 (1990).        
  Perlite loose-fill insulation...........  ASTM C549-81 (1986).        
  Cellular glass insulation block.........  ASTM C552-88.               
  Perlite insulation board................  ASTM C728-89a.              
Insulation--organic fiber:                                              
  Cellulosic fiber insulating board.......  ASTM C208-72 (1982).        
  Cellulose loose-fill insulation.........  ASTM C739-88.               
Insulation-organic cellular:                                            
  Preformed block-type polystyrene          ASTM C578-87a.              
   insulation.                                                          
  Rigid preformed polyurethane insulation   ASTM C591-85.               
   board.                                                               
  Polyurethane or polyisocyanurate          FS \2\ HH-I-1972/1 (1981).  
   insulation board faced with aluminum                                 
   foil on both sides.                                                  
  Polyurethane or polyisocyanurate          FS HH-I-1972/2 (1981). And  
   insulation board faced with felt on       Amendment 1, October 3,    
   both sides.                               1985.                      
Insulation--composite boards:                                           
  Mineral fiber and rigid cellular          ASTM C726-88.               
   polyurethane composite roof insulation                               
   board.                                                               
  Perlite board and rigid cellular          ASTM C984-83.               
   polyurethane composite roof insulation.                              
  Gypsum board and polyurethane or          FS HH-I-1972/4 (1981).      
   polisocyanurate composite board.                                     
Materials used as a patch to reduce         Commercially available.     
 infiltration through the building                                      
 envelope.                                                              
------------------------------------------------------------------------
\1\ ASTM indicates American Society for Testing and Materials.          
\2\ FS indicates Federal Specifications.                                



  Thermal Insulating Materials for Pipes, Ducts, and Equipment Such as  
                          Boilers and Furnaces                          
                       [Standards for conformance]                      
Insulation--mineral fiber:                                              
  Preformed pipe insulation...............  ASTM \1\ C547-77.           
  Blanket and felt insulation (industrial   ASTM C553-70 (1977).        
   type).                                                               
  Blanket insulation and blanket type pipe  ASTM C592-80.               
   insulation (metal-mesh covered)                                      
   (industrial type).                                                   
  Block and board insulation..............  ASTM C612-83.               
  Spray applied fibrous insulation for      ASTM C720-89.               
   elevated temperature.                                                

[[Page 539]]

                                                                        
  High-temperature fiber blanket            ASTM C892-89.               
   insulation.                                                          
  Duct work insulation....................  Selected and applied        
                                             according to ASTM C971-82. 
Insulation--mineral cellular:                                           
  Diatomaceous earth block and pipe         ASTM C517-71 (1979)         
   insulation.                                                          
  Calcium silicate block and pipe           ASTM C533-85 (1990).        
   insulation.                                                          
  Cellular glass insulation...............  ASTM C552-88.               
  Expanded perlite block and pipe           ASTM C610-85.               
   insulation.                                                          
Insulation--Organic Cellular:                                           
  Preformed flexible elastomeric cellular   ASTM C534-88.               
   insulation in sheet and tubular form.                                
  Unfaced preformed rigid cellular          ASTM C591-85.               
   polyurethane insulation.                                             
Insulation skirting.......................  Commercially available.     
------------------------------------------------------------------------
\1\ ASTM indicates American Society for Testing and Materials.          



     Fire Safety Requirements for Insulating Materials According to     
                             Insulation Use                             
                       [Standards for conformance]                      
Attic floor...............................  Insulation materials        
                                             intended for exposed use in
                                             attic floors shall be      
                                             capable of meeting the same
                                             smoldering combustion      
                                             requirements given for     
                                             cellulose insulation in    
                                             ASTM \1\ C739-88.          
Enclosed space............................  Insulation materials        
                                             intended for use within    
                                             enclosed stud or joist     
                                             spaces shall be capable of 
                                             meeting the smoldering     
                                             combustion requirements in 
                                             ASTM C739-88.              
Exposed interior walls and ceilings.......  Insulation materials,       
                                             including those with       
                                             combustible facings, which 
                                             remain exposed and serve as
                                             wall or ceiling interior   
                                             finish, shall have a flame 
                                             spread classification not  
                                             to exceed 150 (per ASTM E84-
                                             89a).                      
Exterior envelope walls and roofs.........  Exterior envelope walls and 
                                             roofs containing thermal   
                                             insulations shall meet     
                                             applicable local government
                                             building code requirements 
                                             for the complete wall or   
                                             roof assembly.             
Pipes, ducts, and equipment...............  Insulation materials        
                                             intended for use on pipes, 
                                             ducts and equipment shall  
                                             be capable of meeting a    
                                             flame spread classification
                                             not to exceed 150 (per ASTM
                                             E84-89a).                  
------------------------------------------------------------------------
\1\ ASTM indicates American Society for Testing and Materials.          



                              Storm Windows                             
                       [Standards for conformance]                      
Storm windows:                                                          
  Aluminum insulating storm windows.......  ANSI/AAMA 1 1002.10-83.     
  Aluminum frame storm windows............  ANSI/AAMA 1002.10-83.       
  Wood frame storm windows................  ANSI/NWWDA 2 I.S. 2-87.     
                                             (Section 3)                
  Rigid vinyl frame storm windows.........  ASTM 3 D4099-89.            
  Frameless plastic glazing storm.........  Required minimum thickness  
                                             windows is 6 mil (.006     
                                             inches).                   
Movable insulation systems for windows....  Commercially available.     
------------------------------------------------------------------------
1 ANSI/AAMA indicates American National Standards Institute/American    
  Architectural Manufacturers Association.                              
2 ANSI/NWWDA indicates American National Standards Institute/National   
  Wood Window & Door Association.                                       
3 ASTM indicates American Society for Testing and Materials.            



                               Storm Doors                              
                       [Standards for conformance]                      
Storm doors--Aluminum:                                                  
  Storm Doors.............................  ANSI/AAMA 1 1102.7-89.      
  Sliding glass storm doors...............  ANSI/AAMA 1002.10-83.       
Wood storm doors..........................  ANSI/NWWDA 2 I.S. 6-86.     
Rigid vinyl storm doors...................  ASTM 3 D3678-88.            
Vestibules:                                                             
  Materials to construct vestibules.......  Commercially available.     
Replacement windows:                                                    
  Aluminum frame windows..................  ANSI/AAMA 101-88.           
  Steel frame windows.....................  Steel Window Institute      
                                             recommended specifications 
                                             for steel windows, 1990.   
  Wood frame windows......................  ANSI/NWWDA I.S. 2-87.       
  Rigid vinyl frame windows...............  ASTM D4099-89.              
------------------------------------------------------------------------
1 ANSI/AAMA indicates American National Standards Institute/American    
  Architectural Manufacturers Association.                              
2 ANSI/NWWDA indicates American National Standards Institute/National   
  Wood Window & Door Association.                                       
3 ASTM indicates American Society for Testing and Materials.            
                                                                        


                            Replacement Doors                           
                       [Standards for conformance]                      
Replacement doors--Hinged doors:                                        
  Steel doors.............................  ANSI/SDI 1 100-1985.        
Wood doors:                                                             
  Flush doors.............................  ANSI/NWWDA 2 I.S. 1-87.     
                                             (exterior door provisions) 
  Pine, fir, hemlock and spruce doors.....  ANSI/NWWDA I.S. 6-86.       

[[Page 540]]

                                                                        
Sliding patio doors:                                                    
  Aluminum doors..........................  ANSI/AAMA 3 101-88.         
  Wood doors..............................  NWWDA I.S. 3-83.            
------------------------------------------------------------------------
1 ANSI/SDI indicates American National Standards Institute/Steel Door   
  Institute.                                                            
2 ANSI/NWWDA indicates American National Standards Institute/National   
  Wood Window & Door Association.                                       
3 ANSI/AAMA indicates American National Standards Institute/American    
  Architectural Manufacturers Association.                              



                          Caulks and sealants:                          
                       [Standards for conformance]                      
Caulks and sealants:                                                    
  Putty...................................  FS\1\ TT-P-00791B, October  
                                             16, 1969 and Amendment 2,  
                                             March 23, 1971.            
  Glazing compounds for metal sash........  ASTM\2\ C669-75 (1989).     
  Oil and resin base caulks...............  ASTM C570-72 (1989).        
  Acrylic (solvent types) sealants........  FS TT-S-00230C, February 2, 
                                             1970 and Amendment 2,      
                                             October 9, 1970.           
  Butyl rubber sealants...................  FS TT-S-001657, October 8,  
                                             1970.                      
  Chlorosulfonated polyethylene sealants..  FS TT-S-00230C, February 2, 
                                             1970 and Amendment 2,      
                                             October 9, 1970.           
  Latex sealing compounds.................  ASTM C834-76 (1986).        
  Elastomeric joint sealants (normally      ASTM C920-87.               
   considered to include polysulfide,                                   
   polyurethane, and silicone).                                         
  Preformed gaskets and sealing materials.  ASTM C509-84.               
------------------------------------------------------------------------
\1\ FS indicates Federal Specifications.                                
\2\ ASTM indicates American Society for Testing and Materials.          



                            Weatherstripping                            
                       [Standards for conformance]                      
Weatherstripping..........................  Commercially available.     
Vapor retarders...........................  Selected according to the   
                                             provisions cited in ASTM   
                                             \1\ C755-85 (1990).        
                                             Permeance not greater than 
                                             1 perm when determined     
                                             according to the desiccant 
                                             method de- scribed in ASTM 
                                             E96-90.                    
Items to improve attic ventilation........  Commercially available.     
Clock thermostats.........................  NEMA \2\ DC 3-1989.         
------------------------------------------------------------------------
\1\ ASTM indicates American Society for Testing and Materials.          
\2\ NEMA indicates National Electrical Manufacturers Association.       



                             Heat Exchangers                            
                       [Standards for conformance]                      
Heat exchangers, water-to-water and steam-  ASME \1\ Boiler and Pressure
 to-water.                                   Vessel Code, 1992, Sections
                                             II, V, VIII, IX, and X, as 
                                             applicable to pressure     
                                             vessels. Standards of      
                                             Tubular Exchanger          
                                             Manufacturers Association, 
                                             Seventh Edition, 1988.     
Heat exchangers with gas-fired appliances   Conformance to AGA \3\      
 \2\.                                        Requirements for Heat      
                                             Reclaimer Devices for Use  
                                             with Gas-Fired Appliances  
                                             No. 1-80, June 1, 1980. AGA
                                             Laboratories Certification 
                                             Seal.                      
Heat pump water heating heat recovery       Electrical components to be 
 systems.                                    listed by UL .\4\          
------------------------------------------------------------------------
\1\ ASME indicates American Society of Mechanical Engineers.            
\2\ The heat reclaimer is for installation in a section of the vent     
  connector from appliances equipped with draft hoods or appliances     
  equipped with powered burners or induced draft and not equipped with a
  draft hood.                                                           
\3\ AGA indicates American Gas Association.                             
\4\ UL indicates Underwriters Laboratories.                             



                     Boiler/Furnace Control Systems                     
                       [Standards for conformance]                      
Automatic set back thermostats............  Listed by UL.\1\ Conformance
                                             to NEMA \2\ DC 3-1989.     
Line voltage or low voltage room            NEMA DC 3-1989.             
 thermostats.                                                           
Automatic gas ignition systems............  ANSI \3\ Z21.21-1987 and    
                                             Z21.21a-1989. AGA \4\      
                                             Laboratories Certification 
                                             Seal.                      
Energy management systems.................  Listed by UL.               
Hydronic boiler controls..................  Listed by UL.               
Other burner controls.....................  Listed by UL.               
------------------------------------------------------------------------
\1\ UL indicates Underwriters Laboratories.                             
\2\ NEMA indicates National Electrical Manufacturers Association.       
\3\ ANSI indicates American National Standards Institute.               
\4\ AGA indicates American Gas Association.                             



[[Page 541]]


                       Water Heater Modifications                       
                       [Standards for conformance]                      
Insulate tank and distribution piping.....  (See insulation section of  
                                             this appendix).            
Install heat traps on inlet and outlet      Applicable local plumbing   
 piping.                                     code.                      
Install/replace water heater heating        Listed by UL\1\.            
 elements.                                                              
Electric, freeze-prevention tape for pipes  Listed by UL.               
Reduce thermostat settings................  State or local              
                                             recommendations.           
Install stack damper, gas-fueled..........  ANS1 \2\ Z21.66-1988,       
                                             including Exhibits A&B, and
                                             ANSI Z223.1-1988.          
Install stack damper, oil-fueled..........  UL 17, November 28, 1988,   
                                             and NFPA \3\ 31-1987.      
Install water flow modifiers..............  Commercially available.     
------------------------------------------------------------------------
\1\ UL indicates Underwriters Laboratories.                             
\2\ ANSI indicates American National Standards Institute.               
\3\ NFPA indicates National Fire Prevention Association.                



                       Waste Heat Recovery Devices                      
                       [Standards for conformance]                      
Desuperheater/water heaters...............  ARI \1\ 470-1987.           
Condensing heat exchangers................  Commercially available      
                                             components and in new      
                                             heating furnace systems to 
                                             manufacturers'             
                                             specifications.            
Condensing heat exchangers................  Commercially available      
                                             (Commercial, multi-story   
                                             building, with teflon-lined
                                             tubes institutional) to    
                                             manufacturers'             
                                             specifications.            
Energy recovery equipment.................  Energy Recovery Equipment   
                                             and Systems Air-to-Air     
                                             (1978) Sheet Metal and Air-
                                             Conditioning Contractors   
                                             National Association       
                                             (SMACNA).\2\               
------------------------------------------------------------------------
\1\ ARI indicates Air Conditioning and Refrigeration Institute.         
\2\ SMACNA denotes Sheet Metal and Air Conditioning Contractors'        
  National Association.                                                 



         Boiler Repair and Modifications/Efficiency Improvements        
                       [Standards for conformance]                      
Install gas conversion burners............  ANSI \1\ Z21.8-1984, (for   
                                             gas or oil-fired systems)  
                                             ANSI Z21.17-1984, ANSI     
                                             Z21.17a-1990, and ANSI     
                                             Z223.1-1988. AGA \2\       
                                             Laboratories Certification 
                                             seal.                      
Replace oil burner                          UL \3\ 296, February 28,    
                                             1989 Revision and NFPA \4\ 
                                             31-1987.                   
Install burners (oil/gas)                   ANSI Z223.1-1988 for gas    
                                             equipment and NFPA 31-1987 
                                             for oil equipment.         
Re-adjust boiler water temperature or       ASME \5\ CSD-1-1988, ASME   
 install automatic boiler temperature        CSD-1a-1989, ANSI Z223.1-  
 reset control.                              1988, and NFPA 31-1987.    
Replace/modify boilers                      ASME Boiler and Pressure    
                                             Vessel Code, 1992, Sections
                                             II, IV, V, VI, VIII, IX,   
                                             and X. Boilers must be     
                                             Institute of Boilers and   
                                             Radiation Manufacturers    
                                             (IBR) equipment.           
Clean heat exchanger, adjust burner air     Per manufacturers'          
 shutter(s), check smoke no. on oil-fueled   instructions.              
 equipment. Check operation of pump(s) and                              
 replacement filters.                                                   
Repair combustion chambers................  Refractory linings may be   
                                             required for conversions.  
Replace heat exchangers, tubes............  Protection from flame       
                                             contact with conversion    
                                             burners by refractory      
                                             shield.                    
Install/replace thermostatic radiator       Commercially available. One 
 valves.                                     pipe steam systems require 
                                             air vents on each radiator;
                                             see manufacturers'         
                                             requirements.              
Install boiler duty cycle control system..  Commercially available. NFPA
                                             70, National Electrical    
                                             Code (NEC) 1993 and local  
                                             electrical codes provisions
                                             for wiring.                
------------------------------------------------------------------------
\1\ ANSI indicates American National Standards Institute.               
\2\ AGA indicates American Gas Association.                             
\3\ UL indicates Underwriters Laboratories.                             
\4\ NFPA indicates National Fire Prevention Association.                
\5\ ANSI/ASME indicates American National Standards Institute/American  
  Society of Mechanical Engineers.                                      




 Heating and Cooling System Repairs and Tune-ups/Efficiency Improvements
                       [Standards for conformance]                      
Install duct insulation...................  FS \1\ HH-I-558C, January 7,
                                             1992 (see insulation       
                                             sections of this appendix).

[[Page 542]]

                                                                        
Reduce input of burner; derate gas-fueled   Local utility company and   
 equipment.                                  procedures if applicable   
                                             for gas-fueled furnaces and
                                             ANSI \2\ Z223.1-1988 (NFPA 
                                             \3\ 54-1988) including     
                                             Appendix H.                
Repair/replace oil-fired equipment........  NFPA 31-1987.               
Replace combustion chamber in oil-fired     NFPA 31-1987.               
 furnaces or boilers.                                                   
Clean heat exchanger and adjust burner:     ANSI Z223.1-1988 (NFPA 54-  
 adjust air shutter and check CO2 and        1988) including Appendix H.
 stack temperature. Clean or replace air                                
 filter on forced air furnace.                                          
Install vent dampers for gas-fueled         Applicable sections of ANSI 
 heating systems.                            Z223.1-1988 (NFPA 54-1988) 
                                             including Appendices H, I, 
                                             J, and K. ANSI Z21.66-1988 
                                             and Exhibits A & B for     
                                             electrically operated      
                                             dampers.                   
Install vent dampers for oil-fueled         Applicable sections of NFPA 
 heating systems.                            31-1987 for installation   
                                             and in conformance with UL 
                                             \4\ 17, November 28, 1988. 
Reduce excess combustion air:                                           
  A: Reduce vent connector size of gas-     ANSI Z223.1-1988 (NFPA 54-  
   fueled appliances.                        1988) Part 9 and Appendices
                                             G & H.                     
  B: Adjust barometric draft regulator for  NFPA 31-1987 and per        
   oil fuels.                                manufacturers' (furnace or 
                                             boiler) instructions.      
Replace constant burning pilot with         ANSI Z21.71-1981, Z21.71a-  
 electric ignition device on gas-fueled      1985, and Z21.71b-1989.    
 furnaces or boilers.                                                   
Readjust fan switch on forced air gas or    Applicable sections and     
 oil-fueled furnaces.                        Appendix H of ANSI Z223.1- 
                                             1988 (NFPA 54-1988) for gas
                                             furnaces and NFPA 31-1987  
                                             for oil furnaces.          
Replace burners...........................  See power burners (oil/gas).
Install/replace duct furnaces (gas).......  ANSI Z223.1-1988 (NFPA 54-  
                                             1988).                     
Install/replace heat pumps................  Listed by UL.               
Replace air diffusers, intakes, registers,  Commercially available.     
 and grilles.                                                           
Install/replace warm air heating metal      Commercially available.     
 ducts.                                                                 
Filter alarm units........................  Commercially available.     
------------------------------------------------------------------------
\1\ FS indicates Federal Specifications.                                
\2\ ANSI indicates American National Standards Institute.               
\3\ NFPA indicates National Fire Prevention Association.                
\4\ UL indicates Underwriters Laboratories.                             
                                                                        


             Replacement Furnaces, Boilers, and Wood Stoves             
                       [Standards for conformance]                      
Chimneys, fireplaces, vents and solid fuel  NFPA\1\ 211-1988.           
 burning appliances.                                                    
Gas-fired furnaces........................  ANS1\2\ Z21.47-1987, Z21.47a-
                                             1988, and Z21.47b-1989.    
                                             ANSI Z223.1-1988 (NFPA 54- 
                                             1988).                     
Oil-fired furnaces........................  UL\3\ 727, August 27, 1991  
                                             Revision and NFPA 31-1987. 
Liquified petroleum gas storage...........  NFPA 58-1989.               
Ventilation fans:                                                       
  Including electric attic, ceiling, and    UL 507, August 23, 1990     
   whole house fans.                         Revision.                  
------------------------------------------------------------------------
\1\ NFPA indicates National Fire Prevention Association.                
\2\ ANSI indicates American National Standards Institute.               
\3\ UL indicates Underwriters Laboratories.                             




                 Air Conditioners and Cooling Equipment                 
                       [Standards for conformance]                      
Air conditioners:                                                       
  Central air conditioners................  ARI\1\ 210/240-1989.        
  Room size units.........................  ANSI/AHAM \2\ RAC-1-1982.   
Other cooling equipment:                                                
  Including evaporative coolers, heat       UL \3\ 1995, November 30,   
   pumps and other equipment.                1990.\4\                   
------------------------------------------------------------------------
\1\ ARI indicates Air Conditioning and Refrigeration Institute.         
\2\ AHAM/ANSI indicates American Home Appliance Manufacturers/American  
  National Standards Institute.                                         
\3\ UL indicates Underwriters Laboratories.                             
\4\ This standard is a general standard covering many different types of
  heating and cooling equipment.                                        
                                                                        




             Screens, Window Films, and Reflective Materials            
                       [Standards for conformance]                      
Insect screens............................  Commercially available.     

[[Page 543]]

                                                                        
Window films..............................  Commercially available.     
Shade screens:                                                          
  Fiberglass shade screens................  Commercially available.     
  Polyester shade screens.................  Commercially available.     
Rigid awnings:                                                          
  Wood rigid awnings......................  Commercially available.     
  Metal rigid awnings.....................  Commercially available.     
Louver systems:                                                         
  Wood louver systems.....................  Commercially available.     
  Metal louver systems....................  Commercially available.     
Industrial-grade white paint used as a      Commercially available.     
 heat-reflective measure on awnings,                                    
 window louvers, doors, and exterior duct                               
 work (exposed).                                                        
------------------------------------------------------------------------


[58 FR 12529, Mar. 4, 1993]



PART 445--[RESERVED]






PART 451--RENEWABLE ENERGY PRODUCTION INCENTIVES--Table of Contents




Sec.
451.1  Purpose and scope.
451.2  Definitions.
451.3  Who may apply.
451.4  What is a qualified renewable energy facility.
451.5  Where and when to apply.
451.6  Duration of incentive payments.
451.7  Metering requirements.
451.8  Application content requirements.
451.9  Procedures for processing applications.
451.10  Administrative appeals.

    Authority: 42 U.S.C. Sec. 7254; 42 U.S.C. Sec. 13317.

    Source: 60 FR 36964, July 19, 1995, unless otherwise noted.



Sec. 451.1  Purpose and scope.

    (a) The provisions of this part cover the policies and procedures 
applicable to the determinations by the Department of Energy (DOE) to 
make incentive payments for electric energy generated and sold by a 
qualified renewable energy facility owned by a State or nonprofit 
electric cooperative under the authority of 42 U.S.C. 13317.
    (b) Determinations to make incentive payments under this part are 
not subject to the provisions of 10 CFR part 600 and such payments shall 
not be construed to be financial assistance.



Sec. 451.2  Definitions.

    As used in this part--
    Closed-loop biomass means any organic material from a plant which is 
planted exclusively for purposes of being used at a qualified renewable 
energy facility to generate electricity or from a second harvesting of 
such a plant if planted before October 1, 1993.
    Deciding Official means the Assistant Secretary for Energy 
Efficiency and Renewable Energy (or any DOE official to whom the 
authority of the Assistant Secretary may be redelegated by the Secretary 
of Energy).
    DOE means the Department of Energy.
    Finance Office means the DOE Office of the Chief Financial Officer 
(or any office to which that Office's authority may be redelegated by 
the Secretary of Energy).
    Fiscal year means the Federal fiscal year beginning October 1 and 
ending on September 30 of the following calendar year.
    Net electric energy means the metered kilowatt-hours (kWh) generated 
and sold, and excludes electric energy used within the renewable energy 
facility to power equipment such as pumps, motors, controls, lighting, 
heating, cooling, and other systems needed to operate the facility.
    Nonprofit electrical cooperative means a cooperative association 
that is legally obligated to operate on a nonprofit basis and is 
organized under the laws of any State for the purpose of providing 
electric service to its members.
    Renewable energy facility means a single module or unit, or an 
aggregation of such units, that generates electric energy which is 
independently metered and which results from the utilization of a 
renewable energy source.
    Renewable energy source means solar heat, solar light, wind, 
geothermal energy, and biomass, except for--
    (1) Heat from the burning of municipal solid waste; or

[[Page 544]]

    (2) Heat from a dry steam geothermal reservoir which--
    (i) Has no mobile liquid in its natural state;
    (ii) Is a fluid composed of at least 95 percent water vapor; and
    (iii) Has an enthalpy for the total produced fluid greater than or 
equal to 2.791 megajoules per kilogram (1200 British thermal units per 
pound).
    State means the District of Columbia, Puerto Rico, and any of the 
States, territories, and possessions of the United States.



Sec. 451.3  Who may apply.

    Any owner, or operator with the written consent of the owner, but 
not both, of a qualified renewable energy facility, may apply for 
incentive payments for net electric energy generated from a renewable 
energy source and sold.



Sec. 451.4  What is a qualified renewable energy facility.

    In order to qualify for an incentive payment under this part, a 
renewable energy facility must meet the following qualifications--
    (a) Owner qualifications. The owner must be--
    (1) A State or a political subdivision of a State (or agency, 
authority, or instrumentality thereof);
    (2) A corporation or association wholly owned, directly or 
indirectly, by a State or a political subdivision of a State; or
    (3) A nonprofit electrical cooperative.
    (b) What constitutes ownership. The owner must have all rights to 
the beneficial use of the renewable energy facility, and legal title 
must be held by, or for the benefit of, the owner.
    (c) Sales affecting interstate commerce. The net electric energy 
generated by the renewable energy facility must be sold to another 
entity for consideration.
    (d) Type of renewable energy sources. The source of the electric 
energy for which an incentive payment is sought must be a renewable 
energy source, as defined in Sec. 451.2.
    (e) Time of first use. The date of the first use of a newly 
constructed renewable energy facility, or a facility covered by 
paragraph (f) of this section, must occur during the inclusive period 
beginning October 1, 1993, and ending on September 30, 2003.
    (f) Conversion of non-qualified facilities. Existing non-qualified 
facilities that are converted must meet either of the following 
criteria--
    (1) A facility employing solar, wind, geothermal or biomass sources 
must be refurbished during the allowed time of first use such that the 
fair market value of any previously used property does not exceed 20% of 
the facility's total value.
    (2) A facility not employing solar, wind, geothermal or biomass 
sources must be converted in part or in whole to a qualified facility 
during the allowed time of first use.
    (g) Location. The qualified renewable energy facility must be 
located in a State.



Sec. 451.5  Where and when to apply.

    (a) Pre-application and notification. (1) An applicant may submit at 
any time a pre-application, containing the information described in 
Sec. 451.8 (a) through (e), to obtain a preliminary and conditional 
determination of eligibility.
    (2) To assist DOE in its budget planning, the owner or operator of a 
qualified renewable energy facility is requested to provide notification 
at least 6 months in advance of when a facility is expected to be first 
used, providing projected information specified in Sec. 451.8 (a) 
through (e).
    (b) Application. (1) Except as provided by paragraph (b)(2) of this 
section, an application for an incentive payment for electric energy 
generated and sold in a fiscal year must be filed during the first 
quarter (October 1 through December 31) of the next fiscal year.
    (2) For energy generated and sold in fiscal year 1994, an 
application for incentive payment must be filed on or before September 
5, 1995.
    (3) Failure to file an application in any fiscal year for payment 
for energy generated in the preceding fiscal year shall disqualify the 
owner or operator from eligibility for any incentive payment for energy 
generated in that preceding fiscal year.

[[Page 545]]

    (c) Where. Applications and notifications to the Department shall be 
submitted to the Renewable Energy Production Incentive Program, U.S. 
Department of Energy, Golden Field Office, 1617 Cole Boulevard, Golden, 
CO, 80401.



Sec. 451.6  Duration of incentive payments.

    Subject to the availability of appropriated funds, DOE shall make 
incentive payments under this part with respect to a qualified renewable 
energy facility for 10 fiscal years. Such period shall begin with the 
fiscal year in which application for payment for electricity generated 
by the facility is first made and the facility is determined by DOE to 
be eligible for receipt of an incentive payment. The period for payment 
under this program ends with fiscal year 2013.



Sec. 451.7  Metering requirements.

    The net electric energy generated and sold (kilowatt-hours) by the 
owner or operator of a qualified renewable energy facility must be 
measured by a standard metering device that--
    (a) Meets generally accepted industry standards;
    (b) Is maintained in proper working order according to the 
instructions of its manufacturer; and
    (c) Is calibrated according to generally accepted industry 
standards.



Sec. 451.8  Application content requirements.

    An application for an incentive payment under this part must be 
signed by an authorized executive official and shall provide the 
following information--
    (a) A statement indicating that the applicant is the owner, of the 
facility or is the operator of the facility and has the written consent 
of an authorized executive official of the owner to file an application;
    (b) The name of the facility or other official designation;
    (c) The location and address of the facility and type of renewable 
energy source;
    (d) The name, address, and telephone number of a point of contact to 
respond to questions or requests for additional information;
    (e) A clear statement of how the application satisfies each and 
every part of the eligibility criteria under Sec. 451.4;
    (f) A statement of the annual and monthly metered net electric 
energy generated and sold during the prior fiscal year by the qualified 
renewable energy facility, measured in kilowatt-hours, for which an 
incentive payment is requested;
    (g) In the case of a qualified renewable energy facility which 
generates electric energy using a fossil fuel, nuclear energy, or other 
non-qualified energy source in addition to using a renewable energy 
source, a statement of the net electric energy generated, measured in 
kilowatt-hours, attributable to the renewable energy source, including a 
calculation showing the total monthly and annual kilowatt-hours 
generated and sold during the fiscal year multiplied by a fraction 
consisting of the heat input, as measured in appropriate energy units, 
received by the working fluid from the renewable energy sources divided 
by the heat input, as measured in the same energy units, received by the 
working fluid from all energy sources;
    (h) the amounts of accrued electric energy, by sources and by year, 
in kilowatt-hours, for which the applicant previously applied and DOE 
did not make an incentive payment because of insufficient 
appropriations;
    (i) The total amount of electric energy for which payment is 
requested, including the net electric energy generated in the prior 
fiscal year, as determined according to paragraph (f) or (g) of this 
section, and the accrued energy as determined according to paragraph (h) 
of this section;
    (j) Preferred method of payment (check or wire transfer) and 
instructions;
    (k) A statement agreeing to retain records for a period of three (3) 
years which substantiate the annual and monthly metered number of 
kilowatt-hours generated and sold, and to provide access to, or copies 
of, such records within 30 days of a written request by DOE; and
    (l) A statement signed by an authorized executive official 
certifying that

[[Page 546]]

the information contained in the application is accurate.
    (m) If a nonprofit electric cooperative, a statement certifying that 
no claim for tax credit has been made for the same electricity for which 
incentive payments are requested.



Sec. 451.9  Procedures for processing applications.

    (a) Supplemental information. DOE may request supplementary 
information relating to the application.
    (b) Audits. DOE may require the applicant to conduct at its own 
expense and submit an independent audit, or DOE may conduct an audit, to 
verify the number of kilowatt-hours claimed to have been generated and 
sold by the qualified renewable energy facility and for which an 
incentive payment has been requested or made.
    (c) DOE determinations. Upon evaluating the application and any 
other relevant information, DOE shall determine:
    (1) Eligibility of the applicant for receipt of an incentive 
payment, based on the criteria for eligibility specified in this part; 
and
    (2) The number of kilowatt-hours to be used in calculating the 
incentive payment, based on the sum of net electric energy generated 
from a qualified renewable energy source at the qualified renewable 
energy facility and sold during the prior fiscal year, and any accrued 
energy.
    (d) Calculating payments. Subject to the provisions of paragraph (e) 
of this section, incentive payments under this part shall be determined 
by multiplying the number of kilowatt-hours determined under 
Sec. 451.9(c)(2) by 1.5 cents per kilowatt-hour, and adjusting that 
product for inflation for each fiscal year beginning after calendar year 
1993 in the same manner as provided in section 29(d)(2)(B) of the 
Internal Revenue Code of 1986, except that in applying such provisions 
calendar year 1993 shall be substituted for calendar year 1979.
    (e) Insufficient Funds. The Assistant Secretary for Energy 
Efficiency and Renewable Energy shall determine the extent to which 
appropriated funds are available to be obligated under this program for 
each fiscal year. If funds determined to be available under the 
preceding sentence are not sufficient to make full incentive payments 
for all approved applications, DOE shall--
    (1) Make incentive payments first, and if necessary on a pro rata 
basis, to owners or operators of qualified renewable energy facilities 
using solar, wind, geothermal, and closed-loop biomass technologies;
    (2) Make incentive payments second, and if necessary on a pro rata 
basis, to owners or operators of all other qualified renewable energy 
facilities.
    (3) Treat the number of kilowatt-hours for which an incentive 
payment is not made as a result of insufficient appropriations as 
accrued energy for which subsequent application for incentive payment 
may be made.
    (f) Notice to applicant. After calculating the amount of the 
incentive payment under paragraphs (e) through (g) of this section, the 
DOE Deciding Official shall then issue a written notice of the 
determination to the applicant--
    (1) Approving the application as eligible for payment and forwarding 
a copy to the DOE Finance Office with a request to pay;
    (2) Setting forth the calculation of the approved amount of the 
incentive payment; and
    (3) Stating the amount of accrued energy, measured in kilowatt-
hours, for each qualified renewable energy facility, if any, and the 
energy source for same.
    (g) Disqualification. If the application does not meet the 
requirements of this part or some of the kilowatt-hours claimed in the 
application are disallowed as unqualified, the Deciding Official shall 
issue a written notice denying the application in whole or in part with 
an explanation of the basis for denial.



Sec. 451.10  Administrative appeals.

    (a) In order to exhaust administrative remedies, an applicant who 
receives a notice denying an application in whole or in part shall 
appeal, on or before 45 days from date of the notice issued by the DOE 
Deciding Official, to the Office of Hearings and Appeals, 1000 
Independence Avenue, S.W., Washington, D.C. 20585, in accordance with 
the procedures set forth in subpart C of 10 CFR part 1003.

[[Page 547]]

    (b) If an applicant does not appeal under paragraph (a) of this 
section, the determination of the DOE Deciding Official shall become 
final for DOE and judicially unreviewable.
    (c) If an applicant appeals on a timely basis under paragraph (a) of 
this section, the decision and order of the Office of Hearings and 
Appeals shall be final for DOE.
    (d) If the Office of Hearings and Appeals orders an incentive 
payment, the DOE Deciding Official shall send a copy of such order to 
the DOE Finance Office with a request to pay.



PART 455--GRANT PROGRAMS FOR SCHOOLS AND HOSPITALS AND BUILDINGS OWNED BY UNITS OF LOCAL GOVERNMENT AND PUBLIC CARE INSTITUTIONS--Table of Contents




                      Subpart A--General Provisions

Sec.
455.1  Purpose and scope.
455.2  Definitions.
455.3  Administration of grants.
455.4  Recordkeeping.
455.5  Suspension and termination of grants.

             Subpart B--State Plan Development and Approval

455.20  Contents of State Plan.
455.21  Submission and approval of State Plans and State Plan 
          amendments.

        Subpart C--Allocation of Appropriations Among the States

455.30  Allocation of funds.
455.31  Allocation formulas.
455.32  Reallocation of funds.

 Subpart D--Preliminary Energy Audit and Energy Audit Grants [Reserved]

 Subpart E--Technical Assistance Programs for Schools, Hospitals, Units 
            of Local Government, and Public Care Institutions

455.60  Purpose.
455.61  Eligibility.
455.62  Contents of a technical assistance program.
455.63  Cost-effectiveness testing.
455.64  Life-cycle cost methodology.

    Subpart F--Energy Conservation Measures for Schools and Hospitals

455.70  Purpose.
455.71  Eligibility.
455.72  Scope of the grant.

                Subpart G--State Administrative Expenses

455.80  Purpose.
455.81  Eligibility.
455.82  Scope of the grant.

 Subpart H--State Grants for Technical Assistance, Program Assistance, 
                              and Marketing

455.90  Purpose.
455.91  Eligibility.
455.92  State technical assistance awards.

                         Subpart I--Cost Sharing

455.100  Limits to Federal share.
455.101  Borrowing the non-Federal share/title to equipment.
455.102  Energy conservation measure cost-share credit.
455.103  Requirements for applications for credit.
455.104 Rebates from utilities and other entities.

   Subpart J--Applicant Responsibilities--Grants to Institutions and 
                          Coordinating Agencies

455.110  Grant application submittals for technical assistance and 
          energy conservation measures.
455.111  Applicant certifications for technical assistance and energy 
          conservation measure grants to institutions and coordinating 
          agencies.
455.112  Davis-Bacon wage rate requirement.
455.113  Grantee records and reports for technical assistance and energy 
          conservation measure grants to institutions and coordinating 
          agencies.

         Subpart K--Applicant Responsibilities--Grants to States

455.120  Grant applications for State administrative expenses.
455.121  Grant applications for State technical assistance, program 
          assistance, and marketing programs.
455.122  Applicant certifications for State grants for technical 
          assistance, program assistance, and marketing.
455.123  Grantee records and reports for State grants for administrative 
          expenses, technical assistance, program assistance, and 
          marketing.

[[Page 548]]

                    Subpart L--State Responsibilities

455.130  State evaluation of grant applications.
455.131  State ranking of grant applications.
455.132  State evaluation of requests for severe hardship assistance.
455.133  Forwarding of applications from institutions and coordinating 
          agencies for technical assistance and energy conservation 
          measure grants.
455.134  Forwarding of applications for State grants for technical 
          assistance, program assistance, and marketing.
455.135  State liaison, monitoring, and reporting.

                         Subpart M--Grant Awards

455.140  Approval of applications from institutions and coordinating 
          agencies for technical assistance and energy conservation 
          measures.
455.141  Grant awards for units of local government, public care 
          institutions, and coordinating agencies.
455.142  Grant awards for schools, hospitals, and coordinating agencies.
455.143  Grant awards for State administrative expenses.
455.144  Grant awards for State programs to provide technical 
          assistance, program assistance, and marketing.

                    Subpart N--Administrative Review

455.150  Right to administrative review.
455.151  Notice requesting administrative review.
455.152  Transmittal of record on review.
455.153  Review by the Deputy Assistant Secretary.
455.154  Discretionary review by the Assistant Secretary.
455.155  Finality of decision.

    Authority: 42 U.S.C. 6371 et seq., and 42 U.S.C. 7101 et seq.
    Source: 58 FR 9438, Feb. 19, 1993, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 455.1  Purpose and scope.

    (a) This part establishes programs of financial assistance pursuant 
to Title III of the Energy Policy and Conservation Act, as amended, 42 
U.S.C. 6371 et seq.
    (b) This part authorizes grants to States or to public or non-profit 
schools and hospitals to assist them in conducting preliminary energy 
audits and energy audits, in identifying and implementing energy 
conservation maintenance and operating procedures, and in evaluating, 
acquiring, and installing energy conservation measures, including 
renewable resource measures, to reduce the energy use and anticipated 
energy costs of buildings owned by schools and hospitals.
    (c) This part also authorizes grants to States or units of local 
government and public care institutions to assist them in conducting 
preliminary energy audits and energy audits, in identifying and 
implementing energy conservation maintenance and operating procedures, 
and in evaluating energy conservation measures, including renewable 
resource measures, to reduce the energy use and anticipated energy costs 
of buildings owned by units of local government and public care 
institutions.



Sec. 455.2  Definitions.

    Act, as used in this part, means the Energy Policy and Conservation 
Act, Public Law 94-163, 89 Stat. 871 (42 U.S.C. 6201, et seq.), as 
amended by title III of the National Energy Conservation Policy Act, 
Public Law 95-619, 92 Stat. 3238 (42 U.S.C. 6371), and the State Energy 
Efficiency Programs Improvement Act of 1990, Public Law 101-440, 104 
Stat. 1011.
    Assistant Secretary means the Assistant Secretary for Conservation 
and Renewable Energy or any official to whom the Assistant Secretary's 
functions may be redelegated by the Secretary.
    Auditor means any person who is qualified in accordance with 10 CFR 
450.44 and with State requirements pursuant to Sec. 455.20(k), to 
conduct an energy audit.
    Building means any structure, including a group of closely situated 
structural units that are centrally metered or served by a central 
utility plant, or an eligible portion thereof, the construction of which 
was completed on or before May 1, 1989, which includes a heating or 
cooling system, or both.
    Civil rights requirements means civil rights responsibilities of 
applicants and grantees pursuant to the Nondiscrimination in Federally 
Assisted Programs regulation of the Department of Energy (10 CFR part 
1040).
    Complex means a closely situated group of buildings on a contiguous 
site

[[Page 549]]

such as a school or college campus or multibuilding hospital.
    Construction completion means the date of issuance of an occupancy 
permit for a building or the date the building is ready for occupancy as 
determined by DOE.
    Cooling degree days means the annual sum of the number of Fahrenheit 
degrees of each day's mean temperature above 65 deg. for a given 
locality.
    Coordinating agency means a State or any public or nonprofit 
organization legally constituted within a State which provides either 
administrative control or services for a group of institutions within a 
State and which acts on behalf of such institutions with respect to 
their participation in the program.
    Deputy Assistant Secretary means the Deputy Assistant Secretary for 
Technical and Financial Assistance or any official to whom the Deputy 
Assistant Secretary's functions may be redelegated by the Assistant 
Secretary.
    DOE means the Department of Energy.
    Energy audit means a determination of the energy consumption 
characteristics of a building which:
    (1) Identifies the type, size, and rate of energy consumption of 
such building and the major energy-using systems of such building;
    (2) Determines appropriate energy conservation maintenance and 
operating procedures;
    (3) Indicates the need, if any, for the acquisition and installation 
of energy conservation measures; and
    (4) If paid for with financial assistance under this part, complies 
with 10 CFR 450.43.
    Energy conservation maintenance and operating procedures means 
modifications in the maintenance and operations of a building and any 
installation therein which are designed to reduce the energy consumption 
in such building and which require no significant expenditure of funds, 
including, but not limited to:
    (1) Effective operation and maintenance of ventilation systems and 
control of infiltration conditions, including:
    (i) Repair of caulking or weatherstripping around windows and doors;
    (ii) Reduction of outside air intake, shutting down ventilation 
systems in unoccupied areas, and shutting down ventilation systems when 
the building is not occupied; and
    (iii) Assuring central or unitary ventilation controls, or both, are 
operating properly;
    (2) Changes in the operation and maintenance of heating or cooling 
systems through:
    (i) Lowering or raising indoor temperatures;
    (ii) Locking thermostats;
    (iii) Adjusting supply or heat transfer medium temperatures; and
    (iv) Reducing or eliminating heating or cooling at night or at times 
when a building or complex is unoccupied;
    (3) Changes in the operation and maintenance of lighting systems 
through:
    (i) Reducing illumination levels;
    (ii) Maximizing use of daylight;
    (iii) Using higher efficiency lamps; and
    (iv) Reducing or eliminating evening cleaning of buildings;
    (4) Changes in the operation and maintenance of water systems 
through:
    (i) Repairing leaks;
    (ii) Reducing the quantity of water used, e.g., using flow 
restrictors;
    (iii) Lowering settings for hot water temperatures; and
    (iv) Raising settings for chilled water temperatures;
    (5) Changes in the maintenance and operating procedures of the 
building's mechanical systems through:
    (i) Cleaning equipment;
    (ii) Adjusting air/fuel ratio;
    (iii) Monitoring combustion;
    (iv) Adjusting fan, motor, or belt drive systems;
    (v) Maintaining steam traps; and
    (vi) Repairing distribution pipe insulation; and
    (6) Such other actions relating to operations and maintenance 
procedures as the State may determine useful or necessary. In general, 
energy conservation maintenance and operating procedures involve 
cleaning, repairing or adjusting existing equipment rather than 
acquiring new equipment.

[[Page 550]]

    Energy conservation measure means an installation or modification of 
an installation in a building which is primarily intended to maintain 
(in the case of load management systems) or reduce energy consumption 
and reduce energy costs, or allow the use of an alternative energy 
source, including, but not limited to:
    (1) Insulation of the building structure and systems within the 
building;
    (2) Storm windows and doors, multiglazed windows and doors, heat- 
absorbing or heat-reflective glazed and coated windows and door systems, 
additional glazing, reductions in glass area, and other window and door 
systems modifications;
    (3) Automatic energy control systems which would reduce energy 
consumption;
    (4) Load management systems which would shift demand for energy from 
peak hours to hours of low demand and lower cost;
    (5) Equipment required to operate variable steam, hydraulic, and 
ventilating systems adjusted by automatic energy control systems;
    (6) Active or passive solar space heating or cooling systems, solar 
electric generating systems, or any combination thereof;
    (7) Active or passive solar water heating systems;
    (8) Furnace or utility plant and distribution system modifications 
including:
    (i) Replacement burners, furnaces, boilers, or any combination 
thereof which substantially increase the energy efficiency of the 
heating system;
    (ii) Devices for modifying flue openings which will increase the 
energy efficiency of the heating system;
    (iii) Electrical or mechanical furnace ignition systems which 
replace standing gas pilot lights; and
    (iv) Utility plant system conversion measures including conversion 
of existing oil- and gas-fired boiler installations to alternative 
energy sources;
    (9) Addition of caulking and weatherstripping;
    (10) Replacement or modification of lighting fixtures (including 
exterior light fixtures which are physically attached to, or connected 
to, the building) to increase the energy efficiency of the lighting 
system without increasing the overall illumination of a facility, unless 
such increase in illumination is necessary to conform to any applicable 
State or local building code or, if no such code applies, the increase 
is considered appropriate by DOE;
    (11) Energy recovery systems;
    (12) Cogeneration systems which produce steam or forms of energy 
such as heat as well as electricity for use primarily within a building 
or a complex of buildings owned by an eligible institution and which 
meet such fuel efficiency requirements as DOE may by rule prescribe;
    (13) Such other measures as DOE identifies by rule for purposes of 
this part as set forth in subpart D of 10 CFR part 450; and
    (14) Such other measures as a grant applicant shows will save a 
substantial amount of energy and as are identified in an energy audit or 
energy use evaluation in accordance with Sec. 455.20(k) or a technical 
assistance report in accordance with Sec. 455.62.
    Energy use evaluation means a determination of:
    (1) Whether the building is a school facility, hospital facility, or 
a building owned and primarily occupied and used throughout the year by 
a unit of local government or by a public care institution.
    (2) The name and address of the owner of record, indicating whether 
owned by a public institution, private nonprofit institution, or an 
Indian tribe;
    (3) The building's potential suitability for renewable resource 
applications;
    (4) Major changes in functional use or mode of operation planned in 
the next 15 years, such as demolition, disposal, rehabilitation, or 
conversion from office to warehouse;
    (5) Appropriate energy conservation maintenance and operating 
procedures which have been implemented for the building;
    (6) The need, if any, for the acquisition and installation of energy 
conservation measures including an assessment of the estimated costs and 
energy and cost savings likely to result from the purchase and 
installation of

[[Page 551]]

one or more energy conservation measures and an evaluation of the need 
and potential for retrofit based on consideration of one or more of the 
following:
    (i) An energy use index or indices, for example, Btu's per gross 
square foot per year;
    (ii) An energy cost index or indices, for example, annual energy 
costs per gross square foot; or
    (iii) The physical characteristics of the building envelope and 
major energy-using systems; and
    (7) Such other information as the State has determined useful or 
necessary, in accordance with Sec. 455.20(k).
    Fuel means any commercial source of energy used within the building 
or complex being surveyed such as natural gas, fuel oil, electricity, or 
coal.
    Governor means the chief executive officer of a State including the 
Mayor of the District of Columbia or a person duly designated in writing 
by the Governor to act on her or his behalf.
    Grant program cycle means the period of time specified by DOE which 
relates to the fiscal year or years for which monies are appropriated 
for grants under this part, during which one complete cycle of DOE grant 
activity occurs including fund allocations to the States; applications 
receipt, review, approval, or disapproval; and award of grants by DOE 
but which does not include the grantee's performance period.
    Grantee means the entity or organization named in the Notice of 
Financial Assistance Award as the recipient of the grant.
    Gross square feet means the sum of all heated or cooled floor areas 
enclosed in a building, calculated from the outside dimensions or from 
the centerline of common walls.
    Heating or cooling system means any mechanical system for heating, 
cooling, or ventilating areas of a building including a system of 
through-the-wall air conditioning units.
    Heating degree days means the annual sum of the number of Fahrenheit 
degrees for each day's mean temperature below 65 deg. for a given 
locality.
    Hospital means a public or nonprofit institution which is a general 
hospital, tuberculosis hospital, or any other type of hospital other 
than a hospital furnishing primarily domiciliary care and which is duly 
authorized to provide hospital services under the laws of the State in 
which it is situated.
    Hospital facilities means buildings housing a hospital and related 
facilities including laboratories, laundries, outpatient departments, 
nurses' residence and training facilities, and central service 
facilities operated in connection with a hospital; it also includes 
buildings containing education or training facilities for health 
profession personnel operated as an integral part of a hospital.
    Indian tribe means any tribe, band, nation, or other organized group 
or community of Indians including any Alaska native village or regional 
or village corporation, as defined in or established pursuant to, the 
Alaska Native Claims Settlement Act, Public Law 92-203; 85 Stat. 688, 
which (a) is recognized as eligible for the special programs and 
services provided by the United States to Indians because of their 
status as Indians; or (b) is located on, or in proximity to, a Federal 
or State reservation or rancheria.
    Load management system means a device or devices which are designed 
to shift energy use to hours of low demand in order to reduce energy 
costs and which do not cause more energy to be used than was used before 
their installation.
    Local educational agency means a public board of education or other 
public authority or a nonprofit institution legally constituted within, 
or otherwise recognized by, a State either for administrative control or 
direction of, or to perform administrative services for, a group of 
schools within a State.
    Maintenance means activities undertaken in a building to assure that 
equipment and energy-using systems operate effectively and efficiently.
    Marketing means a program or activity managed or performed by the 
State including but not limited to:
    (1) Obtaining non-Federal funds to finance energy conservation 
measures consistent with this part;
    (2) Making site visits to school and hospital officials to review 
program opportunities;
    (3) Giving presentations to groups such as school or hospital board 
officials and personnel; and

[[Page 552]]

    (4) Preparing and disseminating articles in publications directed to 
school and hospital personnel.
    Native American means a person who is a member of an Indian tribe.
    Non-Federal funds means financing sources obtained or arranged for 
by a State as a result of the State program(s) pursuant to 
Sec. 455.20(j), to be used to pay for energy conservation measures for 
institutions eligible under this part, and includes petroleum violation 
escrow funds except for those funds required to be treated as if they 
were Federal funds by statute, court order, or settlement agreement.
    Operating means the operation of equipment and energy-using systems 
in a building to achieve or maintain specified levels of environmental 
conditions of service.
    Owned or owns means property interest including without limitation a 
leasehold interest which is or shall become a fee simple title in a 
building or complex.
    Preliminary energy audit means a determination of the energy 
consumption characteristics of a building including the size, type, rate 
of energy consumption, and major energy-using systems of such building 
which if paid for with financial assistance under this part, complies 
with 10 CFR 450.42.
    Primarily occupied means that in excess of 50 percent of a 
building's square footage or time of occupancy is occupied by a public 
care institution or an office or agency of a unit of local government.
    Program assistance means a program or activity managed or performed 
by the State and designed to provide support to eligible institutions to 
help ensure the effectiveness of energy conservation programs carried 
out consistent with this part including such relevant activities as:
    (1) Evaluating the services and reports of consulting engineers;
    (2) Training school or hospital personnel to perform energy 
accounting and to identify and implement energy conservation maintenance 
and operating procedures;
    (3) Monitoring the implementation and operation of energy 
conservation measures; and
    (4) Aiding in the procurement of energy-efficient equipment.
    Public care institution means a public or nonprofit institution 
which owns:
    (1) A facility for long-term care, rehabilitation facility, or 
public health center, as described in section 1624 of the Public Health 
Service Act (42 U.S.C. 300s-3; 88 Stat. 2270); or
    (2) A residential child care center which is an institution, other 
than a foster home, operated by a public or nonprofit institution. It is 
primarily intended to provide full-time residential care, with an 
average length of stay of at least 30 days, for at least 10 minor 
persons who are in the care of such institution as a result of a finding 
of abandonment or neglect or of being persons in need of treatment or 
supervision.
    Public or nonprofit institution means an institution owned and 
operated by:
    (1) A State, a political subdivision of a State, or an agency or 
instrumentality of either; or
    (2) A school or hospital which is, or would be in the case of such 
entities situated in American Samoa, Guam, the Commonwealth of Puerto 
Rico, the Commonwealth of the Northern Mariana Islands, and the U.S. 
Virgin Islands, exempt from income tax under section 501(c)(3) of the 
Internal Revenue Code of 1954; or
    (3) A unit of local government or public care institution which is, 
or would be in the case of such entities situated in American Samoa, 
Guam, the Commonwealth of Puerto Rico, the Commonwealth of the Northern 
Mariana Islands, and the U.S. Virgin Islands, exempt from income tax 
under section 501(c)(3) or 501(c)(4) of the Internal Revenue Code of 
1954.
    Renewable resource energy conservation measure means an energy 
conservation measure which produces at least 50 percent of its Btu's 
from a non-depletable energy source.
    School means a public or nonprofit institution which:
    (1) Provides, and is legally authorized to provide, elementary 
education or secondary education, or both, on a day or residential 
basis;

[[Page 553]]

    (2) Provides, and is legally authorized to provide, a program of 
education beyond secondary education, on a day or residential basis and:
    (i) Admits as students only persons having a certificate of 
graduation from a school providing secondary education, or the 
recognized equivalent of such certificate;
    (ii) Is accredited by a nationally recognized accrediting agency or 
association; and
    (iii) Provides an educational program for which it awards a 
bachelor's degree or higher degree or provides not less than a 2-year 
program which is acceptable for full credit toward such a degree at any 
institution which meets the preceding requirements and which provides 
such a program;
    (3) Provides not less than a 1-year program of training to prepare 
students for gainful employment in a recognized occupation and which 
meets the provisions cited in paragraph (2), and subparagraphs (2)(i), 
and (2)(ii) of this definition; or
    (4) Is a local educational agency.
    School facilities means buildings housing classrooms, laboratories, 
dormitories, administrative facilities, athletic facilities, or related 
facilities operated in connection with a school.
    Secretary means the Secretary of the Department of Energy or his/her 
designee.
    State means, in addition to the several States of the Union, the 
District of Columbia, the Commonwealth of Puerto Rico, Guam, American 
Samoa, the Commonwealth of the Northern Mariana Islands, and the U.S. 
Virgin Islands.
    State energy agency means the State agency responsible for 
developing State energy conservation plans pursuant to section 362 of 
the Energy Policy and Conservation Act (42 U.S.C. 6322) or, if no such 
agency exists, a State agency designated by the Governor of such State 
to prepare and submit the State Plan required under section 394 of the 
Energy Policy and Conservation Act.
    State hospital facilities agency means an existing agency which is 
broadly representative of the public hospitals and the nonprofit 
hospitals or, if no such agency exists, an agency designated by the 
Governor of such State which conforms to the requirements of this 
definition.
    State school facilities agency means an existing agency which is 
broadly representative of public institutions of higher education, 
nonprofit institutions of higher education, public elementary and 
secondary schools, nonprofit elementary and secondary schools, public 
vocational education institutions, nonprofit vocational education 
institutions, and the interests of handicapped persons in a State or, if 
no such agency exists, an agency which is designated by the Governor of 
such State which conforms to the requirements of this definition.
    Support office director means the Director of the DOE field support 
office with the responsibility for grant administration or any official 
to whom that function may be redelegated.
    Technical assistance means: (1) The conduct of specialized studies 
to identify and specify energy savings or energy cost savings that are 
likely to be realized as a result of the modification of maintenance and 
operating procedures in a building, the acquisition and installation of 
one or more specified energy conservation measures in a building, or 
both; and
    (2) The planning or administration of such specialized studies. For 
schools and hospitals which are eligible to receive grants to carry out 
energy conservation measures, the term also means the planning or 
administration of specific remodeling, renovation, repair, replacement, 
or insulation projects related to the installation of energy 
conservation or renewable resource measures in a building.
    Technical assistance program update means a brief revision to an 
existing technical assistance program report designed to provide current 
information such as that relating to energy use, equipment costs, and 
other data needed to substantiate an application for an energy 
conservation measure grant. Such an update shall be limited to the 
particular measures included in the related grant application together 
with any relevant data regarding interactions or relationships to 
previously installed energy conservation measures.

[[Page 554]]

    Unit of local government means the government of a county, 
municipality, parish, borough, or township which is a unit of general 
purpose government below the State (determined on the basis of the same 
principles as are used by the Bureau of the Census for general 
statistical purposes) and the District of Columbia. Such term also means 
the recognized governing body of an Indian tribe which governing body 
performs substantial governmental functions and includes libraries which 
serve all residents of a political subdivision below the State level 
(such as a community, district, or region) free of charge and which 
derive at least 40 percent of their operating funds from tax revenues of 
a taxing authority below the State level.



Sec. 455.3  Administration of grants.

    Grants provided under this part shall comply with applicable law, 
regulation, or procedure including, without limitation, the requirements 
of:
    (a) The DOE Financial Assistance Rules (10 CFR part 600 as amended) 
except as otherwise provided in this rule;
    (b) Executive Order 12372 entitled ``Intergovernmental Review of 
Federal Programs'' (48 FR 3130, January 24, 1983; 3 CFR, 1982 Comp., p. 
197) and the DOE regulation implementing this Executive Order entitled 
``Intergovernmental Review of Department of Energy Programs and 
Activities'' (10 CFR part 1005);
    (c) Office of Management and Budget Circular A-97 entitled ``Rules 
and Regulations Permitting Federal Agencies to Provide Specified or 
Technical Services to State and Local Units of Government under title 
III of the Inter-Governmental Coordination Act of 1968'' available from 
the Office of Management and Budget, Office of Publication Services, 725 
17th Street, NW., Washington, DC 20503;
    (d) DOE regulation entitled ``Nondiscrimination in Federally 
Assisted Programs'' (10 CFR part 1040) which implements the following 
public laws: Title VI of the Civil Rights Act of 1964; section 16 of the 
Federal Energy Administration Act of 1974; section 401 of the Energy 
Reorganization Act of 1974; title IX of the Education Amendments of 
1972; The Age Discrimination Act of 1975; and section 504 of the 
Rehabilitation Act of 1973; and
    (e) Such other procedures applicable to this part as DOE may from 
time to time prescribe for the administration of financial assistance.



Sec. 455.4  Recordkeeping.

    Each State or other entity within a State receiving financial 
assistance under this part shall make and retain records required and 
specified by the DOE Financial Assistance Rules, 10 CFR part 600, and 
this part.



Sec. 455.5  Suspension and termination of grants.

    Suspension and termination procedures shall be as set forth in the 
DOE Financial Assistance Rules, 10 CFR part 600.



             Subpart B--State Plan Development and Approval



Sec. 455.20  Contents of State Plan.

    Each State shall develop and submit to DOE a State Plan for 
technical assistance programs and energy conservation measures, 
including renewable resource measures and, to the extent appropriate, 
program assistance, and/or marketing. The State Plan shall include:
    (a) A statement setting forth the procedures by which the views of 
eligible institutions or coordinating agencies representing such 
institutions, or both, were solicited and considered during development 
of the State Plan and any amendment to a State Plan;
    (b) The procedures the State will follow to notify eligible 
institutions and coordinating agencies of the content of the approved 
State Plan or any approved amendment to a State Plan;
    (c) The procedures the State will follow to notify eligible 
institutions and coordinating agencies of the availability (each funding 
cycle) of funding under this program and related funding available from 
non-Federal sources to fund technical assistance programs and energy 
conservation measures consistent with this part;
    (d) The procedures for submittal of grant applications to the State;

[[Page 555]]

    (e) The procedures to be used by the State for evaluating and 
ranking technical assistance and energy conservation measure grant 
applications pursuant to Sec. 455.130 and Sec. 455.131, including the 
weights assigned to each criterion set forth in Secs. 455.131 (c)(1), 
(c)(2), (c)(3), (c)(4) and (c)(5). In addition, the State shall 
determine the order of priority given to fuel types that include oil, 
natural gas, and electricity, under Sec. 455.131(c)(2);
    (f) The procedures that the State will follow to insure that funds 
will be allocated equitably among eligible applicants within the State 
including procedures to insure that funds will not be allocated on the 
basis of size or type of institution, but rather on the basis of 
relative need, taking into account such factors as cost, energy 
consumption, and energy savings, in accordance with Sec. 455.131;
    (g) The procedures that the States will follow for identifying 
schools and hospitals experiencing severe hardship and for apportioning 
the funds that are available for schools and hospitals in a case of 
severe hardship. Such policies and procedures shall be in accordance 
with Sec. 455.132;
    (h) A statement setting forth the extent to which, and by which 
methods, the State will encourage utilization of solar space heating, 
cooling and electric systems, and solar water heating systems;
    (i) The procedures to assure that all financial assistance under 
this part will be expended in compliance with the requirements of the 
State Plan, in compliance with the requirements of this part, and in 
coordination with other State and Federal energy conservation programs;
    (j) If a State is eligible and elects to use up to 100 percent of 
the funds provided by DOE under this part for any fiscal year for 
program and technical assistance and/or up to 50 percent of such funds 
for marketing:
    (1) A description of each activity the State proposes, including the 
procedures for program operation, monitoring, and evaluation;
    (2) The level of funding to be used for each program and the source 
of those funds;
    (3) The amount of the State's allocated funds that the State 
proposes to use for each;
    (4) A description of the non-Federal financing mechanisms to be used 
to fund energy conservation measures in the State during the fiscal 
year;
    (5) A description of the evaluation/selection criteria to be used by 
the State in determining which institutions receive funding for energy 
conservation measures;
    (6) The procedures for assuring that all segments of the State's 
eligible institutions, including religiously affiliated institutions 
receive an equitable share of the assistance provided both for program 
and technical assistance, marketing, and energy conservation measures;
    (7) A description of how the State will track: the amount of total 
available funds by source; the amount of funds obligated against those 
funds; and any limits on types of institutions eligible for particular 
funding sources; and
    (8) The procedures for assisting institutions which initially 
receive program, technical, or marketing assistance (as part of the 
State's special program(s)) in later participating in the State's 
program(s) to provide energy conservation measure funding;
    (k) The requirements for an energy audit or an energy use 
evaluation, and the requirements for qualifications for auditors or 
persons who will conduct energy use evaluations in the State;
    (l) With regard to energy conservation maintenance and operating 
procedures:
    (1) The procedures to insure implementation of energy conservation 
maintenance and operating procedures in those buildings for which 
financial assistance is requested under this part;
    (2) A provision that all maintenance and operating procedure changes 
recommended in an energy audit pursuant to Sec. 455.20(k), or in a 
technical assistance report under Sec. 455.62, or a combination of these 
are implemented as provided under this part; or
    (3) An assurance that the maintenance and operating procedures will 
be implemented in the future, or a reasonable justification for not 
implementing such procedures, as appropriate;

[[Page 556]]

    (m) The procedures to assure that financial assistance under this 
part will be used to supplement, and not to supplant, State, local or 
other funds, including at least:
    (1) The screening of applicants for eligibility for available State 
funds;
    (2) The identification of applicants which are seeking or have 
obtained private sector funds; and,
    (3) Limiting or excluding (at the option of the State) the 
availability of financial assistance under this part for funding 
particular measures for which funding is being provided by other sources 
in the State (such as utility rebates) together with any requirements 
for potential applicants to first seek other sources of funding and 
document the results of that attempt before seeking financial assistance 
under this part and a description of the State's plan to assist 
potential applicants in identifying and obtaining other sources of 
funding;
    (n) The procedures for determining that technical assistance 
programs performed without the use of Federal funds and used as the 
basis for energy conservation measure grant applications have been 
performed in compliance with the requirements of Sec. 455.62, for the 
purposes of satisfying the eligibility requirements contained in 
Sec. 455.71(a)(3);
    (o) The State's policy regarding reasonable selection of energy 
conservation measures for study in a technical assistance program 
including any restrictions based on category of building or on groups of 
structures where measures may, or may not, be appropriate for all the 
structures and any additional State requirements for the conduct of such 
a program;
    (p) The procedures for State management, monitoring, and evaluation 
of technical assistance programs and energy conservation measures 
receiving financial assistance under this part. This includes any State 
requirements for hospital certifications from a State agency with 
descriptions of the review procedures and coordination process 
applicable in such cases. If there is no school facilities agency in the 
State, or if the existing agency does not certify all types of schools, 
it also includes any State requirements for an alternative review and 
certification process for schools;
    (q) The circumstances under which the State requires an updated 
technical assistance program report to accompany an application for an 
energy conservation measure grant and the scope and contents of such an 
update;
    (r) A description of the State's policies for establishing and 
insuring compliance with qualifications for technical assistance 
analysts. Such policies shall require that technical assistance analysts 
be free from financial interests which may conflict with the proper 
performance of their duties and have experience in energy conservation 
and:
    (1) Be a registered professional engineer licensed under the 
regulatory authority of the State;
    (2) Be an architect-engineer team, the principal members of which 
are licensed under the regulatory authority of the State; or
    (3) Be otherwise qualified in accordance with such criteria as the 
State may prescribe in its State Plan to insure that individuals 
conducting technical assistance programs possess the appropriate 
training and experience in building energy systems;
    (s) The circumstances under which the State will or will not 
consider accepting applications for technical assistance programs or 
energy conservation measures which were included in earlier approved 
grant awards but which were not implemented and for which no funds were 
expended after the original grant award;
    (t) A statement setting forth:
    (1) An estimate of energy savings which may result from the 
modification of maintenance and operating procedures and installation of 
energy conservation measures;
    (2) A recommendation as to the types of energy conservation measures 
considered appropriate within the State; and
    (3) An estimate of the costs of carrying out technical assistance 
and energy conservation measure programs;
    (u) For purposes of the technical assistance program pursuant to 
Sec. 455.62:
    (1) A statement setting forth uniform conversion factors to be used 
by all grant applicants in the technical assistance analysis for 
conversion of

[[Page 557]]

fuels to Btu equivalents. For the conversion of kilowatt hours to Btus, 
the State may use 3,413, representing consumption at the consumer's end, 
or 11,600, representing consumption at the producer's end, or may assign 
3,413 to some types of energy conservation measures and 11,600 to other 
types of measures in which case the State shall specify the conversion 
factor to be used for each type of measure, providing a rationale and 
citing the sources used in making this decision, and the State shall 
always apply the specified factor consistently to all ECMs of a 
particular type;
    (2) A statement setting forth the cost-effectiveness testing 
approach to be used to evaluate energy conservation measures pursuant to 
Sec. 455.63. States may select either the simple payback approach or the 
life-cycle costing approach. Only one approach may be used for all 
technical assistance programs in the State. If the State elects to use 
the life-cycle costing approach, it must specify, consistent with 
Sec. 455.64(g), whether it will use DOE-provided or its own energy cost 
escalation rate or annual discount rate, together with any other 
procedures required to be used (in addition to those specified in 
Sec. 455.64); and
    (3) A statement setting forth that 50 percent (or a higher percent) 
of total cost savings (used in calculating cost effectiveness pursuant 
to Sec. 455.63(a)(1) for simple payback, or Sec. 455.64(c) for life-
cycle costing) must be from the cost of the energy to be saved.
    (v) For any coordinating agency, a description of how it will 
operate including but not limited to:
    (1) Name and address;
    (2) Type of institutions covered;
    (3) Application processing procedures;
    (4) Whether TA applications, ECM applications, or both are covered;
    (5) Intended schedule for soliciting and processing applications;
    (6) Any special provisions for religiously affiliated institutions;
    (7) Nature of subagreement to be used with institutions;
    (8) Whether TA or ECM contractors selected by the coordinating 
agency will be offered incident to, or as a condition in, subagreements; 
and
    (9) Other significant policies and procedures;
    (w) If a State elects to allow credit toward the cost share for an 
energy conservation measure for the costs of technical assistance 
programs, technical assistance program updates, or energy conservation 
measures previously incurred and wholly paid for with non-Federal funds, 
the policies regarding such credit, including any time limits for the 
age of the earlier-funded work being proposed for credit; and
    (x) The limit to the Federal share to be provided to applicants in 
the State if a State elects to provide less than a 50 percent Federal 
share to its applicants that do not qualify for severe hardship.



Sec. 455.21  Submission and approval of State Plans and State Plan amendments.

    (a) Proposed State Plans or Plan amendments necessitated by a change 
in regulations shall be submitted to DOE within 90 days of the effective 
date of this subpart or any amended regulations. Upon request by a 
State, and for good cause shown, DOE may grant an extension of time.
    (b) The Support Office Director shall, within 60 days of receipt of 
a proposed State Plan, review each plan and, if it is reasonable and 
found to conform to the requirements of this part, approve the State 
Plan. If the Support Office Director does not disapprove a State Plan 
within the 60-day period, the State Plan will be deemed to have been 
approved.
    (c) If the Support Office Director determines that a proposed State 
Plan fails to comply with the requirements of this part or is not 
reasonable, DOE shall return the plan to the State with a statement 
setting forth the reasons for disapproval.
    (d) Except for State Plan amendments covered by paragraph (a) of 
this section, if a State wishes to deviate from its approved State Plan, 
the State must submit and obtain DOE approval of the State Plan 
amendment.
    (e) The Support Office Director shall, within 60 days or less of 
receipt of a proposed State Plan amendment review each amendment and, if 
it is found to conform to the requirements of this

[[Page 558]]

part, approve the amendment. If the Support Office Director determines 
that a proposed State Plan amendment fails to comply with the 
requirements of this part, or is not reasonable, DOE shall return the 
amendment to the State with a statement setting forth the reasons for 
disapproval.



        Subpart C--Allocation of Appropriations Among the States



Sec. 455.30  Allocation of funds.

    (a) DOE will allocate available funds among the States for two 
purposes: to award grants to schools, hospitals, units of local 
government, and public care institutions and coordinating agencies 
representing them to implement technical assistance and energy 
conservation measures grant programs and to award grants to eligible 
States for administrative expenses, technical assistance programs, 
program assistance, and marketing expenses in accordance with this part.
    (b) DOE shall notify each Governor of the total amount allocated for 
grants within the State for any grant program cycle:
     (1) For schools and hospitals, the allocation amount shall be for 
technical assistance programs, subject to any limitation placed on 
technical assistance, and energy conservation measures;
    (2) For States that are eligible pursuant to Sec. 455.91, up to 100 
percent of the funds allocated to the State by DOE may be used for 
technical assistance programs and/or for program assistance and up to 50 
percent of the funds allocated to the State by DOE may be used for 
marketing as defined in Sec. 455.2;
    (3) For States eligible under Sec. 455.81, a portion of the 
allocation may be used for a grant to the State for administrative 
expenses as described in Sec. 455.120;
    (4) For unit of local government and public care institutions, the 
allocation amount shall be solely for technical assistance programs; and
    (5) For coordinating agencies, the allocation amount shall be for 
either technical assistance programs subject to any limitation placed on 
technical assistance, or energy conservation measures, or both depending 
on how the coordinating agency elects to operate.
    (c) DOE shall notify each Governor of the period for which funds 
allocated for a grant program cycle will be made available for grants 
within the State.
    (d) Each State shall make available up to 10 percent of its 
allocation for schools and hospitals in each grant program cycle to 
provide financial assistance, not to exceed a 90 percent Federal share, 
for technical assistance programs and energy conservation measures for 
schools and hospitals determined to be in a class of severe hardship. 
Such determinations shall be made in accordance with Sec. 455.132.



Sec. 455.31  Allocation formulas.

    (a) Financial assistance for conducting technical assistance 
programs for units of local government and public care institutions 
shall be allocated among the States by multiplying the sum available by 
the allocation factor set forth in paragraph (c) of this section.
    (b) Financial assistance for conducting technical assistance 
programs and acquiring and installing energy conservation measures, 
including renewable resource measures, for schools and hospitals, shall 
be allocated among the States by multiplying the sum available by the 
allocation factor set forth in paragraph (c) of this section.
    (c) The allocation factor (K) shall be determined by the formula:

                                                                        
             0.07                    (Sfc)                    (SP)(SC)  
   K =   ------------    +0.1    -------------    +0.83   --------------
               N                     (Nfc)                     (NPC)    
                                                                        

where, as determined by DOE:
    (1) Sfc is the projected average retail cost per million Btu's of 
energy consumed within the region in which the State is located as 
contained in current regional energy cost projections obtained from DOE.
    (2) Nfc is the summation of the Sfc numerators for all States;
    (3) N is the total number of eligible States;
    (4) SP is the population of the State;
    (5) SC is the sum of the State's heating and cooling degree days; 
and
    (6) NPC is the summation of the (SP)(SC) numerators for all States.

[[Page 559]]

    (d) Except for the District of Columbia, Puerto Rico, Guam, American 
Samoa, the Commonwealth of the Northern Mariana Islands, and the U.S. 
Virgin Islands, no allocation available to any State may be less than 
0.5 percent of all amounts allocated in any grant program cycle. No 
State will be allocated more than 10 percent of the funds allocated in 
any grant program cycle.



Sec. 455.32  Reallocation of funds.

    (a) If a State Plan has not been approved and implemented by a State 
by the close of the period for which allocated funds are available as 
set forth in the notice issued by DOE pursuant to Sec. 455.30(c), funds 
allocated to that State for technical assistance and energy conservation 
measures will be reallocated among all States for the next grant program 
cycle, if available.
    (b) Funds which have been allocated to States in a grant program 
cycle but which have not been obligated to eligible State, school, or 
hospital grant applicants by the end of that cycle shall be reallocated 
by DOE among all States in the next grant program cycle.
    (c) Funds which become available due to deobligations resulting from 
funds returned by grantees due to cost underruns or scope-of-work 
reductions on completed projects shall be reallocated by DOE among all 
States in the next grant program cycle.
    (d) Funds which become available because of declined grants to 
schools and hospitals within a State may be reobligated to other 
eligible applicants in the State until the December 31 following the 
close of the cycle for which the funds were allocated to the State. Such 
funds which have not been reobligated by that deadline shall be 
reallocated by DOE among all States in the next grant program cycle.
    (e) Funds which become available because of declined or deobligated 
financial assistance provided through coordinating agencies to schools 
and hospitals within a State may be reobligated to other eligible 
applicants in the State until the December 31 following the close of the 
cycle for which the funds were allocated to the coordinating agency. 
Such funds which have not been reobligated by that deadline shall be 
reallocated by DOE among all States in the next grant program cycle.
    (f) Funds granted to States for technical assistance, program 
assistance, and marketing pursuant to Sec. 455.144 are subject to 
reallocation by DOE among all the States in the next program cycle if 
such funds are not committed by the State to their intended purposes by 
means of grants, contracts, or other legally binding obligations, or 
redirected to schools and hospitals grant applications pursuant to 
Sec. 455.144(d), by the December 31 following the close of the cycle for 
which the funds were allocated to the State.



 Subpart D--Preliminary Energy Audit and Energy Audit Grants [Reserved]



 Subpart E--Technical Assistance Programs for Schools, Hospitals, Units 
            of Local Government, and Public Care Institutions



Sec. 455.60  Purpose.

    This subpart specifies what constitutes a technical assistance 
program eligible for financial assistance under this part and sets forth 
the eligibility criteria for schools, hospitals, units of local 
government, and public care institutions to receive grants for technical 
assistance to be performed in buildings owned by such institutions.



Sec. 455.61  Eligibility.

    To be eligible to receive financial assistance for a technical 
assistance program, an applicant must:
    (a) Be a school, hospital, unit of local government, public care 
institution, or coordinating agency representing them except that 
financial assistance for units of local government and public care 
institutions will be provided only for buildings which are owned and 
primarily occupied by offices or agencies of a unit of local government 
or public care institution and which are not intended for seasonal use 
and not utilized primarily as a school or hospital eligible for 
assistance under this program;
    (b) Be located in a State which has an approved State Plan as 
described in subpart B of this part;

[[Page 560]]

    (c) Have conducted an energy audit or an energy use evaluation 
required pursuant to Sec. 455.20(k) and adequate to estimate energy 
conservation potential for the building for which financial assistance 
is to be requested, subsequent to the most recent construction, 
reconfiguration, or utilization change which significantly modified 
energy use within the building;
    (d) If an energy audit has been performed, give assurance that it 
has implemented all energy conservation maintenance and operating 
procedures required pursuant to Sec. 455.20(k) or provide a written 
justification for not implementing them pursuant to Sec. 455.20(l)(3); 
and
    (e) Submit an application in accordance with the provisions of this 
part and the approved State Plan.



Sec. 455.62  Contents of a technical assistance program.

    (a) The purpose of a technical assistance program is to provide a 
report based on an on-site analysis of the building which meets the 
requirements of this section and the State's procedures for implementing 
this section.
    (b) A technical assistance program shall be designed to identify and 
document energy conservation maintenance and operating procedure changes 
and energy conservation measures in sufficient detail to support 
possible application for an energy conservation measure grant and to 
provide reviewers and decision makers handling such applications 
sufficient information upon which to base a judgment as to their 
reasonableness and a decision whether to pursue any or all of the 
recommended improvements.
    (c) A technical assistance program shall be conducted by a technical 
assistance analyst who has the qualifications established in the State 
Plan in accordance with Sec. 455.20(r).
    (d) At the conclusion of a technical assistance program, the 
technical assistance analyst shall prepare a report which shall include:
    (1) A description of building characteristics and energy data 
including:
    (i) The results of the energy audit or energy use evaluation of the 
building together with a statement as to the accuracy and completeness 
of the energy audit or energy use evaluation data and recommendations;
    (ii) The operation characteristics of energy-using systems; and
    (iii) The estimated remaining useful life of the building;
    (2) An analysis of the estimated energy consumption of the building, 
by fuel type in total Btus and Btu/sq.ft./yr., using conversion factors 
prescribed by the State in the State Plan, at optimum efficiency 
(assuming implementation of all energy conservation maintenance and 
operating procedures);
    (3) A description and analysis of all identified energy conservation 
maintenance and operating procedure changes, if any, and energy 
conservation measures selected in accordance with the State Plan, 
including renewable resource measures, setting forth:
    (i) A description of each energy conservation maintenance and 
operating procedure change and an estimate of the costs of adopting such 
energy conservation maintenance and operating procedure changes;
    (ii) An estimate of the cost of design, acquisition and installation 
of each energy conservation measure, discussing pertinent assumptions as 
necessary;
    (iii) Estimated useful life of each energy conservation measure;
    (iv) An estimate of any increases or decreases in maintenance and 
operating costs that would result from each conservation measure, if 
relevant to the cost effectiveness test applicable under this part;
    (v) An estimate of any significant salvage value or disposal cost of 
each energy conservation measure at the end of its useful life if 
relevant to the cost effectiveness test applicable under this part;
    (vi) An estimate, supported by all data and assumptions used in 
arriving at the estimate, of the annual energy savings, the annual cost 
of energy to be saved, and total annual cost savings using current 
energy prices including demand charges expected from each energy 
conservation maintenance and operating procedure change and the 
acquisition and installation of each energy conservation measure. In 
calculating the potential annual energy savings, annual cost of energy 
to be saved, or total annual cost savings of

[[Page 561]]

each energy conservation measure, including renewable resource measures, 
the technical assistance analyst shall:
    (A) Assume that all energy savings obtained from energy conservation 
maintenance and operating procedures have been realized;
    (B) Calculate the total annual energy savings, annual cost of energy 
to be saved, and total annual cost savings, by fuel type, expected to 
result from the acquisition and installation of the energy conservation 
measures, taking into account the interaction among the various 
measures;
    (C) Calculate that portion of the total annual energy savings, 
annual cost of energy to be saved, and total annual cost savings, as 
determined in paragraph (d)(3)(vi)(B) of this section, attributable to 
each individual energy conservation measure; and
    (D) Consider climate and other variables;
    (vii) An analysis of the cost effectiveness of each energy 
conservation measure consistent with Sec. 455.63 and, if applicable, 
Sec. 455.64 of this part;
    (viii) The estimated cost of the measure, which shall be the total 
cost for design and other professional service (excluding the cost of a 
technical assistance program), if any, and acquisition and installation 
costs. If required by the State in its State Plan, or if requested by 
the applicant, the technical assistance report shall provide a life-
cycle cost analysis which is consistent with Sec. 455.64 and states the 
discount and energy cost escalation rates that were used;
    (ix) The simple payback period of each energy conservation measure, 
calculated pursuant to Sec. 455.63(a);
    (4) Energy use and cost data, actual or estimated, for each fuel 
type used for the prior 12-month period, by month, if possible;
    (5) Documentation of demand charges paid by the institution for the 
prior 12-month period, by month if possible, when demand charges are 
included in current energy prices or when the technical assistance 
report recommends an energy conservation measure that shifts energy 
usage to periods of lower demand and cost; and
    (6) A signed and dated certification that the technical assistance 
program has been conducted in accordance with the requirements of this 
section and that the data presented is accurate to the best of the 
technical assistance analyst's knowledge.



Sec. 455.63  Cost-effectiveness testing.

    (a) This paragraph applies to calculation of the simple payback 
period of energy conservation measures.
    (1) The simple payback period of each energy conservation measure 
(except measures to shift demand, or renewable resource measures) shall 
be calculated, taking into account the interactions among the various 
measures, by dividing the estimated total cost of the measure, as 
determined pursuant to Sec. 455.62(d)(3)(ii), by the estimated annual 
cost savings accruing from the measure (adjusted for demand charges), as 
determined pursuant to Sec. 455.62(d)(3)(vi), provided that:
    (i) At least 50 percent of the annual cost savings used in this 
calculation shall be from the cost of the energy to be saved or a higher 
percent if required by a State in its State Plan pursuant to 
Sec. 455.20(u)(3); and
    (ii) No more than 50 percent of the annual cost savings used in this 
calculation shall be from other cost savings, such as those resulting 
from energy conservation maintenance and operating procedures related to 
particular energy conservation measures, or from changes in type of fuel 
used, or a lower percent if required by a State in its State Plan 
pursuant to Sec. 455.20(u)(3).
    (2) The simple payback period of each renewable resource energy 
conservation measure shall be calculated, taking into account the 
interactions among the various measures, by dividing the estimated total 
cost of the measure, as determined pursuant to Sec. 455.62(d)(3)(ii), by 
the estimated annual cost savings accruing from the measure taking into 
account at least the annual cost of the non-renewable fuels displaced 
less the annual cost of the renewable fuel, if any, and the annual cost 
of any backup non-renewable fuel needed to operate the system, adjusted 
for demand charges, as determined pursuant to Sec. 455.62(d)(3)(vi).
    (3) The simple payback period of each energy conservation measure 
designed

[[Page 562]]

to shift demand to a period of lower demand and lower cost shall be 
calculated, taking into account the interactions among the various 
measures, by dividing the estimated total cost of the measure, as 
determined pursuant to Sec. 455.62(d)(3)(ii), by the estimated annual 
cost savings accruing from the measure taking into account at least the 
annual cost of the energy used before the measure is installed less the 
estimated annual cost of the energy to be used after the measure is 
installed, adjusted for demand charges, as determined pursuant to 
Sec. 455.62(d)(3)(vi).
    (b) This paragraph applies, in addition to paragraph (a) of this 
section, if the State plan requires the cost effectiveness of an energy 
conservation measure to be determined by life-cycle cost analysis or if 
the applicant requests such an analysis.
    (1) A life-cycle cost analysis, showing a savings-to-investment 
ratio greater than or equal to one over the useful life of the energy 
conservation measure or 15 years, whichever is less, shall be conducted 
in accordance with the requirements set forth in the State Plan pursuant 
to Secs. 455.20(u)(2), 455.20(u)(3) and Sec. 455.64.
    (2) The resulting savings-to-investment ratio shall be used for the 
purpose of ranking applications.



Sec. 455.64  Life-cycle cost methodology.

    (a) The life-cycle cost methodology under Sec. 455.63(b) of this 
part is a systematic comparison of the relevant significant cost savings 
and costs associated with an energy conservation measure over its 
expected useful life, or other appropriate study period with future cost 
savings and costs discounted to present value. The format for displaying 
life-cycle costs shall be a savings-to-investment ratio.
    (b) An energy conservation measure must be cost effective, and its 
savings-to-investment ratio must be greater than or equal to one no 
earlier than the end of the second year of the study period.
    (c) A savings-to-investment ratio is the ratio of the present value 
of net cost savings attributable to an energy conservation measure to 
the present value of the net increase in investment, maintenance and 
operating, and replacement costs less salvage value or disposal cost 
attributable to that measure over a study period.
    (d) Except for energy conservation measures to shift demand or to 
use renewable energy resources, the numerator of the savings-to-
investment ratio shall include net cost savings, appropriately 
discounted and adjusted for energy cost escalation consistent with 
paragraph (g) of this section, subject to the limitation that the cost 
of the energy to be saved shall constitute at least 50 percent of the 
net cost savings unless the State specifies a higher percent in its 
State plan pursuant to Sec. 455.20(u)(3).
    (e) With respect to energy conservation measures to shift demand or 
to use renewable energy resources, the numerator of the savings-to-
investment ratio shall be net cost savings appropriately discounted and 
adjusted for energy cost escalation consistent with paragraph (g) of 
this section.
    (f) The study period for a life-cycle cost analysis, which may not 
exceed 15 years, shall be the useful life of the energy conservation 
measure or of the energy conservation measure with the longest life (for 
purposes of ranking buildings with multiple energy conservation 
measures).
    (g) The discount rate must equal or exceed the discount rate 
annually provided by DOE under 10 CFR part 436. The energy cost 
escalation rates must not exceed those annually provided by DOE under 10 
CFR part 436.
    (h) Investment costs may be assumed to be a lump sum occurring at 
the beginning of the base year, or to the extent that there are future 
investment costs, discounted to present value.
    (i) The cost of energy and maintenance and operating costs may be 
assumed to begin to accrue at the beginning of the base year or when 
they are actually projected to occur.
    (j) It may be assumed that costs occur in a lump sum at any time 
within the year in which they are incurred.

[[Page 563]]



    Subpart F--Energy Conservation Measures for Schools and Hospitals



Sec. 455.70  Purpose.

    This subpart sets forth the eligibility criteria for schools and 
hospitals to receive grants for energy conservation measures, including 
renewable resource measures, and the elements of an energy conservation 
measure program.



Sec. 455.71  Eligibility.

    (a) To be eligible to receive financial assistance for an energy 
conservation measure, including renewable resource measures, an 
applicant must:
    (1) Be a school, hospital, or coordinating agency representing them 
as defined in Sec. 455.2;
    (2) Be located in a State which has an approved State Plan as 
described in subpart B of this part;
    (3) Have completed a technical assistance program consistent with 
Sec. 455.62, as determined by the State in accordance with the State 
Plan, for the building for which financial assistance is to be requested 
subsequent to the most recent construction, reconfiguration, or 
utilization change to the building which significantly modified energy 
use within the building;
    (4) Have completed an updated technical assistance program if 
required in the State Plan as specified in Sec. 455.20(q);
    (5) Have implemented all energy conservation maintenance and 
operating procedures which are identified as the result of a technical 
assistance program or have provided pursuant to the State plan a 
satisfactory written justification for not implementing any specific 
maintenance and operating procedures so identified;
    (6) Have met any requirements set forth in the State Plan pursuant 
to Sec. 455.20(m) regarding the avoidance of supplanting other funds in 
the financing of energy conservation measures under this part;
    (7) Have no plan or intention at the time of application to close or 
otherwise dispose of the building for which financial assistance is to 
be requested within the simple payback period or useful life (depending 
on the State's requirement for determining cost effectiveness) of any 
energy conservation measure recommended for that building; and
    (8) Submit an application in accordance with the provisions of this 
part and the approved State Plan;
    (b) To be eligible for financial assistance:
    (1) In States where simple payback has been selected as the cost-
effectiveness test pursuant to Sec. 455.20(u)(2), the simple payback 
period of each energy conservation measure for which financial 
assistance is requested shall not be less than 2 years nor greater than 
10 years, and the estimated useful life of the measure shall be greater 
than its simple payback period; or
    (2) In States where life-cycle costing has been selected as the 
cost-effectiveness test pursuant to Sec. 455.20(u)(2), the savings-to-
investment ratio of each energy conservation measure must be greater 
than or equal to one under Sec. 455.63(b)(1), over a period for analysis 
which does not exceed 15 years, and the useful life of the energy 
conservation measure must be at least 2 years.
    (c) Leased equipment is not eligible for financial assistance under 
this part. Equipment which becomes the property of the grantee at the 
conclusion of a long-term purchase agreement without any additional 
payment is eligible.



Sec. 455.72  Scope of the grant.

    Financial assistance awarded under this subpart may be expended for 
the design (excluding design costs funded under the technical assistance 
program), acquisition, and installation of energy conservation measures 
to reduce energy consumption or measures to allow the use of renewable 
resources in schools and hospitals or to shift energy usage to periods 
of low demand and cost. Such measures include, but are not necessarily 
limited to, those included in the definition of ``energy conservation 
measure'' in Sec. 455.2.



                Subpart G--State Administrative Expenses



Sec. 455.80  Purpose.

    This subpart describes what constitutes a State administrative 
expense that may receive financial assistance

[[Page 564]]

under this part and sets forth the eligibility criteria for States to 
receive grants for administrative expenses.



Sec. 455.81  Eligibility.

    To be eligible to receive financial assistance for administrative 
expenses, a State must:
    (a) Have in place a State Plan approved by DOE pursuant to 
Sec. 455.21 and
    (b) Be operating a program to provide technical assistance and 
energy conservation measure grants, or technical assistance, program 
assistance, and marketing (where energy conservation measures are funded 
non-Federally) to eligible institutions pursuant to this part.



Sec. 455.82  Scope of the grant.

    A State's administrative expenses shall be limited to those directly 
related to administration of technical assistance programs, program 
assistance and marketing programs, and energy conservation measures 
including costs associated with:
    (a) Personnel whose time is expended directly in support of such 
administration;
    (b) Supplies and services expended directly in support of such 
administration;
    (c) Equipment purchased or acquired solely for and utilized directly 
in support of such administration, subject to 10 CFR 600.436;
    (d) Printing, directly in support of such administration; and
    (e) Travel, directly related to such administration.



 Subpart H--State Grants for Technical Assistance, Program Assistance, 
                              and Marketing



Sec. 455.90  Purpose.

    This subpart describes what constitutes a State program for 
technical assistance, program assistance, and marketing that may receive 
financial assistance under this part and sets forth the eligibility 
criteria for States to receive grants for technical assistance, program 
assistance, and marketing.



Sec. 455.91  Eligibility.

    To be eligible to receive financial assistance for technical 
assistance, program assistance, and marketing, a State must:
    (a) Have in place a State Plan approved by DOE which includes a 
description of the State's program or programs to provide technical 
assistance, program assistance, and marketing, pursuant to 
Sec. 455.20(j)(1);
    (b) Have established a program consistent with this part to fund, 
from non-Federal sources, energy conservation measures for eligible 
institutions; and
    (c) Provide to DOE a certification pursuant to Sec. 455.122.



Sec. 455.92  State technical assistance awards.

    Technical assistance awards by States under this subpart are subject 
to all requirements of this part which apply to DOE-awarded technical 
assistance program grants except that States:
    (a) Are not required to award the funds in grant instruments;
    (b) May award the funds throughout the fiscal year subject to 
Sec. 455.144(a)(3); and
    (c) Are not required to rank applications under Sec. 455.131(b) of 
this part.



                         Subpart I--Cost Sharing



Sec. 455.100  Limits to Federal share.

    Amounts made available under this part, together with any other 
amounts made available from other Federal sources, may not be used to 
pay more than 50 percent of the costs of technical assistance programs 
and energy conservation measures unless the grantee qualifies for the 
exceptions specified in Secs. 455.141(a), 455.142(a), 455.142(b), or for 
severe hardship assistance specified in Sec. 455.142(c). In cases of 
severe hardship, the Federal share of the cost cannot exceed 90 percent.



Sec. 455.101 Borrowing the non-Federal share/title to equipment.
    The non-Federal share of the costs of acquiring and installing 
energy conservation measures may be provided by

[[Page 565]]

using financing or other forms of borrowed funds, such as those provided 
by loans and performance contracts, even if such financing does not 
provide for the grantee to receive clear title to the equipment being 
financed until after the grant is closed out. However, grantees in such 
cases must otherwise meet all the requirements of this part, and 
financing and loan agreements and performance contracts under this 
section are subject to the requirements of 10 CFR Part 600 and the 
certification requirements under Sec. 455.111(e). Grantees must receive 
clear title to the equipment when the loan is paid off.



Sec. 455.102  Energy conservation measure cost-share credit.

    To the extent a State provides in its State Plan, DOE may wholly or 
partially credit the costs of the following, with respect to a building, 
toward the required cost-share for an energy conservation measure grant 
in that building:
    (a) A non-Federally funded technical assistance program;
    (b) A non-Federally funded technical assistance program update to 
comply with Sec. 455.20(q); and
    (c) The non-Federally funded implementation of one or more energy 
conservation measures, which complies with the eligibility criteria set 
forth in Sec. 455.71.



Sec. 455.103  Requirements for applications for credit.

    (a) If a State has provided for credit in its State Plan pursuant to 
Sec. 455.20(w), applications for credit will be considered only when the 
technical assistance programs or updates and the energy conservation 
measure projects for which credit is sought meet the applicable program 
requirements, such as those specified in Sec. 455.61, Sec. 455.62, 
Sec. 455.71, and the relevant sections of 10 CFR part 600, except that 
the project need not comply with the Davis-Bacon Act regarding labor 
standards or wage rates.
    (b) Credit for energy conservation measures will be considered only 
when supported by a technical assistance analysis that meets the 
requirements of Sec. 455.62 and that was performed prior to the 
installation of the energy conservation measures.



Sec. 455.104  Rebates from utilities and other entities.

    (a) Grantees which receive rebates or other monetary considerations 
from utilities or other entities for installing the energy conservation 
measures funded by a grant under this part may use such funds to meet 
their cost- sharing obligations pursuant to Sec. 455.100.
    (b) Where the rebate or monetary consideration does not exceed the 
non-Federal share of the cost of the measures applied for in a grant 
application, grantees are not required to deduct the amount of the 
rebate or monetary consideration from the cost of the measures, and DOE 
does not consider such rebates or monetary considerations to be program 
income which would have to be remitted to DOE upon receipt by the 
grantee.
    (c) Where the rebate or monetary consideration does exceed the non-
Federal share of the cost of the measures applied for in a grant 
application, grantees may use the excess to fund additional measures if 
such measures have been recommended in the technical assistance report. 
If it is not possible to use the excess funding in this way, the grantee 
must reduce the cost--and DOE will reduce the Federal share--by the 
amount of the excess above the non-Federal share.



   Subpart J--Applicant Responsibilities--Grants to Institutions and 
                          Coordinating Agencies



Sec. 455.110  Grant application submittals for technical assistance and energy conservation measures.

    (a) Each eligible applicant desiring to receive financial assistance 
(either from DOE directly, through a State serving as a coordinating 
agency, or through another organization serving as a coordinating 
agency) shall file an application in accordance with the provisions of 
this subpart and the approved State Plan of the State in which such 
building is located. The application, which may be amended in accordance 
with applicable State procedures at any time prior to the State's final 
determination thereon, shall be

[[Page 566]]

filed with the State energy agency designated in the State Plan. 
Coordinating agencies shall file a single application with DOE which 
includes all of the information required below for each building for 
which assistance has been requested and to which is attached a copy of 
each application from each building owner.
    (b) Applications from schools, hospitals, units of local government, 
public care institutions, and coordinating agencies for financial 
assistance for technical assistance programs shall include the 
certifications contained in Sec. 455.111 and:
    (1) The applicant's name and mailing address;
    (2) The energy audit or energy use evaluation required by the State 
pursuant to Sec. 455.20(k) for each building for which financial 
assistance is requested;
    (3) A project budget, by building, which stipulates the intended use 
of all Federal and non-Federal funds, including in-kind contributions 
(valued in accordance with the guidelines in 10 CFR part 600), to be 
used to meet the cost-sharing requirements described in subpart I of 
this part;
    (4) A brief description, by building, of the proposed technical 
assistance program, including a schedule, with appropriate milestone 
dates, for completing the technical assistance program;
    (5) Additional information required by the applicable State Plan and 
any other information which the applicant desires to have considered, 
such as information to support an application from a school or hospital 
for financial assistance in excess of the 50 percent Federal share on 
the basis of severe hardship or an application which proposes the use of 
Federal funds, paid under and authorized by another Federal agreement to 
meet cost sharing requirements.
    (c) Applications from schools and hospitals and coordinating 
agencies for financial assistance for energy conservation measures, 
including renewable resource measures, shall include the certifications 
contained in Sec. 455.111 and:
    (1) The applicant's name and mailing address;
    (2) A description of each building for which financial assistance is 
requested sufficient to determine the building's eligibility, ownership, 
use, and size in gross square feet;
    (3) A project budget, by measure or building, as provided in the 
State Plan which stipulates the intended use of all Federal and non-
Federal funds and identifies the sources and amounts of non-Federal 
funds, including in-kind contributions (valued in accordance with the 
guidelines in 10 CFR part 600) to be used to meet the cost-sharing 
requirements described in subpart I of this part;
    (4) A schedule, including appropriate milestone dates, for the 
completion of the design, acquisition, and installation of the proposed 
energy conservation measures for each building;
    (5) For each energy conservation measure proposed for funding, the 
projected cost, the projected simple payback period, and if appropriate, 
the life-cycle cost savings-to-investment ratio calculated under 
Sec. 455.64. Applications with more than one energy conservation measure 
per building shall include projected costs and paybacks, and if 
appropriate, the savings-to-investment ratios for each measure and the 
average simple payback period or overall savings-to-investment ratio for 
all measures proposed for the building;
    (6) The report of the technical assistance analyst (unless waived by 
DOE because the report is already in its possession). This report must 
have been completed since the most recent construction, reconfiguration, 
or utilization change to the building which significantly modified 
energy use, for each building;
    (7) An update of the technical assistance program report if required 
by the State in its State Plan and as specified in Sec. 455.20(q);
    (8) If the applicant is aware of any adverse environmental impact 
which may arise from adoption of any energy conservation measure, an 
analysis of that impact and the applicant's plan to minimize or avoid 
such impact; and
    (9) Additional information required by the applicable State Plan, 
and any additional information which the applicant desires to have 
considered, such as information to support an application for financial 
assistance in excess of the non-Federal share set forth in

[[Page 567]]

the State plan on the basis of severe hardship, or an application which 
proposes the use of Federal funds paid under and authorized by another 
Federal agreement to meet cost sharing requirements.



Sec. 455.111  Applicant certifications for technical assistance and energy conservation measure grants to institutions and coordinating agencies.

    Applications for financial assistance for technical assistance 
programs and energy conservation measures, including renewable resource 
measures, shall include certification that the applicant:
    (a) Is eligible under Sec. 455.61 for technical assistance or 
Sec. 455.71 for energy conservation measures;
    (b) Has satisfied the requirements set forth in Sec. 455.110;
    (c) For applications for technical assistance, has implemented all 
energy conservation maintenance and operating procedures recommended in 
the energy audit pursuant to Sec. 455.20(k), if done, and for 
applications for energy conservation measures, those recommended in the 
report obtained under a technical assistance program pursuant to 
Sec. 455.62. If any such procedure has not been implemented, the 
application shall contain a satisfactory written justification 
consistent with the State plan for not implementing that procedure;
    (d) Will obtain from the technical assistance analyst, before the 
analyst performs any work in connection with a technical assistance 
program or energy conservation measure, a signed statement certifying 
that the technical assistance analyst has no conflicting financial 
interest and is otherwise qualified to perform the duties of technical 
assistance analyst in accordance with the standards and criteria 
established in the approved State Plan;
    (e) When using borrowed funds for the non-Federal share of an energy 
conservation project where a lien is placed by the lender on equipment 
funded under the grant, will obtain clauses in the financing contract:
    (1) Stating the percent of DOE interest in the equipment (i.e., the 
percent of the total cost provided by the grant); and
    (2) Requiring lender notification, with certified return receipt 
requested, to the applicable Support Office Director of the filing of a 
lawsuit seeking a remedy for a default; and
    (f) Will comply with all reporting requirements contained in 
Sec. 455.113.



Sec. 455.112  Davis-Bacon wage rate requirement.

    When an energy conservation measure or group of measures in a 
building, funded under this part, has a total estimated cost for 
acquisition and installation of more than $5,000, any construction 
contract or subcontract in excess of $2,000, using any grant funds 
awarded under this part must include:
    (a) Those contract labor standards provisions set forth in 29 CFR 
5.5 and
    (b) A provision for payment of laborers and mechanics at the minimum 
wage rates determined by the Secretary of Labor in accordance with the 
Davis-Bacon Act (40 U.S.C. 276a) as set forth in 29 CFR part 1.



Sec. 455.113  Grantee records and reports for technical assistance and energy conservation measure grants to institutions and coordinating agencies.

    (a) Each unit of local government or public care institution which 
receives a grant for a technical assistance program and each school, 
hospital, and coordinating agency which receives a grant for a technical 
assistance program or an energy conservation measure, including 
renewable resource measures, shall keep all the records required by 
Sec. 455.4 in accordance with this part and the DOE Financial Assistance 
Rules.
    (b) Each grantee shall submit reports as follows:
    (1) For technical assistance programs, two copies of a final report 
of the analysis completed on each building for which financial 
assistance was provided shall be submitted, either both to the State 
energy agency, or one to the State energy agency, and one to DOE as 
agreed upon between the State and the DOE Support Office no later than 
90 days following completion of the analysis. These reports shall 
contain:

[[Page 568]]

    (i) The report submitted to the institution by the technical 
assistance analyst, and
    (ii) The institution's plan to implement energy conservation 
maintenance and operating procedures;
    (2) For energy conservation measure projects:
    (i) Semi-annual progress reports. Two copies shall be submitted, 
either both to the State energy agency or one to the State energy agency 
and one to DOE, as agreed upon between the State and the DOE Support 
Office, no later than the end of July (for the period January 1 through 
June 30), and January (for the period July 1 through December 31) and 
shall detail and discuss milestones accomplished, those not 
accomplished, status of in-progress activities, and remedial actions if 
needed to achieve project objectives. Reports of coordinating agency 
grantees shall include financial assistance which an institution 
declines or does not use as a result of a change in scope. A final 
report may be submitted in lieu of the last semi-annual report if it 
satisfies the semi-annual progress report and final report designated 
time frames;
    (ii) A final report. Two copies shall be submitted, either both to 
the State energy agency or one to the State energy agency and one to 
DOE, as agreed upon between the State and the DOE Support Office, within 
90 days of the completion of the project and shall list and describe the 
energy conservation measures acquired and installed, contain a final 
actual cost and a final estimated simple payback period for each measure 
and the project as a whole, or a final savings-to-investment ratio for 
each measure and the project as a whole (depending on the State 
requirement), and include a statement that the completed energy 
conservation measures conform to the approved grant application;
    (iii) Annual energy use reports from a representative sample to be 
selected by the State which will reflect the grantee's actual post-
retrofit energy use experiences for 3 years after project completion. 
Two copies of these reports shall be submitted, either both to the State 
energy agency or one to the State energy agency and one to DOE, as 
agreed upon between the State and the DOE Support Office within 60 days 
after the end of each 12-month period covered in the reports and shall 
identify each building and provide data on energy use for that building 
for the relevant 12-month period. To the extent feasible, energy 
consumption data in each annual report should be the monthly usage data 
by fuel or energy type, and the reports should include brief 
descriptions of any changes in building usage, equipment, or structure 
occurring during the reporting period.
    (3) Each copy of any technical assistance or energy conservation 
measure report shall be accompanied by a financial status report 
completed in accordance with the documents listed in Sec. 455.3;
    (4) In cases where both copies of the grantee technical assistance, 
energy conservation measure, and financial status reports are submitted 
to the State, as agreed upon between the State and the DOE Support 
Office, the State shall in turn submit copies to DOE on a mutually 
agreed-upon schedule; and
    (5) Such other information as DOE may from time to time request.



         Subpart K--Applicant Responsibilities--Grants to States



Sec. 455.120  Grant applications for State administrative expenses.

    Each State desiring to receive grants to help defray State 
administrative expenses shall file an application in accordance with the 
provisions of this section.
    (a) Where a State is operating a program solely to provide grants to 
schools and hospitals, the maximum amount of administrative expenses the 
State may apply for is $50,000 or 5 percent of the Federal share of its 
schools and hospitals grant awards, whichever is greater.
    (1) At any time after notice by DOE of the amounts allocated to each 
State for a grant program cycle, each State may apply to DOE for an 
amount for administrative expenses not exceeding $50,000.
    (2) After making a submittal to DOE as required under Sec. 455.133, 
each State may apply for a further grant not exceeding 5 percent of the 
total Federal

[[Page 569]]

share of all grant awards for technical assistance and energy 
conservation measures within the State, less the $50,000 provided for in 
paragraph (a)(l) of this section if that was previously awarded to the 
State for administrative expenses in the same grant program cycle.
    (b) Where a State is eligible and elects to apply to use its 
appropriated allocation for grants for technical assistance, program 
assistance, and/or marketing pursuant to Sec. 455.121, the maximum 
amount of administrative expenses the State may apply for is $50,000 or 
5 percent of the total amount obligated or legally committed to eligible 
recipients in the State pursuant to the State's program under this part, 
whichever is greater.
    (1) At any time after notice by DOE of amounts allocated to each 
State for a grant program cycle, each State may apply to DOE for an 
amount for administrative expenses not exceeding $50,000.
    (2) Once the total amount obligated or legally committed to the 
program in the cycle is known, a State may subsequently apply for a 
further grant, not exceeding 5 percent of the total amount (less the 
$50,000 provided for in paragraph (b)(1) of this section if that was 
previously awarded to the State for administrative expenses in the same 
fiscal year) obligated or legally committed to eligible recipients in 
the State during the fiscal year for technical assistance, program 
assistance, and marketing, and for energy conservation measures which 
are funded with non-Federal funds but which meet the certification and 
other requirements of this part for such energy conservation measures.
    (3) The aggregate amount applied for to cover State administrative 
expenses, technical assistance, program assistance, and marketing cannot 
exceed the State's allocation for the fiscal year.
    (c) In the event that a State cannot, or decides not to use the 
amount available to it for an administrative grant under this section 
for administrative purposes, these funds may, at the discretion of the 
State, be used for technical assistance and energy conservation measure 
grants to eligible institutions within that State in accordance with 
this part.
    (d) Applications for financial assistance to defray State 
administrative expenses shall include:
    (1) The name and address of the person designated by the State to be 
responsible for the State's functions under this part;
    (2) An identification of intended use of all Federal and non-Federal 
funds to be used for the State administrative expenses listed in 
Sec. 455.82; and
    (3) Any other information required by DOE.



Sec. 455.121  Grant applications for State technical assistance, program assistance, and marketing programs.

    (a) A State may apply for up to 100 percent of the amount allocated 
to it for a grant program cycle to fund administrative expenses under 
Sec. 455.120 and technical assistance and program assistance programs, 
or for up to 50 percent of the amount allocated to it for a grant 
program cycle to fund marketing programs provided that:
    (1) The State has established a program to fund technical 
assistance, program assistance, or marketing programs, and has described 
its program or programs in its State Plan, as specified in 
Sec. 455.20(j);
    (2) The State has a program or programs established consistent with 
this part of that fund, from non-Federal sources, energy conservation 
measures eligible under this part;
    (3) Not more than 15 percent of the aggregate amount of Federal and 
non-Federal funds legally committed or obligated to eligible recipients 
in the State to provide program assistance, marketing and technical 
assistance programs, implement energy conservation measures consistent 
with this part, and otherwise carry out a program pursuant to this part 
for the fiscal year concerned are expended for program assistance, 
technical assistance and marketing costs for such program;
    (4) The energy conservation measures funded from non-Federal sources 
under this section would be eligible for funding under Sec. 455.71; and

[[Page 570]]

    (5) The institutions undertaking the non-Federally funded energy 
conservation measures do so in accordance with all applicable Federal, 
State, and local laws and regulations with particular attention paid to 
applicable Federal and State non-discrimination laws and regulations.
    (b) Applications for financial assistance to defray State technical 
assistance, program assistance, or marketing expenses shall include:
    (1) The name and address of the person designated by the State to be 
responsible for the State's functions under this part;
    (2) An identification of intended use of all Federal and non-Federal 
funds for the State administrative expenses listed in Sec. 455.82, or 
the technical assistance, program assistance, or marketing programs 
pursuant to this section;
    (3) Descriptions of the activities to be implemented together with a 
description of the State's program to provide non-Federal sources of 
funding to carry out the State's program(s) for energy conservation 
measures consistent with this part;
    (4) A certification that the 15 percent limit specified in 
subparagraph (a)(3) of this section will not be exceeded; and
    (5) Any other information required by DOE.



Sec. 455.122  Applicant certifications for State grants for technical assistance, program assistance, and marketing.

    Applications from States for financial assistance for technical 
assistance programs, program assistance, and marketing shall include 
certifications that the State:
    (a) Has established a program or programs to fund, from non-Federal 
sources, energy conservation measures for eligible buildings consistent 
with this part;
    (b) Will not expend, for technical assistance, program assistance, 
and marketing, more than 15 percent of the aggregate amount of Federal 
and non-Federal funds legally obligated or committed to eligible 
recipients in the State to provide technical assistance, program 
assistance, marketing programs, implement energy conservation measures 
consistent with this part, and otherwise carry out a program pursuant to 
this part for the fiscal year concerned; and
    (c) Has provided for regular DOE-funded grants to eligible 
religiously affiliated institutions if the State has a State 
constitutional or other legal prohibition on providing State assistance 
to such institutions and if such institutions would be ineligible to 
apply for the non-Federally funded energy conservation measures or 
State-funded technical assistance.



Sec. 455.123  Grantee records and reports for State grants for administrative expenses, technical assistance, program assistance, and marketing.

    (a) Each State which receives a grant for administrative expenses, 
or a grant for technical assistance programs, program assistance, or 
marketing shall keep all the records required by Sec. 455.4 in 
accordance with this part and the DOE Financial Assistance Rules.
    (b) Each State shall submit a semi-annual program performance report 
to DOE by the close of each February and August, including, but not 
limited to:
    (1) A discussion of administrative activities pursuant to 
Sec. 455.82, if a State has received a grant to fund such activities, 
and a discussion of milestones accomplished, those not accomplished, 
status of in-progress activities, problems encountered, and remedial 
actions, if any, planned pursuant to Sec. 455.135(f);
    (2) A discussion of technical assistance, program assistance, and/or 
marketing programs pursuant to Sec. 455.121, if the State has received 
grants to fund such activities, including a discussion of the results of 
the State's program to non-Federally fund energy conservation measures 
consistent with this part pursuant to Sec. 455.121, with a list of 
buildings receiving assistance for technical assistance programs and a 
list of buildings which obtained energy conservation measures using non-
Federal funds, including the name and address of each building, the 
amount and type of funding provided to each, and for energy conservation 
measures, the types of measures funded in each building together with 
each measure's total estimated cost and estimated annual cost savings, 
annual energy savings, and the

[[Page 571]]

annual cost of the energy to be saved (determined pursuant to 
Sec. 455.62(d)) consistent with the data currently provided to DOE on 
all ICP grants;
    (3) A summary of grantee reports received by the State during the 
report period pursuant to Secs. 455.113(b)(1) and (b)(2);
    (4) For the report due to be submitted to DOE by the close of each 
August, an estimate of annual energy use reductions in the State, by 
energy source, attributable to implementation of energy conservation 
maintenance and operating procedures and installation of energy 
conservation measures under this part. Such estimates shall be based 
upon a sampling of institutions participating in the technical 
assistance phase of this program and upon the energy use reports 
submitted to the State pursuant to Sec. 455.113(b)(2)(iii); and
    (5) Such other information as DOE may from time to time request.
    (c) Each copy of any report covering grants for State 
administrative, technical assistance, program assistance, or marketing 
expenses shall be accompanied by a financial status report completed in 
accordance with the documents listed in Sec. 455.3. In addition, States 
shall file quarterly financial status reports for the quarters which 
occur between the semi-annual report periods covered in their program 
performance reports. These quarterly reports are due within 30 days 
following the end of the applicable quarters.



                    Subpart L--State Responsibilities



Sec. 455.130  State evaluation of grant applications.

    (a) If an application received by a State is reviewed and evaluated 
by that State and determined to be in compliance with subparts E, F, and 
J of this part, Sec. 455.130(b), any additional requirements of the 
approved State Plan, State environmental laws, and other applicable laws 
and regulations, then such application will be eligible for financial 
assistance.
    (b) Concurrent with its evaluation and ranking of grant applications 
pursuant to Sec. 455.131, the State will forward applications for 
technical assistance or for energy conservation measures for schools to 
the State school facilities agency for review and certification that 
each school application is consistent with related State programs for 
educational facilities. For hospitals the certification requirement 
applies only if there is a State requirement for it in which case the 
procedure should be described in the State Plan.



Sec. 455.131  State ranking of grant applications.

    (a) Except as provided by Sec. 455.92 of this part, all eligible 
applications received by the State will be ranked by the State in 
accordance with its approved State Plan.
    (b) For technical assistance programs, buildings shall be ranked in 
descending priority based upon the energy conservation potential, on a 
savings percentage basis, of the building as determined in the energy 
audit or energy use evaluation pursuant to Sec. 455.20(k). Each State 
shall develop separate rankings for all buildings covered by eligible 
applications for:
    (1) Technical assistance programs for units of local government and 
public care institutions and
    (2) Technical assistance programs for schools and hospitals.
    (c) All eligible applications for energy conservation measures 
received will be ranked by the State on building-by-building or a 
measure-by-measure basis. If a State ranks on a building-by-building 
basis, several buildings may be ranked as a single building if the 
application proposes a single energy conservation measure which is 
physically connected to all of the buildings. If a State ranks on a 
measure-by-measure basis, a measure that is physically connected to a 
number of buildings may be ranked as a single measure. Buildings or 
measures shall be ranked in accordance with the procedures established 
by the State Plan on the basis of the information developed during a 
technical assistance program (or its equivalent) for the building and 
the criteria for ranking applications. The criterion set forth in 
paragraph (1) of this subsection shall receive at least 50 percent of 
the weight given to the criteria used to rank applications. Each State 
may assign weights to the other criteria as set

[[Page 572]]

forth in the State Plan pursuant to Sec. 455.20(e). The criteria for 
ranking applications are:
    (1) Simple payback or a life-cycle cost analysis, calculated in 
accordance with Sec. 455.63 and Sec. 455.64, as applicable;
    (2) The types and quantities of energy to be saved, including oil, 
natural gas, or electricity, in a priority as established in the 
approved State Plan;
    (3) The types of energy sources to which conversion is proposed, 
including renewable energy;
    (4) The quality of the technical assistance program report; and
    (5) Other factors as determined by the State.
    (d) A State is exempt from the ranking requirements of this section 
when:
    (1) The total amount requested by all applications for schools and 
hospitals for technical assistance and energy conservation measures in a 
given grant program cycle for grants up to 50 percent is less than or 
equal to the funds available to the State for such grants and the total 
amount recommended for hardship funding is less than or equal to the 
amounts available to the State for such grants and
    (2) The total amount requested by all applications for buildings 
owned by units of local government and public care institutions in a 
given grant program cycle is less than or equal to the total amount 
allocated to the State for technical assistance program grants in the 
State;
    (e) If a State elects to permit applications for credit pursuant to 
Sec. 455.102, such applications for completed or partially completed 
energy conservation measures shall reflect both the work done and the 
work to be done and will be reviewed and ranked on the basis of the cost 
of all of the measures in the project. The credit shall not exceed the 
non-Federal share of the proposed additional energy conservation 
measures (and the Federal share shall not exceed the cost of the work 
remaining to be done).
    (f) Within the rankings of school and hospital buildings for 
technical assistance and energy conservation measures including 
renewable resource measures to the extent that approvable applications 
are submitted, a State shall initially assure that:
    (1) Schools receive at least 30 percent of the total funds allocated 
for schools and hospitals to the State in any grant program cycle and
    (2) Hospitals receive at least 30 percent of the total funds 
allocated for schools and hospitals to the State in any grant program 
cycle.
    (g) If there are insufficient applications from schools or hospitals 
to cover the respective 30 percent requirements specified in paragraph 
(f) of this section, then the State may recommend use of the remaining 
funds in those allocations for other qualified applicants.



Sec. 455.132  State evaluation of requests for severe hardship assistance.

    (a) To the extent provided in Sec. 455.30(d), financial assistance 
will be initially available for schools and hospitals experiencing 
severe hardship based upon an applicant's inability to provide the non-
Federal share as specified in the State plan pursuant to Sec. 455.20(g). 
This financial assistance will be available only to the extent necessary 
to enable such institutions to participate in the program.
    (b) The State shall recommend funds for severe hardship applications 
wholly or partially from the funds reserved in accordance with 
Sec. 455.30(d) and as stated in an approved State Plan.
    (c) Applications for Federal funding in excess of the non-Federal 
share in the State plan pursuant to Sec. 455.20(x) based on claims of 
severe hardship shall be given an additional evaluation by the State to 
assess on a quantifiable basis to the maximum extent practicable the 
relative need among eligible institutions. The minimum amount of 
additional Federal funding necessary for the applicant to participate in 
the program will be determined by the State in accordance with the 
procedures established in the State Plan. The primary consideration 
shall be the institution's inability to provide the non-Federal share of 
the project cost as specified in the State plan pursuant to 
Sec. 455.20(x). Secondary criteria such as climate, fuel cost and fuel 
availability, borrowing capacity, median family income in the area, and 
other relevant factors as determined by the State may

[[Page 573]]

be addressed in the State Plan as specified in Sec. 455.20(g).
    (d) A State shall indicate, for those schools and hospitals with the 
highest rankings, determined pursuant to Sec. 455.131(b) and (c):
    (1) The amount of additional hardship funding requested by each 
eligible applicant for each building determined to be in a class of 
severe hardship and
    (2) The amount of hardship funding recommended by the State based 
upon relative need, as determined in accordance with the State Plan, to 
the limit of the hardship funds available. The State must decide on a 
case-by-case basis whether, and to what extent, it will recommend 
hardship funding.
    (e) If there are insufficient applications from hardship applicants 
to cover the 10 percent allocation provided for in Sec. 455.30(d), then 
the State may recommend use of the remaining funds for other qualified 
applicants. The total amount recommended for hardship grants cannot 
exceed the 10 percent limit.



Sec. 455.133  Forwarding of applications from institutions and coordinating agencies for technical assistance and energy conservation measure grants.

    (a) Except as provided by Sec. 455.92 of this part, each State shall 
forward all applications recommended for funding within its allocation 
to DOE once each program cycle along with a listing of buildings or 
measures covered by eligible applications for schools, hospitals, units 
of local government, and public care institutions ranked by the State if 
necessary pursuant to the provisions of Sec. 455.131. If ranking has 
been employed, the list shall include the standings of buildings or 
measures.
    (1) Measure-by-measure rankings will be recombined for the 
respective buildings with more than one recommended measure and
    (2) Buildings will be consolidated under one grantee application.
    (b) The State shall indicate the amount of financial assistance 
requested by the applicant for each eligible building and, for those 
buildings recommended for funding within the limits of the State's 
allocation, the amount recommended for funding. If the amount 
recommended is less than the amount requested by the applicant, the list 
shall also indicate the reason for that recommendation.
    (c) The State shall indicate that it has reviewed and evaluated all 
of the submitted applications and that those applications meet the 
relevant requirements of the program, and shall certify that 
applications submitted are eligible pursuant to Sec. 455.130(a).



Sec. 455.134  Forwarding of applications for State grants for technical assistance, program assistance, and marketing.

    A State eligible to apply for grants for technical assistance, 
program assistance, or marketing, as described in Sec. 455.121, may 
submit such an application to DOE any time after the allocations have 
been announced as part of, or in lieu of, an application for a grant for 
State administrative expenses. Such applications shall provide separate 
narrative descriptions, budgets and appropriate milestone dates, 
covering each activity or program, that are sufficiently detailed to 
enable DOE to reasonably evaluate the application.



Sec. 455.135  State liaison, monitoring, and reporting.

    Each State shall be responsible for:
    (a) Consulting with eligible institutions and coordinating agencies 
representing such institutions in the development of its State Plan;
    (b) Notifying eligible institutions and coordinating agencies of the 
content of the approved State Plan and any amendment to a State Plan;
    (c) Notifying each applicant how the applicant's building or measure 
ranked among other applications, and whether and to what extent its 
application will be recommended for funding or if not to be recommended 
for funding, the specific reasons(s) therefor;
    (d) Certifying that each institution has given its assurance that it 
is willing and able to participate on the basis of any changes in 
amounts recommended for that institution in the State ranking pursuant 
to Sec. 455.131;
    (e) Reporting requirements pursuant to Sec. 455.113; and
    (f) Direct program oversight and monitoring of the activities for 
which grants are awarded as defined in the

[[Page 574]]

State Plan. States shall immediately notify DOE of any noncompliance or 
indication thereof.



                         Subpart M--Grant Awards



Sec. 455.140  Approval of applications from institutions and coordinating agencies for technical assistance and energy conservation measures.

    (a) DOE shall review and approve applications submitted by a State 
in accordance with Sec. 455.133 if DOE determines that the applications 
meet the objectives of the Act, and comply with the applicable State 
Plan and the requirements of this part. DOE may disapprove all or any 
portion of an application to the extent funds are not available to carry 
out a program or measure (or portion thereof) contained in the 
application, or for such other reason as DOE may deem appropriate.
    (b) DOE shall notify a State and the applicant of the final approval 
or disapproval of an application at the earliest practicable date after 
the DOE receipt of the application, and, in the event of disapproval, 
shall include a statement of the reasons therefor.
    (c) An application which has been disapproved for reasons other than 
lack of funds may be amended to correct the cause of its disapproval and 
resubmitted in the same manner as the original application at any time 
within the same grant program cycle. Such an application will be 
considered to the extent funds have not already been designated for 
applicants by the ranking process at the time of resubmittal. However, 
nothing in this provision shall obligate either the State or DOE to take 
final action regarding a resubmitted application within the grant 
program cycle. An application not acted upon may be resubmitted in a 
subsequent grant program cycle.
    (d) DOE shall not provide supplemental funds to cover cost overruns 
or other additional costs beyond those provided for in the original 
grant award for technical assistance projects and shall fund only one 
technical assistance project per building.
    (e) DOE shall not provide supplemental funds to cover cost overruns 
or other additional costs beyond those provided for in the original 
grant award for energy conservation measures funded under a grant in a 
given grant program cycle. DOE shall not provide funds to cover energy 
conservation measures intended to replace energy conservation measures 
funded in an earlier grant cycle unless the State has funds remaining 
after all applications for new energy conservation measures have been 
evaluated and submitted to DOE for funding.
    (f) If provided for in the State Plan, an applicant may reapply for 
a technical assistance program or an energy conservation measure grant 
which was included in a prior grant application but which was not 
implemented and for which no funds were expended.
    (g) An applicant may apply for, and DOE may make, grant awards in 
another grant program cycle for additional energy conservation measures 
which relate to a building which previously received grants for other 
energy conservation measures.
    (h) Funds which become available to a grantee after the installation 
of all approved measures, due to cost underruns in the installed 
measures, may be used by the grantee for additional measures if such 
measures are approved in writing by the State and DOE.
    (i) DOE may fund costs incurred by an applicant for technical 
assistance and energy conservation measure projects after the date of 
the grant application, so long as that date is no earlier than the close 
of the preceding grant program cycle. Such costs may be funded when, in 
the judgment of DOE, the applicant has complied with program 
requirements and the costs incurred are allowable under applicable cost 
principles and the approved project budget. The applicant bears the 
responsibility for the entire project cost unless the application is 
approved by DOE in accordance with this part.
    (j) In addition to the prior approval requirements for project 
changes as specified in the DOE Financial Assistance Rules (10 CFR part 
600), a grantee shall request prior written approval from DOE before:
    (1) Transferring DOE or matching amounts between buildings included 
in an approved application when the

[[Page 575]]

State ranks applications on a building-by-building basis or
    (2) Transferring DOE or matching amounts between energy conservation 
measures included in an approved application when the State ranks on a 
measure-by-measure basis.



Sec. 455.141  Grant awards for units of local government, public care institutions, and coordinating agencies.

    (a) DOE may make grants to units of local government, public care 
institutions, and coordinating agencies representing them for up to 50 
percent of the costs of performing technical assistance programs for 
buildings covered by an application approved in accordance with 
Sec. 455.140 except that in the case of units of local government and 
public care institutions a majority of whose operating and capital funds 
are provided by the Government of the U.S. Virgin Islands, Guam, 
American Samoa, or the Commonwealth of the Northern Mariana Islands, a 
grant may be made for up to 100 percent of such costs.
    (b) Total grant awards within any State to units of local government 
and public care institutions are limited to funds allocated to each 
State in accordance with Sec. 455.30.
    (c) Units of local government and public care institutions are not 
eligible for financial assistance for severe hardship.



Sec. 455.142  Grant awards for schools, hospitals, and coordinating agencies.

    (a) DOE may make grants to schools, hospitals, and coordinating 
agencies for up to 50 percent of the costs of performing technical 
assistance programs for buildings covered by an application approved in 
accordance with Sec. 455.140; except that in the case of schools and 
hospitals a majority of whose operating and capital funds are provided 
by the Government of the U.S. Virgin Islands, Guam, American Samoa, or 
the Commonwealth of the Northern Mariana Islands a grant may be made for 
up to 100 percent of such costs. Grant awards for technical assistance 
programs in any State within any grant program cycle shall be limited to 
a portion of the total allocation as specified in Sec. 455.30(b)(1).
    (b) DOE may make grants to schools, hospitals and coordinating 
agencies for up to 50 percent of the costs of acquiring and installing 
energy conservation measures, including renewable resource measures, for 
buildings covered by an application approved in accordance with 
Sec. 455.140, except that in the case of schools and hospitals a 
majority of whose operating and capital funds are provided by the 
Government of the U.S. Virgin Islands, Guam, American Samoa, or the 
Commonwealth of the Northern Mariana Islands, a grant may be made for up 
to 100 percent of such costs.
    (c) DOE may award up to 10 percent of the total amount allocated to 
a State for schools and hospitals in cases of severe hardship, 
ascertained by the State in accordance with the State Plan, for 
buildings recommended and in amounts determined by the State pursuant to 
Sec. 455.132(d)(2).



Sec. 455.143  Grant awards for State administrative expenses.

    (a) For the purpose of defraying State expenses in the 
administration of technical assistance programs in accordance with 
subpart E and energy conservation measures in accordance with subpart F 
or energy conservation measures non-Federally funded pursuant to 
Sec. 455.121, DOE may make grant awards to a State:
    (1) Immediately following public notice of the amounts allocated to 
a State for the grant program cycle, and upon approval of the 
application for administrative costs, in an amount not exceeding 
$50,000;
    (2) Concurrent with grant awards for approved applications for 
technical assistance or energy conservation measures for institutions in 
that State and upon approval of an application for administrative costs, 
in an amount not exceeding the difference between the amount granted 
pursuant to paragraph (a)(1) of this section and 5 percent of the 
Federal share of the total amount of grants awarded within the State for 
technical assistance programs and energy conservation measures in the 
applicable grant program cycle; or

[[Page 576]]

    (3) Upon receipt by DOE of documentation from the State 
demonstrating that sufficient non-Federal funding has been obligated or 
legally committed to schools and hospitals for energy conservation 
measures pursuant to Sec. 455.121(a) and Sec. 455.123(b)(2), and upon 
approval of an application for administrative costs, in an amount not 
exceeding the difference between the amount granted pursuant to 
paragraph (a)(1) of this section and 5 percent of the aggregate Federal 
and non-Federal funds obligated or legally committed to eligible 
recipients in the State to provide technical assistance, program 
assistance, and marketing programs and implement energy conservation 
measures consistent with this part, for the fiscal year concerned.
    (b) Grants for such purposes may be made for up to 100 percent of 
the projected administrative expenses, not to exceed the State's 
allocation or the $50,000 or 5 percent limit, as approved by DOE.
    (c) The total of all grants for State administrative costs, 
technical assistance programs, and energy conservation measures (or for 
State administrative costs, technical assistance, program assistance, 
and marketing, if the State elects and is eligible to apply for such 
grants) in that State shall not exceed the total amount allocated for 
that State for any grant program cycle.
    (d) In the event that a State cannot or decides not to use the 
amount available to it for an administrative grant under this section 
for administrative purposes, these funds may, at the discretion of the 
State, be used for technical assistance and energy conservation grants 
to eligible institutions within that State in accordance with this part.



Sec. 455.144  Grant awards for State programs to provide technical assistance, program assistance, and marketing.

    (a) For the purpose of defraying State expenses in the 
administration of special programs to provide technical assistance and 
program assistance pursuant to Sec. 455.121, DOE may make a grant award 
to a State for up to 100 percent of the funds allocated to the State for 
the grant program cycle, provided that the State meets the requirements 
described in Sec. 455.121(b). In addition:
    (1) Funds for individual technical assistance programs provided by 
the State pursuant to this section shall not exceed 50 percent of the 
cost of the technical assistance program;
    (2) Grants for program assistance may be made for up to 100 percent 
of a State's projected program assistance expenses; and
    (3) Grants for State technical assistance, and program assistance 
programs may be awarded by DOE upon approval of an application from the 
State.
    (b) For the purpose of defraying State expenses in the 
administration of a marketing program pursuant to Sec. 455.121, DOE may 
make a grant award to a State for up to 50 percent of the funds 
allocated to the State for the grant program cycle, provided that the 
State meets the requirements described in Sec. 455.121(b). In addition:
    (1) Grants for marketing may be made for up to 100 percent of a 
State's projected marketing expenses; and
    (2) Such grants may be awarded by DOE upon approval of an 
application from the State.
    (c) If a State provides a certification under section 455.121(b) and 
is unable to document that the required non-Federal funding levels for 
energy conservation measures were achieved substantially for the 
previous fiscal year for which a similar certification was submitted, 
DOE may deny the application, accept it after the percentage of 
allocated funds is reduced in light of past performance, or take other 
appropriate action.
    (d) In the event that a State, after receiving a grant under this 
section, cannot or decides not to use all or part of the amount 
available to it for technical assistance, program assistance, and 
marketing, these funds may, at the discretion of the State and after 
appropriate application to and approval of DOE, be used for technical 
assistance and energy conservation grants to eligible institutions 
within that State in accordance with this part.

[[Page 577]]



                    Subpart N--Administrative Review



Sec. 455.150  Right to administrative review.

    (a) A State shall have a right to file a notice requesting 
administrative review of a decision under Sec. 455.143 by a Support 
Office Director to disapprove an application for a grant award for State 
administrative expenses subject to special conditions or a decision 
under Sec. 455.21 of this part by a Support Office Director to 
disapprove a State Plan or an amendment to a State Plan.
    (b) A State shall have a right to file a notice requesting 
administrative review of a decision under Sec. 455.144 by a Support 
Office Director to disapprove an application for a grant award for State 
technical assistance, program assistance, or marketing programs.
    (c) A school, hospital, coordinating agency, or State acting as an 
institution's duly authorized agent shall have a right to file a notice 
requesting administrative review of a decision under Sec. 455.140 by a 
Support Office Director to disapprove an application for a grant award 
to perform technical assistance programs or to acquire and install an 
energy conservation measure if the disapproval is based on a 
determination that:
    (1) The applicant is ineligible, under Sec. 455.61 or Sec. 455.71 or 
for any other reason; or
    (2) An energy use evaluation submitted in lieu of an energy audit is 
unacceptable under the State Plan; or
    (3) A technical assistance program equivalent performed without the 
use of Federal funds does not comply with the requirements of 
Sec. 455.62 for purposes of satisfying the eligibility requirements of 
Sec. 455.71(a)(3).



Sec. 455.151  Notice requesting administrative review.

    (a) Any applicant shall have 20 days from the date of receipt of a 
decision subject to administrative review under Sec. 455.150 to 
disapprove its application for a grant award to file a notice requesting 
administrative review. If an applicant does not timely file such a 
notice, the decision to disapprove shall become final for DOE.
    (b) A notice requesting administrative review shall be filed with 
the Support Office Director and shall be accompanied by a written 
statement containing supporting arguments.
    (c) If the applicant is a State appealing pursuant to paragraph (a) 
of Sec. 455.150, the State shall have the right to a public hearing. To 
exercise that right, the State must request such a hearing in the notice 
filed under paragraph (b) of this section. A public hearing under this 
section shall be informal and legislative in nature.
    (d) A notice or any other document shall be deemed filed under this 
subpart upon receipt.



Sec. 455.152  Transmittal of record on review.

    On or before 15 days from receipt of a notice requesting 
administrative review which is timely filed, the Support Office Director 
shall forward to the Deputy Assistant Secretary the notice requesting 
administrative review, the decision to disapprove as to which 
administrative review is sought, a draft recommended final decision for 
concurrence, and any other relevant material.



Sec. 455.153  Review by the Deputy Assistant Secretary.

    (a) If a State requests a public hearing pursuant to paragraph (a) 
of Sec. 455.150, the Deputy Assistant Secretary, within 15 days, shall 
give actual notice to the State and Federal Register notice of the date, 
place, time, and procedures which shall apply to the public hearing. Any 
public hearing under this section shall be informal and legislative in 
nature.
    (b) The Deputy Assistant Secretary shall concur in, concur in as 
modified, or issue a substitute for the recommended decision of the 
Support Office Director:
    (1) With respect to a notice filed pursuant to paragraph (a) of 
Sec. 455.150, on or before 60 days from receipt of documents under 
Sec. 455.152 or the conclusion of a public hearing, whichever is later; 
or
    (2) With respect to a notice filed pursuant to paragraph (b) of 
Sec. 455.150, on or before 30 days from receipt of documents under 
Sec. 455.152.

[[Page 578]]



Sec. 455.154  Discretionary review by the Assistant Secretary.

    On or before 15 days from the date of the determination under 
Sec. 455.153(b), the applicant for a grant award may file an 
application, with a supporting statement of reasons, for discretionary 
review by the Assistant Secretary. If administrative review is sought 
pursuant to paragraph (a) of Sec. 455.150, the Assistant Secretary shall 
send a notice granting or denying discretionary review within 15 days 
and upon granting such review, shall issue a decision no later that 60 
days from the date discretionary review is granted. If administrative 
review is sought pursuant to paragraph (b) of Sec. 455.150, the 
Assistant Secretary shall send a notice granting or denying 
discretionary review within 15 days and upon granting such review shall 
issue a decision no later than 30 days from the date discretionary 
review is granted. The Assistant Secretary may not issue a notice or 
decision under this paragraph without the concurrence of the DOE Office 
of General Counsel.



Sec. 455.155  Finality of decision.

    A decision under Sec. 455.153 shall be final for DOE if there is no 
review sought under Sec. 455.154. If there is review under Sec. 455.154, 
the decision thereunder shall be final for DOE, and no appeal shall lie 
elsewhere in DOE.



PART 456--[RESERVED]






PART 470--APPROPRIATE TECHNOLOGY SMALL GRANTS PROGRAM--Table of Contents




Sec.
470.1  Purpose and scope.
470.2  Definitions.
470.10  Establishment of program.
470.11  Eligibility requirements.
470.12  Management.
470.13  Program solicitation.
470.14  Evaluation and selection.
470.15  Allocation of funds.
470.16  Cost sharing and funds from other sources.
470.17  General requirements.
470.18  Debriefing.
470.20  Dissemination of information.

    Authority: Energy Research and Development Administration 
Appropriation Authorization of 1977, Pub. L. 95-39; Energy 
Reorganization Act of 1974, Pub. L. 93-438; Department of Energy 
Organization Act, Pub. L. 95-91.

    Source: 45 FR 8928, Feb. 8, 1980, unless otherwise noted.

    Editorial Note: The recordkeeping requirements contained in this 
part have been approved by the Office of Management and Budget under 
control number 1904-0036.



Sec. 470.1  Purpose and scope.

    This part contains guidelines for the implementation of the 
appropriate technology small grants program required to be prescribed by 
section 112 of the Act.



Sec. 470.2  Definitions.

    As used in this part--
    Act means the Energy Research and Development Administration 
Appropriation Authorization of 1977, Pub. L. 95-39, 91 Stat. 180, 42 
U.S.C. 5907a.
    Affiliate means a concern which, either directly or indirectly, 
controls or has the power to control another concern, is controlled by 
or is within the power to control of another concern or, together with 
another concern, is controlled by or is within the power to control of a 
third party, taking into consideration all appropriate factors, 
including common ownership, common management and contractual 
relationships.
    Concern means any business entity organized for profit (even if its 
ownership is in the hands of a nonprofit entity) with its principal 
place of business located in the United States. ``Concern'' includes, 
but is not limited to, an individual, partnership, corporation, joint 
venture, association or cooperative. For the purpose of making 
affiliation findings, any business entity, whether organized for profit 
or not, and any foreign business entity (i.e., any entity located 
outside the United States), shall be included.
    DOE means the Department of Energy.
    DOE-AR means the Department of Energy Assistance Regulations (10 CFR 
part 600).
    DOE-PR means the Department of Energy Procurement Regulations (41 
CFR part 9).

[[Page 579]]

    Indian tribe means any tribe band, nation, or other organized group 
or community of Indians (including any Alaska native village or regional 
or village corporation as defined in or established pursuant to the 
Alaska Native Claims Settlement Act, Pub. L. 92-203, 85 Stat. 688, which 
(1) is recognized as eligible for the special programs and services 
provided by the United States to Indians because of their status as 
Indians; or (2) is located on, or in proximity to, a Federal or State 
reservation or rancheria, acting through its tribal organization.
    Local agency means an agency or instrumentality of a local 
government.
    Local government means a local unit of government including 
specifically a county, municipality, city, town, township, local public 
authority, special district, intrastate district, council of 
governments, sponsor group representative organization, and other 
regional or intrastate government entity.
    Local nonprofit organization or institution means any corporation 
trust, foundation, trade association, or other institution (1) which is 
entitled to exemption under section 501(c)(3) of the Internal Revenue 
Code or (2) which is not organized for profit and no part of the net 
earnings of which insure to the benefit of any private shareholder or 
individual.
    Program means the appropriate technology small grants program.
    Small business means a concern, including its affiliates, which is 
organized for profit, is independently owned and operated, is not 
dominant in the field of operation in which it is submitting a proposal 
to DOE, and has 100 employees or less.
    Standard Federal regions means the 10 standard Federal regions 
established by Office of Management and Budget Circular A-105, entitled 
``Standard Federal Regions.''
    State means any of the several States of the United States, the 
District of Columbia, the Commonwealth of Puerto Rico, and any territory 
or possession of the United States.
    State agency means an agency or instrumentality of a State 
government.
    State government means the government of a State, or an interstate 
organization.
    Support means financial support or award under the program by 
grants, cooperative agreements or contracts.
    Tribal organization means the recognized governing body of an Indian 
tribe, or any legally established organization of Native Americans which 
is controlled, sanctioned, or chartered by such governing body.



Sec. 470.10  Establishment of program.

    There is established, under direction of the Assistant Secretary for 
Conservation and Solar Energy of DOE, an appropriate technology small 
grants program for the purpose of encouraging development and 
demonstration of, and the dissemination of information with respect to, 
energy-related systems and supporting technologies appropriate to--
    (a) The needs of local communities and the enhancement of community 
self-reliance through the use of available resources;
    (b) The use of renewable resources and the conservation of non-
renewable resources;
    (c) The use of existing technologies applied to novel situations and 
uses;
    (d) Applications which are energy conserving, environmentally sound, 
small scale and low cost; and
    (e) Applications which demonstrate simplicity of installation, 
operation and maintenance.



Sec. 470.11  Eligibility requirements.

    (a) Support under this part may be made to individuals, local non-
profit organizations and institutions. State and local agencies, Indian 
tribes and small businesses.
    (b) The aggregate amount of support made available to any 
participant in the program, including affiliates, shall not exceed 
$50,000 during any 2-year period. This limitation applies only to 
support for projects and not to funds received by participants from DOE 
for other purposes, such as performance of services.
    (c) Projects which shall be considered for support are those which 
carry out the purposes of the program as expressed in Sec. 470.10 and 
which are within the following categories--

[[Page 580]]

    (1) Idea development, i.e., the development of an idea or concept or 
an investigative finding in areas ranging from development of new 
concepts of energy sources to the utilization of old procedures or 
systems for a new application;
    (2) Device development, i.e., the systematic use and practical 
application of investigative findings and theories of a scientific or 
technical nature toward the production of, or improvements in, useful 
products to meet specific performance requirements but exclusive of 
manufacturing and production engineering. The dominant characteristic is 
that the effort be pointed toward specific energy problem areas to 
develop and evaluate the feasibility and practicability of proposed 
solutions and determine their parameters. Device development includes 
studies, investigations, initial hardware development and ultimately 
development of hardware, systems, or other means for experimental or 
operational test; or
    (3) Demonstration, i.e., the testing of a system or technique under 
operation conditions to show that commercial application is technically, 
economically and environmentally feasible.
    (d) Support for each category in paragraph (c) of this section shall 
not, for a single participant in the program, including affiliates, 
exceed the following limits for any project--
    (1) For idea development, $10,000;
    (2) For device development, $50,000; and
    (3) For demonstration, $50,000.
    (4) A participant may receive under a subsequent program 
solicitation--
    (i) Additional support for a funded project or;
    (ii) Initial support for a new project, subject to the support 
limits set forth in paragraphs (b) and (d) of this section.



Sec. 470.12  Management.

    (a) The program shall be managed by a National Program Director 
within the Office of the Assistant Secretary for Conservation and Solar 
Energy of DOE.
    (b) The program shall be implemented regionally, based on the 10 
standard Federal regions or combinations thereof, to insure substantial 
consideration of the needs, resources, and special circumstances of 
local communities. Regions may be combined provided the requirements of 
Office of Management and Budget Circular A-106 entitled ``Standard 
Federal Regulations'' are met. Regional Program Managers shall design 
and manage the regional programs as directed by the National Program 
Director and shall consult, as appropriate, with State and local 
officials, the appropriate technology community and other interested 
parties.



Sec. 470.13  Program solicitation.

    (a) The Regional Program Managers shall be responsible for the 
preparation of program solicitations which solicit proposals for support 
under the program pursuant to simplified application procedures. 
Projects may be supported under the program only if they have 
successfully completed under a program solicitation.
    (b) Each program solicitation shall include--
    (1) A description of the program;
    (2) The eligibility requirements;
    (3) A time schedule for submission of, and action on, proposals;
    (4) A simple application form for submitting a proposal for support 
under the program, together with instructions for completing the 
application form;
    (5) Evaluation criteria, along with a narrative description of their 
relative importance;
    (6) An explanation of the evaluation and selection procedures, 
including a notice to proposers that if the proposer expressly indicates 
that only Government evaluation is authorized, DOE may be unable to give 
full consideration to the proposal.
    (7) Other applicable information, terms and conditions, including 
the desired budget format;
    (8) Place for, and manner of, submission;
    (9) A unique number for identification purposes;
    (10) A statement notifying potential proposers that an announcement 
does not commit DOE to pay any proposal perparation costs and that DOE 
reserves the right to select for support

[[Page 581]]

any, all, or none of the proposals received in response to a 
solicitation;
    (11) A late proposal provision;
    (12) A statement notifying proposers how to identify information in 
the proposal which the proposer does not want disclosed for purposes 
other than the evaluation of the proposal.
    (13) A statement notifying proposers that all information contained 
in the proposal will be handled in accordance with the policies and 
procedures set forth in DOE-AR and DOE-PR, as applicable, and disclosed, 
if appropriate, in accordance with 10 CFR part 1004 entitled ``Freedom 
of Information.''
    (14) A statement notifying proposers of their right to request a 
debriefing pursuant to the procedures set forth in Sec. 470.18; and
    (15) A statement notifying proposers of their right to request a 
waiver of DOE's title to inventions made under the program.
    (c) Each program solicitation shall be synopsized in the Commerce 
Business Daily prior to or concurrent with release. The program 
solicitation also shall be announced to appropriate newspapers, trade 
and technical publications, and State and local governments, and shall 
be circulated directly to interested individuals, entities, and 
associations thereof, to the maximum extent feasible.



Sec. 470.14  Evaluation and selection.

    (a) Prior to making a comprehensive evaluation of a proposal, the 
receiving office shall determine that it contains sufficient technical, 
cost, and other information to enable comprehensive evaluation and that 
it has been properly signed. If the proposal does not meet these 
requirements, a prompt reply shall be sent to the proposer, indicating 
the reason(s) for the proposal not being selected for support under the 
program solicitation. A proposer may correct any minor informality or 
irregularity or apparent clerical mistake prior to the entering into of 
grants, contracts, or cooperative agreements. A minor informality or 
irregularity is one which is merely a matter of form and not of 
substance or pertains to some immaterial or inconsequential defect or 
variation from the exact requirements of the program announcement.
    (b)(1) The Regional Program Manager shall select a number of 
technical evaluation reviewers representing several disciplines to 
ensure adequate technical review of proposals.
    (2) After receiving nominations from each State or combinations of 
States within the Region, the Program Manager shall select a number of 
State reviewers for each State or combinations of States, respectively. 
The nominations and selections of State reviewers shall take into 
consideration representation by persons from a variety of backgrounds, 
in order that the reviewers are able to evaluate proposals of potential 
merit in various fields and from various types of proposers.
    (3) The Regional Program Manager or designee shall provide proposals 
to the technical evaluation and State reviewers and shall provide their 
findings and comments to the selection panel established pursuant to 
paragraph (3) of this section.
    (4) In carrying out the responsibilities set forth in paragraphs (b) 
(1), (2) and (3) of this section, the Regional Program Manager (i) shall 
determine the number of technical evaluation and State reviewers who 
shall review each proposal; (ii) shall determine the sequence of the 
technical and State review; (iii) may designate a person to serve as 
both a technical and State reviewer, if appropriate to the needs of the 
program in the Region. A decription of the Program Manager's 
determinations under this paragraph shall be included in the Program 
Solicitation pursuant to Sec. 470.13(b)(6).
    (c) Each technical evaluation reviewer shall evaluate those 
proposals which he or she receives from the Regional Program Manager or 
designee and shall provide his or her findings to the Regional Program 
Manager or designee. In addition to the general criteria underlying the 
establishment of the program as set forth in Sec. 470.10, the major 
criteria to be considered by each technical evaluation reviewer shall 
include--
    (1) Whether the proposal is technically feasible, including a 
determination as to whether the proposed energy

[[Page 582]]

savings or energy production can be technically achieved;
    (2) Whether the results being proposed are capable of being 
measured;
    (3) Whether the proposal has any potential environmental, health and 
safety impacts; and
    (4) From a technical standpoint, whether the proposal can be carried 
out within the funds being requested.
    (d) Each State reviewer shall evaluate those proposals which he or 
she receives from the Program Manager or designee and shall provide his 
or her findings and comments to the Program Manager or designee. In 
addition to the general criteria underlying establishment of the program 
as set forth in Sec. 470.10, the criteria to be considered by each State 
reviewer shall include--
    (1) The potential impact of the proposal on the energy needs and 
requirements of the community or region;
    (2) The energy resource involved and its importance or availability 
to the community or region;
    (3) The expected energy savings or production that will result from 
the proposal and the significance of those savings or production to the 
energy requirements of the community or region;
    (4) The institutional barriers that may substantially affect the 
proposal and the potential of the proposal to deal with those barriers;
    (5) The likelihood of commercialization or utilization of the 
technology, process, or items within the proposal and extent of such 
commercialization/utilization;
    (6) The innovative nature of the proposal;
    (7) Any potential environmental, health and safety impacts of the 
proposal upon the community or region;
    (8) The extent to which work beyond the funded project period might 
be required;
    (9) The extent to which local resources, material, and manpower will 
be utilized; and
    (10) The adequacy of the business aspects of the proposal, including 
the reasonableness of the proposer's budget for carrying out the 
proposal.
    (e) A selection panel composed of DOE personnel appointed by the 
Regional Program Manager shall, taking into account the findings and 
comments of the technical evaluation and State reviewers, evaluate and 
rank the proposals in accordance with the criteria stated in the program 
solicitation.
    (f) For each Region, a DOE selection official shall select proposals 
for support from the ranking established by the selection panel, taking 
into account the following program policy factors in order to determine 
the mix of proposed projects which will best further specific program 
goals--
    (1) Regional distribution, including geography, population, and 
climate;
    (2) Project type distribution, including a diversity of methods, 
approaches, and technologies;
    (3) Diversity of participants; and
    (4) The best overall use of the funds available.



Sec. 470.15  Allocation of funds.

    (a) DOE shall annually allocate fiscal year funds available for 
support among the 10 standard Federal Regions, according to the 
following formula;
    (1) Two-thirds to be allocated according to population; and
    (2) One-third to be allocated according to the number of proposals 
received, per hundred thousand of population of the Region, which meet 
the requirements set forth in Sec. 470.14(a).
    (b) The minimum annual level of support for projects for each State 
within a Region shall be 10 percent of the fiscal year funds allocated 
to the Region, divided by the number of States in the Region.
    (c) For the purposes of this section, population shall be determined 
by the most current complete national series, as published by the United 
States Bureau of the Census in Current Population Reports, P-25, P-26, 
or related series, except where data from the decennial census conducted 
by the Bureau of the Census is more current.



Sec. 470.16  Cost sharing and funds from other sources.

    Proposers are encouraged to offer to share in the costs of their 
proposed projects or to arrange that other entities provide cost sharing 
on their behalf. Regional Program Managers, with the consent of the 
proposer, may work

[[Page 583]]

with States, local governments or other entities to obtain supplemental 
funding.



Sec. 470.17  General requirements.

    (a) Except where this part provides otherwise, the submission, 
evaluation and selection for support of proposals under the program and 
the entering into and administration of grants, cooperative agreements, 
and contracts under the program, shall be governed by the provisions of 
DOE-AR and DOE-PR are applicable, such other procedures applicable to 
grants, cooperative agreements, and contracts under the program as DOE 
may from time to time prescribe, and any Federal requirements applicable 
to grants, cooperative agreements, and contracts under the program.
    (b) Each grant, cooperative agreement or contract under this part 
shall require that a recipient of support under the program shall submit 
a full written report of activities supported in whole or in part by 
Federal funds made available under the program and shall contain any 
additional report provisions and other provisions dealing with records, 
allowable expenses, accounting practices, publication and publicity, 
copyrights, patents, discrimination, conflict of interest, insurance, 
safety, changes, resolution of disputes and other standard and/or 
relevant support agreements requirements required by, or appropriate to, 
the needs of the program.



Sec. 470.18  Debriefing.

    Upon written request, unsuccessful proposers will be accorded 
debriefings. Such debriefings must be requested within 30 working days 
of notification of elimination from consideration. Debriefings will be 
provided at the earliest feasible time as determined by the Regional 
Program Manager.



Sec. 470.20  Dissemination of information.

    DOE shall disseminate to the public, in an appropriate manner, 
information of the nature, usage and availability of the energy-related 
systems and supporting technologies developed or demonstrated under the 
program. In addition, DOE shall maintain and make available to 
recipients of support under the program current information on public 
and private sources of possible assistance for the further development 
and commercialization of their projects.



PART 473--AUTOMOTIVE PROPULSION RESEARCH AND DEVELOPMENT--Table of Contents




 Review and Certification of Grants, Cooperative Agreements, Contracts, 
                              and Projects

Sec.
473.1  Purpose and scope.
473.2  Definitions.
473.10  Required information from applicant.
473.11  Submission of applicant's information.
473.20  Public notice and opportunity to object.
473.21  Supplemental information and rebuttal.
473.22  Initial review by manager.
473.23  Interagency review panel.
473.24  Final action and certification by manager.
473.25  Reviewability of certification.
473.30  Standards and criteria.

    Authority: Federal Energy Administration Act of 1978--Civilian 
Applications, Pub. L. 95-238; Department of Energy Organization Act, 
Pub. L. 95-91.

    Source: 43 FR 55230, Nov. 24, 1978, unless otherwise noted.

 Review and Certification of Grants, Cooperative Agreements, Contracts, 
                              and Projects



Sec. 473.1  Purpose and scope.

    These regulations implement section 304(f) of the Federal Energy 
Administration Act of 1978--Civilian Applications, and apply to each new 
contract, grant, cooperative agreement, Department of Energy project, or 
other agency project funded or to be funded under the authority of that 
Act. 15 U.S.C. 2703(f) (1970). These regulations do not apply to 
subcontractors, or to contracts, grants, cooperative agreements, 
Department of Energy projects, or other agency projects entered into, 
made, or formally approved and initiated prior to February 25, 1978, or 
with respect to any renewal or extension thereof. Insofar as grants, 
cooperative

[[Page 584]]

agreements, and contracts are concerned, these regulations provide 
procedures and requirements that are in addition to those generally 
applicable under the assistance and procurement regulations of the 
Federal agency funding research and development under the Act.



Sec. 473.2  Definitions.

    For purpose of these regulations--
    Act means the Federal Energy Administration Act of 1978--Civilian 
Applications. Pub. L. 95-238, 92 Stat. 47.
    Advanced automobile propulsion system means an energy conversion 
system, including engine and drivetrain, which utilizes advanced 
technology and is suitable for use in an advanced automobile.
    Agency project means research and development under the Act by 
employees of a Federal agency furnishing assistance at the request of 
the DOE.
    Annual funding period means the Federal fiscal year during which a 
grant, cooperative agreement, or contract is funded by an appropriation 
under the Act.
    Applicant means any private laboratory, university, nonprofit 
organization, industrial organization, private agency, institution, 
organization, corporation, partnership, individual, or public agency 
other than a Federal agency.
    DOE project means research and development under the Act by 
employees of the DOE.
    Federal agency means an executive agency as defined by 5 U.S.C. 105 
(1970).
    Manager means the Federal program official who requests grant 
agreements, cooperative agreements, or contracts to be negotiated or who 
authorizes a DOE or agency project to begin.
    Notice of availability means a notice published in the Commerce 
Business Daily advertising the availability of a formal solicitation 
document to be issued for the purpose of inviting and setting guidelines 
for submission of proposals for research and development grants, 
cooperative agreements, or contracts.
    Research and development means activities constituting a project to 
create an advanced automobile propulsion system and does not mean 
activities involving technology transfer to mass production, evaluative 
testing, preliminary planning for a DOE or an agency project, or program 
administration and managment.
    Solicitation means a formal, written request for proposals to 
perform research and development under a grant, cooperative agreement, 
or contract, typically including evaluation criteria and a statement of 
the work to be done.



Sec. 473.10  Required information from applicant.

    In accordance with applicable procedures of Sec. 473.11 any 
applicant for a grant, cooperative agreement, or contract under the Act 
to support research and development activities of an advanced automobile 
propulsion system shall--
    (a) State whether the activities will initiate or continue research 
and development of an advanced automobile propulsion system;
    (b) State, insofar as the applicant has information, whether and to 
what extent the activities to be supported are technically the same as 
activities conducted previously or to be conducted during the annual 
funding period by any person for research and development of a 
substantially similar advanced automobile propulsion system;
    (c) Justify research and development activities on an advanced 
automobile propulsion system abandoned by any person because of a lack 
of mass production potential by presenting information showing a 
significant intervening technological advance, promising conceptual 
innovation, or other special consideration;
    (d) Provide--
    (1) An assurance that the amount of funds to be expended for 
research and development of advanced automobile propulsion systems 
during the initial annual funding period will exceed the amount of funds 
expended, if any, during the previous year for the same purpose by at 
least the amount of the grant, cooperative agreement, or contract being 
sought; and
    (2) An assurance that the level of research and development effort 
on advanced automobile propulsion systems in the initial annual funding 
period

[[Page 585]]

will not be decreased in future annual funding periods.
    (e) Provide to the extent possible--
    (1) An assurance that the time period for completing research and 
development of the advanced automobile propulsion is likely to be 
shorter as a result of a grant, cooperative agreement, or contract; and
    (2) The estimated delay, if any, which is likely to occur if the 
application for a grant, cooperative agreement, or contract is denied.



Sec. 473.11  Submission of applicant's information.

    (a) An applicant submitting an unsolicited proposal to conduct 
research and development to be funded by a grant, cooperative agreement, 
or contract under the Act shall include the information required under 
Sec. 473.10 in the unsolicited proposal document filed under the 
assistance or procurement regulations of the DOE or other Federal agency 
which funds the proposed research and development under the Act.
    (b) In responding to a solicitation for a proposal to conduct 
research and development funded by a grant, cooperative agreement, or 
contract under the Act, the applicant shall include the information 
required under Sec. 473.10 in the proposal.
    (c) Information submitted under Sec. 473.10 of these regulations 
shall be certified in writing as complete and accurate by the applicant, 
and if the applicant is not an individual, the chief executive officer 
of the applicant or his authorized designee shall sign the 
certification.



Sec. 473.20  Public notice and opportunity to object.

    (a) In compliance with paragraph (b) of this section and unless 
provisions of paragraph (c) of this section apply, the manager shall 
cause to be published in the Commerce Business Daily a statement 
describing the unsolicited proposal, solicitation, DOE project, or 
agency project, as appropriate, inviting any interested person to submit 
a written objection, with supporting information at an appropriate 
address on or before 30 days from the date of publication, if the person 
believes that the research and development to be performed does not 
comply with standards and criteria of Sec. 473.30.
    (b) Except as paragraph (c) of this section applies, the manager 
shall comply with the requirements of paragraph (a) of this section--
    (1) Upon receipt of an unsolicited proposal from an applicant;
    (2) In any notice of availability of a solicitation;
    (3) Prior to beginning a DOE project; or
    (4) Prior to beginning an agency project.
    (c) Without publishing a notice under paragraph (a) of this section, 
the manager may reject an unsolicited proposal that does not comply with 
these regulations or any other generally applicable requirements.



Sec. 473.21  Supplemental information and rebuttal.

    The manager may request additional information from an applicant or 
any interested person who files an objection under Sec. 473.20.



Sec. 473.22  Initial review by manager.

    (a) Upon expiration of the time for filing information under these 
regulations, the manager shall--
    (1) Review the proposed research and development to be performed 
under grant, under cooperative agreement, under contract, as a DOE 
project, or as an agency project and any other pertinent information 
received under these regulations or otherwise available; and
    (2) Initially determine whether the research and development 
reviewed under paragraph (a)(1) of this section complies with the 
standards and criteria of Sec. 473.30.
    (b) A manager who makes a negative determination under paragraph 
(a)(2) of this section shall inform the applicant and any interested 
person who objected of the decision in writing with a brief statement of 
supporting reasons.
    (c) A manager who initially determines that research and development 
reviewed under this section complies with the standards and criteria of 
Sec. 473.30 shall cause an interagency review panel to be convened under 
Sec. 473.23.

[[Page 586]]



Sec. 473.23  Interagency review panel.

    (a) The interagency review panel shall consist of--
    (1) A head designated by the Federal agency that employs the 
manager;
    (2) A representative of the DOE if the manager is not an employee of 
the DOE; and
    (3) A representative of any other Federal agency deemed appropriate 
by the Federal agency that employs the manager.
    (b) The interagency review panel shall--
    (1) Review the research and development to be performed and consider 
the information presented by the applicant, in the case of a grant, 
cooperative agreement, or contract, and by any interested person who 
filed a statement of objection;
    (2) Make a recommendation with a supporting statement of findings to 
the manager as to whether the research and development to be performed 
complies with the standards and criteria of Sec. 473.30; and
    (3) Operate by majority vote with the head of the panel casting the 
decisive vote in the event of a tie.



Sec. 473.24  Final action and certification by manager.

    (a) Upon consideration of the recommendation of the interagency 
review panel and other pertinent information, the manager--
    (1) Shall determine whether the research and development to be 
performed complies with the standards and criteria of Sec. 473.30;
    (2) Shall obtain the concurrence of the DOE if the manager is not an 
employee of the DOE;
    (3) Shall, in the event of a negative determination under this 
section, advise the applicant, in the case of a grant, cooperative 
agreement, or contract, and any interested person who filed a statement 
of objection; and
    (4) Shall, in the event of an affirmative determination under this 
section, prepare a certification--
    (i) Explaining the determination;
    (ii) Discussing any allegedly related or comparable industrial 
research and development considered and deemed to be an inadequate basis 
for not certifying the grant or contract;
    (iii) Discussing issues regarding cost sharing and patent rights 
related to the standards and criteria of Sec. 473.30 of these 
regulations; and
    (iv) Discussing any other relevant issue.
    (b) After complying with paragraph (a) of this section, the manager 
shall sign the certification and distribute copies to the applicant, if 
any, and any interested person who filed a statement of objections--
    (1) Immediately in the case of a DOE or agency project; and
    (2) After the agreement has been negotiated in the case of a grant, 
cooperative agreement, or contract.



Sec. 473.25  Reviewability of certification.

    Any certification issued under these rules is--
    (a) Subject to disclosure under 5 U.S.C. 552 (1970) and section 17 
of the Federal Nonnuclear Energy Research and Development Act of 1974, 
as amended, 42 U.S.C. 5918 (1970);
    (b) Subject neither to judicial review nor to the provisions of 5 
U.S.C. 551-559 (1970), except as provided under paragraph (a) of this 
section; and
    (c) Available to the Committee on Science and Technology of the 
House of Representatives and the Committee on Energy and Natural 
Resources of the Senate.



Sec. 473.30  Standards and criteria.

    Research and development to be performed under a grant, under a 
cooperative agreement, under a contract, as a DOE project, or as an 
agency project under the Act may be certified under these regulations 
only if the research and development to be conducted--
    (a) Supplements the automotive propulsion system research and 
development efforts of industry or any other private researcher;
    (b) Is not duplicative of efforts previously abandoned by private 
researchers unless there has been an intervening technological advance, 
promising conceptual innovation, or justified by other special 
consideration;
    (c) Would not be performed during the annual funding period but for 
the availability of the Federal funding being sought;

[[Page 587]]

    (d) Is likely to produce an advanced automobile propulsion system 
suitable for steps toward technology transfer to mass production in a 
shorter time period than would otherwise occur;
    (e) Is not technologically the same as efforts by any person 
conducted previously or to be conducted during the annual funding period 
regarding a substantially similar advanced automobile propulsion system; 
and
    (f) Is not likely to result in a decrease in the level of private 
resources expended on advanced automotive research and development by 
substituting Federal funds without justification.



PART 474--ELECTRIC AND HYBRID VEHICLE RESEARCH, DEVELOPMENT AND DEMONSTRATION PROGRAM; EQUIVALENT PETROLEUM-BASED FUEL ECONOMY CALCULATION--Table of Contents




Sec.
474.1  Purpose and scope.
474.2  Definitions.
474.3  Test procedures.
474.4  Equivalent petroleum-based fuel economy calculation.

    Authority: Sec. 503(a)(3), Motor Vehicle Information and Cost 
Savings Act, Pub. L. 94-163 (15 U.S.C. 2003(a)(3)), as added by sec. 18, 
Chrysler Corporation Loan Guarantee Act of 1979, Pub. L. 96-185; 
Department of Energy Organization Act, Pub. L. 95-91.

    Source: 46 FR 22753, Apr. 21, 1981, unless otherwise noted.



Sec. 474.1  Purpose and scope.

    This part contains procedures for calculating the equivalent 
petroleum-based fuel economy value of electric vehicles, as required to 
be prescribed by the Secretary of Energy under section 503(a)(3) of the 
Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2003(a)(3)), 
as added by section 18 of the Chrysler Corporation Loan Guarantee Act of 
1979. The equivalent petroleum-based fuel economy value is intended to 
be used in calculating corporate average fuel economy pursuant to 
regulations promulgated by the Environmental Protection Agency at 40 CFR 
Part 600--Fuel Economy of Motor Vehicles.



Sec. 474.2  Definitions.

    For purposes of this part, the term--
    Electric vehicle means a vehicle that is powered by an electric 
motor drawing current from rechargeable storage batteries or other 
portable energy storage devices. Recharge energy shall be drawn 
primarily from a source off the vehicle, such as residential electric 
service.
    Electrical efficiency value means the weighted average of the stop-
and-go and steady-speed electrical efficiency values, as determined in 
accordance with Sec. 474.4(b).
    Energy equivalent fuel economy value means the electrical efficiency 
value converted into units of miles per gallon, as determined in 
accordance with Sec. 474.4(c).
    Equivalent petroleum-based fuel economy value means a number, 
determined in accordance with Sec. 474.4, which represents the average 
number of miles travelled by an electric vehicle per gallon of gasoline.
    Model type means the term defined by the Environmental Protection 
Agency in its regulations at 40 CFR 600.002-81(19).
    Model year means the term defined by the Environmental Protection 
Agency in its regulations at 40 CFR 600.002-81(6).
    Petroleum equivalency factor means a number which represents the 
parameters listed in section 503(a)(3)(ii) through (iv) of the Motor 
Vehicle Information and Cost Savings Act (15 U.S.C. 2003(a)(3)) for 
purposes of calculating equivalent petroleum-based fuel economy in 
accordance with Sec. 474.4.
    Petroleum-powered accessory means a heater/defroster system or an 
air conditioner system which uses fuel, as defined in section 501(5) of 
the Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2001) as 
its primary energy source.
    Production volume means the term defined by the Environmental 
Protection Agency in its regulations at 40 CFR 600.002-81(32).
    Steady-speed electrical efficiency value means the average number of 
kilowatt-hours of electrical energy required for an electric vehicle to 
travel 1 mile, as determined in accordance with Sec. 474.3(c).

[[Page 588]]

    Stop-and-go electrical efficiency value means the average number of 
kilowatt-hours of electrical energy required for an electric vehicle to 
travel 1 mile, as determined in accordance with Sec. 474.3(b).

[46 FR 22753, Apr. 21, 1981, as amended at 48 FR 28432, June 22, 1983]



Sec. 474.3  Test procedures.

    (a) The conditions and equipment in the Electric Vehicle Test 
Procedure--SAE J227a of the Society of Automotive Engineers shall be 
used for conducting the test procedures set forth in this section.
    (b) The test procedures prescribed in SAE procedure J227a, Vehicle 
Energy Economy, using Vehicle Test Cycle C for the driving cycle, shall 
be used for generation of the stop-and-go electrical efficiency value.
    (c) The test procedures prescribed in SAE procedure J227a, Vehicle 
Energy Economy, using a driving cycle consisting of a maximum cruise 
speed of 54 mph, as prescribed in the SAE procedure for Range at Steady 
Speed, shall be used for generation of the steady-speed electrical 
value. For an electric vehicle model type that is incapable of 
maintaining a maximum cruise speed of 54 mph, this test procedure shall 
be conducted at the maximum cruise speed as defined in section 2.8 of 
the SAE procedure J227a.



Sec. 474.4  Equivalent petroleum-based fuel economy calculation.

    (a) Calculate the equivalent petroleum-based fuel economy of an 
electric vehicle as follows:
    (1) Determine the stop-and-go electrical efficiency value, according 
to Sec. 474.3(b).
    (2) Determine the steady-speed electrical efficiency value, 
according to Sec. 474.3(c).
    (b) Calculate the electrical efficiency value by:
    (1) Multiplying the stop-and-go electrical efficiency value by 0.91;
    (2) Multiplying the steady-speed electrical efficiency value by 
0.09; and
    (3) Adding the resulting two figures, rounding to the nearest 0.01 
kWh/mile.
    (c) Calculate the energy equivalent fuel economy value by dividing 
the electrical efficiency value into 36.66.
    (d) For purposes of paragraph (e) of this section, use the 
appropriate Petroleum Equivalency Factor as follows:
    (1) If no more than 33 percent of the production volume of the 
electric vehicle model type is to be equipped with any petroleum-powered 
accessories, use the first number listed under paragraph (e) of this 
section for the applicable model year.
    (2) If more than 33 percent of the production volume of the electric 
vehicle model type is to be equipped with only one petroleum-powered 
accessory, use the second number under paragraph (e) of this section of 
the applicable model year.
    (3) If more than 33 percent of the production volume of the electric 
vehicle model type is to be equipped with two petroleum-powered 
accessories, use the third number under Sec. 474.4(e) for the applicable 
model year.
    (e) Calculate the equivalent petroleum-based fuel economy value in 
miles per gallon by multiplying the energy equivalent fuel economy value 
by the appropriate petroleum equivalency factor for the model year in 
which the electric vehicle is manufactured.
    (1) For model year 1981, the petroleum equivalency factor is:
    (i) 1.9,
    (ii) 1.7, or
    (iii) 1.6;
    (2) For model year 1982, the petroleum equivalency factor is:
    (i) 2.0,
    (ii) 1.8, or
    (iii) 1.6;
    (3) For model year 1983, the petroleum equivalency factor is:
    (i) 2.0,
    (ii) 1.8, or
    (iii) 1.6;
    (4) For model year 1984, the petroleum equivalency factor is:
    (i) 2.1,
    (ii) 1.9, or
    (iii) 1.7;
    (5) For model year 1985, the petroleum equivalency factor is:
    (i) 2.3,
    (ii) 2.0, or
    (iii) 1.8;
    (6) For model year 1986, the petroleum equivalency factor is:
    (i) 2.2,
    (ii) 2.0, or

[[Page 589]]

    (iii) 1.8; and
    (7) For model year 1987, the petroleum equivalency factor is:
    (i) 2.2,
    (ii) 2.0, or
    (iii) 1.8.



PART 490--ALTERNATIVE FUEL TRANSPORTATION PROGRAM--Table of Contents




                      Subpart A--General Provisions

Sec.
490.1  Purpose and scope.
490.2  Definitions.
490.3  Excluded vehicles.
490.4  General information inquiries.
490.5  Requests for an interpretive ruling.
490.6  Petitions for generally applicable rulemaking.
490.7  Relationship to other law.
Appendix A to Subpart A of Part 490--Metropolitan Statistical Areas/
          Consolidated Metropolitan Statistical Areas with 1980 
          Populations of 250,000 or More

                          Subpart B--[Reserved]

                Subpart C--Mandatory State Fleet Program

490.200  Purpose and scope.
490.201  Alternative fueled vehicle acquisition mandate schedule.
490.202  Acquisitions satisfying the mandate.
490.203  Light Duty Alternative Fueled Vehicle plan.
490.204  Process for granting exemptions.
490.205  Reporting requirements.
490.206  Violations.

    Subpart D--Alternative Fuel Provider Vehicle Acquisition Mandate

490.300  Purpose and scope.
490.301  Definitions.
490.302  Vehicle acquisition mandate schedule.
490.303  Who must comply.
490.304  Which new light duty motor vehicles are covered.
490.305  Acquisitions satisfying the mandate.
490.306  Vehicle operation requirements.
490.307  Option for electric utilities.
490.308  Process for granting exemptions.
490.309  Annual reporting requirements.
490.310  Violations.

                          Subpart E--[Reserved]

          Subpart F--Alternative Fueled Vehicle Credit Program

490.500  Purpose and scope.
490.501  Applicability.
490.502  Creditable actions.
490.503  Credit allocation.
490.504  Use of alternative fueled vehicle credits.
490.505  Credit accounts.
490.506  Alternative fueled vehicle credit transfers.
490.507  Credit activity reporting requirements.

                Subpart G--Investigations and Enforcement

490.600  Purpose and scope.
490.601  Powers of the Secretary.
490.602  Special orders.
490.603  Prohibited acts.
490.604  Penalties and fines.
490.605  Statement of enforcement policy.
490.606  Proposed assessments and orders.
490.607  Appeals.

    Authority: 42 U.S.C. 7191, 13211, 13235, 13251, 13257, 13258, 13260-
3.

    Source:  61 FR 10653, Mar. 14, 1996, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 490.1  Purpose and Scope.

    (a) The provisions of this part implement the alternative fuel 
transportation program under titles III, IV, V, and VI of the Energy 
Policy Act of 1992. (Pub. L. 102-486)
    (b) The provisions of this subpart cover the definitions applicable 
throughout this part and procedures to obtain an interpretive ruling and 
to petition for a generally applicable rule to amend this part.



Sec. 490.2  Definitions.

    The following definitions apply to this part--
    Acquire means to take into possession or control.
    Act means the Energy Policy Act of 1992 (Pub. L. 102-486) and any 
amendments thereof.
    After-Market Converted Vehicle means an Original Equipment 
Manufacturer vehicle that is reconfigured by a conversion company, which 
is not under contract to the Original Equipment Manufacturer, to operate 
on an alternative fuel and whose conversion kit components are under 
warranty of the conversion company.
    Alternative Fuel means methanol, denatured ethanol, and other 
alcohols; mixtures containing 85 percent or more

[[Page 590]]

by volume of methanol, denatured ethanol, and other alcohols with 
gasoline or other fuels; natural gas; liquefied petroleum gas; hydrogen; 
coal-derived liquid fuels; fuels (other than alcohol) derived from 
biological materials (including neat biodiesel); and electricity 
(including electricity from solar energy).
    Alternative Fueled Vehicle means a dedicated vehicle or a dual 
fueled vehicle (including a flexible fuel vehicle as defined by this 
section).
    Assistant Secretary means the Assistant Secretary for Energy 
Efficiency and Renewable Energy or any other DOE official to whom the 
Assistant Secretary's duties under this part may be redelegated by the 
Secretary.
    Automobile means a 4-wheeled vehicle propelled by conventional fuel, 
or by alternative fuel, manufactured primarily for use on public 
streets, roads, and highways (except a vehicle operated only on a rail 
line), and rated at
    (1) Not more than 6,000 pounds gross vehicle weight; or
    (2) More than 6,000, but less than 10,000 pounds gross vehicle 
weight, if the Secretary of Transportation has decided, by rule, that 
the vehicle meets the criteria in section 501(1) of the Motor Vehicle 
Information and Cost Savings Act, as amended, 49 U.S.C. 32901(a)(3).
    Capable of Being Centrally Fueled means a vehicle can be refueled at 
least 75 percent of its time at the location that is owned, operated, or 
controlled by the fleet or covered person, or is under contract with the 
fleet or covered person for refueling purposes.
    Centrally Fueled means that a vehicle is fueled at least 75 percent 
of the time at a location that is owned, operated, or controlled by the 
fleet or covered person, or is under contract with the fleet or covered 
person for refueling purposes.
    Control--
    (1) When it is used to determine whether one person controls another 
or whether two persons are under common control, means any one or a 
combination of the following:
    (i) A third person or firm has equity ownership of 51 percent or 
more in each of two firms; or
    (ii) Two or more firms have common corporate officers, in whole or 
in substantial part, who are responsible for the day-to-day operation of 
the companies; or
    (iii) One person or firm leases, operates, or supervises 51 percent 
or more of the equipment and/or facilities of another person or firm; 
owns 51 percent or more of the equipment and/or facilities of another 
person or firm; or has equity ownership of 51 percent or more of another 
person or firm.
    (2) When it is used to refer to the management of vehicles, means a 
person has the authority to decide who can operate a particular vehicle, 
and the purposes for which the vehicle can be operated.
    Covered Person means a person that owns, operates, leases, or 
otherwise controls--
    (1) A fleet, as defined by this section, that contains at least 20 
light duty motor vehicles that are centrally fueled or capable of being 
centrally fueled, and are used primarily within a metropolitan 
statistical area or a consolidated metropolitan statistical area, as 
established by the Bureau of the Census, with a 1980 population of 
250,000 or more (as set forth in Appendix A to this subpart) or in a 
Federal Register notice; and
    (2) At least 50 light duty motor vehicles within the United States.
    Dealer Demonstration Vehicle means any vehicle that is operated by a 
motor vehicle dealer solely for the purpose of promoting motor vehicle 
sales, either on the sales lot or through other marketing or sales 
promotions, or for permitting potential purchasers to drive the vehicle 
for pre-purchase or pre-lease evaluation.
    Dedicated Vehicle means--
    (1) An automobile that operates solely on alternative fuel; or
    (2) A motor vehicle, other than an automobile, that operates solely 
on alternative fuel.
    DOE means the Department of Energy.
    Dual Fueled Vehicle means--
    (1) An automobile that meets the criteria for a dual fueled 
automobile as that term is defined in section

[[Page 591]]

513(h)(1)(C) of the Motor Vehicle Information and Cost Savings Act, 49 
U.S.C. 32901(a)(8); or
    (2) A motor vehicle, other than an automobile, that is capable of 
operating on alternative fuel and on gasoline or diesel fuel; or
    (3) A flexible fuel vehicle.
    Electric-hybrid Vehicle means a vehicle primarily powered by an 
electric motor that draws current from rechargeable storage batteries, 
fuel cells or other sources of electric current and also relies on a 
non-electric source of power.
    Electric Motor Vehicle means a motor vehicle primarily powered by an 
electric motor that draws current from rechargeable storage batteries, 
fuel cells, photovoltaic arrays, or other sources of electric current 
and may include an electric-hybrid vehicle.
    Emergency Motor Vehicle means any vehicle that is legally authorized 
by a government authority to exceed the speed limit to transport people 
and equipment to and from situations in which speed is required to save 
lives or property, such as a rescue vehicle, fire truck or ambulance.
    Fleet means a group of 20 or more light duty motor vehicles, 
excluding certain categories of vehicles as provided by section 490.3, 
used primarily in a metropolitan statistical area or consolidated 
metropolitan statistical area, as established by the Bureau of the 
Census as of December 31, 1992, with a 1980 Census population of more 
than 250,000 (listed in Appendix A to this Subpart), that are centrally 
fueled or capable of being centrally fueled, and are owned, operated, 
leased, or otherwise controlled--
    (1) By a person who owns, operates, leases, or otherwise controls 50 
or more light duty motor vehicles within the United States and its 
possessions and territories;
    (2) By any person who controls such person;
    (3) By any person controlled by such person; and
    (4) By any person under common control with such person.
    Flexible Fuel Vehicle means any motor vehicle engineered and 
designed to be operated on any mixture of two or more different fuels.
    Law Enforcement Motor Vehicle means any vehicle which is primarily 
operated by a civilian or military police officer or sheriff, or by 
personnel of the Federal Bureau of Investigation, the Drug Enforcement 
Administration, or other enforcement agencies of the Federal government, 
or by State highway patrols, municipal law enforcement, or other similar 
enforcement agencies, and which is used for the purpose of law 
enforcement activities including, but not limited to, chase, 
apprehension, and surveillance of people engaged in or potentially 
engaged in unlawful activities.
    Lease means the use and control of a motor vehicle for 
transportation purposes pursuant to a rental contract or similar 
arrangement with a term of 120 days or more.
    Light Duty Motor Vehicle means a light duty truck or light duty 
vehicle, as such terms are defined under section 216(7) of the Clean Air 
Act (42 U.S.C. Sec. 7550(7)), having a gross vehicle weight rating of 
8,500 pounds or less, before any after-market conversion to alternative 
fuel operation.
    Model Year means the period from September 1 of the previous 
calendar year through August 31.
    Motor Vehicle means a self-propelled vehicle, other than a non-road 
vehicle, designed for transporting persons or property on a street or 
highway.
    Non-road Vehicle means a vehicle not licensed for on-road use, 
including such vehicles used principally for industrial, farming or 
commercial use, for rail transportation, at an airport, or for marine 
purposes.
    Original Equipment Manufacturer means a manufacturer that provides 
the original design and materials for assembly and manufacture of its 
product.
    Original Equipment Manufacturer Vehicle means a vehicle engineered, 
designed, produced and warranted by an Original Equipment Manufacturer.
    Person means any individual, partnership, corporation, voluntary 
association, joint stock company, business trust, Governmental entity, 
or other legal entity in the United States except United States 
Government entities.

[[Page 592]]

    State means any of the 50 States, the District of Columbia, the 
Commonwealth of Puerto Rico, and any other territory or possession of 
the United States.
    Used Primarily, as utilized in the definition of ``fleet,'' means 
that a majority of a vehicle's total annual miles are accumulated within 
a covered metropolitan or consolidated metropolitan statistical area.



Sec. 490.3  Excluded vehicles.

    When counting light duty motor vehicles to determine under this part 
whether a person has a fleet or to calculate alternative fueled vehicle 
acquisition requirements, the following vehicles are excluded--
    (a) Motor vehicles held for lease or rental to the general public, 
including vehicles that are owned or controlled primarily for the 
purpose of short-term rental or extended-term leasing, without a driver, 
pursuant to a contract;
    (b) Motor vehicles held for sale by motor vehicle dealers, including 
demonstration motor vehicles;
    (c) Motor vehicles used for motor vehicle manufacturer product 
evaluations or tests, including but not limited to, light duty motor 
vehicles owned or held by a university research department, independent 
testing laboratory, or other such evaluation facility, solely for the 
purpose of evaluating the performance of such vehicle for engineering, 
research and development or quality control reasons;
    (d) Law enforcement vehicles;
    (e) Emergency motor vehicles;
    (f) Motor vehicles acquired and used for purposes that the Secretary 
of Defense has certified to DOE must be exempt for national security 
reasons;
    (g) Nonroad vehicles; and
    (h) Motor vehicles which, when not in use, are normally parked at 
the personal residences of the individuals that usually operate them, 
rather than at a central refueling, maintenance, or business location.



Sec. 490.4  General information inquiries.

    DOE responses to inquiries with regard to the provisions of this 
part that are not filed in compliance with Secs. 490.5 or 490.6 of this 
part constitute general information and the responses provided shall not 
be binding on DOE.



Sec. 490.5  Requests for an interpretive ruling.

    (a) Right to file. Any person who is or may be subject to this part 
shall have the right to file a request for an interpretive ruling on a 
question with regard to how the regulations apply to particular facts 
and circumstances.
    (b) How to file. A request for an interpretive ruling shall be 
filed--
    (1) With the Assistant Secretary;
    (2) In an envelope labeled ``Request for Interpretive Ruling under 
10 CFR Part 490;'' and
    (3) By messenger or mail at the Office of Energy Efficiency and 
Renewable Energy, EE-33, U.S. Department of Energy, 1000 Independence 
Avenue, S.W., Washington, D.C. 20585 or at such other address as DOE may 
provide by notice in the Federal Register.
    (c) Content of request for interpretive ruling. At a minimum, a 
request under this section shall--
    (1) Be in writing;
    (2) Be labeled ``Request for Interpretive Ruling Under 10 CFR Part 
490;''
    (3) Identify the name, address, telephone number, and any designated 
representative of the person requesting the interpretive ruling;
    (4) State the facts and circumstances relevant to the request;
    (5) Be accompanied by copies of relevant supporting documents, if 
any;
    (6) Specifically identify the pertinent regulations and the related 
question on which an interpretive ruling is sought with regard to the 
relevant facts and circumstances; and
    (7) Contain any arguments in support of the terms of an 
interpretation the requester is seeking.
    (d) Public comment. DOE may give public notice of any request for an 
interpretive ruling and invite public comment.
    (e) Opportunity to respond to public comment. DOE may provide an 
opportunity for any person who requested an interpretive ruling to 
respond to public comments.
    (f) Other sources of information. DOE may--
    (1) Conduct an investigation of any statement in a request;

[[Page 593]]

    (2) Consider any other source of information in evaluating a request 
for an interpretive ruling; and
    (3) Rely on previously issued interpretive rulings dealing with the 
same or a related issue.
    (g) Informal conference. DOE, on its own initiative, may convene an 
informal conference with the person requesting an interpretive ruling.
    (h) Effect of an interpretive ruling. The authority of an 
interpretive ruling shall be limited to the person requesting such 
ruling and shall depend on the accuracy and completeness of the facts 
and circumstances on which the interpretive ruling is based. An 
interpretive ruling by the Assistant Secretary shall be final for DOE.
    (i) Reliance on an interpretive ruling. No person who obtains an 
interpretive ruling under this section shall be subject to an 
enforcement action for civil penalties or criminal fines for actions 
reasonably taken in reliance thereon, but a person may not act in 
reliance on an interpretive ruling that is administratively rescinded or 
modified, judicially invalidated, or its prospective effect is overruled 
by statute or regulation.
    (j) Denials of requests for an interpretive ruling. DOE shall deny a 
request for an interpretive ruling if DOE determines that--
    (1) There is insufficient information upon which to base an 
interpretive ruling;
    (2) The questions posed should be treated in a general notice of 
proposed rulemaking under 42 U.S.C. 7191 and 5 U.S.C. 553;
    (3) There is an adequate procedure elsewhere in this part for 
addressing the question posed such as a petition for exemption; or
    (4) For other good cause.
    (k) Public file. DOE may file a copy of an interpretive ruling in a 
public file labeled ``Interpretive Rulings Under 10 CFR Part 490'' which 
shall be available during normal business hours for public inspection at 
the DOE Freedom of Information Reading Room at 1000 Independence Avenue, 
SW, Washington, DC 20585, or at such other addresses as DOE may announce 
in a Federal Register notice.



Sec. 490.6  Petitions for generally applicable rulemaking.

    (a) Right to file. Pursuant to 42 U.S.C. 7191 and 5 U.S.C. 553(e), 
any person may file a petition for generally applicable rulemaking under 
titles III, IV, and V of the Act with the DOE General Counsel.
    (b) How to file. A petition for generally applicable rulemaking 
under this section shall be filed by mail or messenger in an envelope 
addressed to the Office of General Counsel, GC-1, U.S. Department of 
Energy, 1000 Independence Avenue, SW., Washington, DC 20585.
    (c) Content of rulemaking petitions. A petition under this section 
must--
    (1) Be labeled ``Petition for Rulemaking Under 10 CFR Part 490'';
    (2) Describe with particularity the terms of the rule being sought;
    (3) Identify the provisions of law that direct, authorize, or affect 
the issuance of the rules being sought; and
    (4) Explain why DOE should not choose to make policy by precedent 
through interpretive rulings, petitions for exemption, or other 
adjudications.
    (d) Determination upon rulemaking petitions. After considering the 
petition and other information deemed to be appropriate, DOE may grant 
the petition and issue an appropriate rulemaking notice, or deny the 
petition because the rule being sought--
    (1) Would be inconsistent with statutory law;
    (2) Would establish a generally applicable policy in an area that 
should be left to case-by-case determinations;
    (3) Would establish a policy inconsistent with the underlying 
statutory purposes; or
    (4) For other good cause.



Sec. 490.7  Relationship to other law.

    (a) Nothing in this part shall be construed to require or authorize 
sale of, or conversion to, light duty alternative fueled motor vehicles 
in violation of applicable regulations of any Federal, State or local 
government agency.
    (b) Nothing in this part shall be construed to require or authorize 
the use of a motor fuel in violation of applicable regulations of any 
Federal, State, or local government agency.

[[Page 594]]



                   Appendix A To Subpart A of Part 490

    Metropolitan Statistical Areas/Consolidated Metropolitan Statistical 
Areas With 1980 Populations of 250,000 or more

Albany-Schenectady-Troy MSA NY
Albuquerque MSA NM
Allentown-Bethlehem-Easton MSA PA
Appleton-Oshkosh-Neenah MSA WI
Atlanta MSA GA
Augusta-Aiken MSA GA-SC
Austin-San Marcos MSA TX
Bakersfield MSA CA
Baton Rouge MSA LA
Beaumont-Port Arthur MSA TX
Binghamton MSA NY
Birmingham MSA AL
Boise City MSA ID
Boston-Worcester-Lawrence CMSA MA-NH-ME-CT
Buffalo-Niagara Falls MSA NY
Canton-Massillon MSA OH
Charleston MSA SC
Charleston MSA WV
Charlotte-Gastonia-Rock Hill MSA NC-SC
Chattanooga MSA TN-GA
Chicago-Gary-Kenosha CMSA IL-IN-WI
Cincinnati-Hamilton CMSA OH-KY-IN
Cleveland-Akron CMSA OH
Colorado Springs MSA CO
Columbia MSA SC
Columbus MSA OH
Columbus MSA GA-AL
Corpus Christi MSA TX
Dallas-Fort Worth CMSA TX
Davenport-Moline-Rock Island MSA IA-IL
Dayton-Springfield MSA OH
Daytona Beach MSA FL
Denver-Boulder-Greeley CMSA CO
Des Moines MSA IA
Detroit-Ann Arbor-Flint CMSA MI
Duluth MSA MN-WI
El Paso MSA TX
Erie MSA PA
Eugene-Springfield MSA OR
Evansville-Henderson MSA IN-KY
Fort Wayne MSA IN
Fresno MSA CA
Grand Rapids-Muskegon-Holland MSA MI
Greensboro-Winston Salem-High Point MSA NC
Greenville-Spartanburg-Anderson MSA SC
Harrisburg-Lebanon-Carlisle MSA PA
Hartford MSA CT
Hickory-Morganton MSA NC
Honolulu MSA HI
Houston-Galveston-Brazoria CMSA TX
Huntington-Ashland MSA WV-KY-OH
Indianapolis MSA IN
Jackson MSA MS
Jacksonville MSA FL
Johnson City-Kingsport-Bristol MSA TN-VA
Johnstown MSA PA
Kalamazoo-Battle Creek MSA MI
Kansas City MSA MO-KS
Knoxville MSA TN
Lakeland-Winter Haven MSA FL
Lancaster MSA PA
Lansing-East Lansing MSA MI
Las Vegas MSA NV-AZ
Lexington MSA KY
Little Rock-N. Little Rock MSA AR
Los Angeles-Riverside-Orange County CMSA CA
Louisville MSA KY-IN
Macon MSA GA
Madison MSA WI
McAllen-Edinburg-Mission MSA TX
Melbourne-Titusville-Palm Bay MSA FL
Memphis MSA TN-AR-MS
Miami-Fort Lauderdale CMSA FL
Milwaukee-Racine CMSA WI
Minneapolis-St. Paul MSA MN-WI
Mobile MSA AL
Modesto MSA CA
Montgomery MSA AL
Nashville MSA TN
New London-Norwich MSA CT-RI
New Orleans MSA LA
New York-N. New Jersey-Long Island CMSA NY-NJ-CT-PA
Norfolk-Virginia Beach-Newport News MSA VA-NC
Oklahoma City MSA OK
Omaha MSA NE-IA
Orlando MSA FL
Pensacola MSA FL
Peoria-Pekin MSA IL
Philadelphia-Wilmington-Atlantic City CMSA PA-NJ DE-MD
Phoenix-Mesa MSA AZ
Pittsburgh MSA PA
Portland-Salem CMSA OR-WA
Providence-Fall River-Warwick MSA RI-MA
Raleigh-Durham-Chapel Hill MSA NC
Reading MSA PA
Richmond-Petersburg MSA VA
Rochester MSA NY
Rockford MSA IL
Sacramento-Yolo CMSA CA
Saginaw-Bay City-Midland MSA MI
St. Louis MSA MO-IL
Salinas MSA CA
Salt Lake City-Ogden MSA UT
San Antonio MSA TX
San Diego MSA CA
San Francisco-Oakland-San Jose CMSA CA
San Juan MSA PR
Santa Barbara-Santa Maria-Lompoc MSA CA
Scranton-Wilkes Barre-Hazleton MSA PA
Seattle-Tacoma-Bremerton CMSA WA
Shreveport-Bossier City MSA LA
Spokane MSA WA
Springfield MSA MA
Stockton-Lodi MSA CA
Syracuse MSA NY
Tampa-St. Petersburg-Clearwater MSA FL
Toledo MSA OH
Tucson MSA AZ
Tulsa MSA OK
Utica-Rome MSA NY
Washington-Baltimore CMSA DC-MD-VA-WV

[[Page 595]]

West Palm Beach-Boca Raton MSA FL
Wichita MSA KS
York MSA PA
Youngstown-Warren MSA OH



                          Subpart B [Reserved]



                Subpart C--Mandatory State Fleet Program



Sec. 490.200  Purpose and scope.

    This subpart sets forth rules implementing the provisions of Section 
507(o) of the Act which requires, subject to some exemptions, that 
certain percentages of new light duty motor vehicles acquired for State 
fleets be alternative fueled vehicles.



Sec. 490.201  Alternative fueled vehicle acquisition mandate schedule.

    (a) Except as otherwise provided in this part, of the new light duty 
motor vehicles acquired annually for State government fleets, including 
agencies thereof but excluding municipal fleets, the following 
percentages shall be alternative fueled vehicles for the following model 
years;
    (1) 10 percent for model year 1997;
    (2) 15 percent for model year 1998;
    (3) 25 percent for model year 1999;
    (4) 50 percent for model year 2000; and
    (5) 75 percent for model year 2001 and thereafter.
    (b) Each State shall calculate its alternative fueled vehicle 
acquisition requirements for the State government fleets, including 
agencies thereof, by applying the alternative fueled vehicle acquisition 
percentages for each model year to the total number of new light duty 
motor vehicles to be acquired during that model year for those fleets.
    (c) If the calculation performed under paragraph (b) of this section 
produces a number that requires the acquisition of a partial vehicle, an 
adjustment to the acquisition number will be made by rounding the number 
of vehicles down the next whole number if the fraction is less than one 
half and by rounding the number of vehicles up to the next whole number 
if the fraction is equal to or greater than one half.
    (d) A State fleet that first becomes subject to this part after 
model year 1997 shall acquire alternative fueled vehicles in the next 
model year at the percentage applicable to that model year according to 
the schedule in paragraph (a) of this section, unless the State is 
granted an exemption or reduction of the acquisition percentage pursuant 
to the procedures and criteria in section 490.204.



Sec. 490.202  Acquisitions satisfying the mandate.

    The following actions within a model year qualify as acquisitions 
for the purpose of compliance with the requirements of section 490.201 
of this part:
    (a) The purchase or lease of an Original Equipment Manufacturer 
light duty vehicle (regardless of the model year of manufacture), 
capable of operating on alternative fuels that was not previously under 
control of the State or State agency;
    (b) The purchase or lease of an after-market converted light duty 
vehicle (regardless of model year of manufacture), that was not 
previously under control of the State or State agency;
    (c) The conversion of a newly purchased or leased light duty vehicle 
to operate on alternative fuels within four months after the vehicle is 
acquired for a State fleet; and
    (d) The application of alternative fueled vehicle credits allocated 
under subpart F of this part.



Sec. 490.203  Light Duty Alternative Fueled Vehicle Plan.

    (a) General Provisions. (1) In lieu of meeting its requirements 
under section 490.201 exclusively with acquisitions for State fleets, a 
State may follow a Light Duty Alternative Fueled Vehicle Plan that has 
been approved by DOE under this section.
    (2) Any Light Duty Alternative Fueled Vehicle Plan must provide for 
voluntary acquisitions or conversions, or combinations thereof, by 
State, local, and private fleets that equal or exceed the State's 
alternative fuel vehicle acquisition requirement under section 490.201.
    (3) Any acquisitions of light duty alternative fueled vehicles by 
participants in the State plan may be included for purposes of 
compliance, irrespective of whether the vehicles are in

[[Page 596]]

excluded categories set forth in section 490.3 of this part.
    (4) Except as provided in paragraph (h) of this section or except 
for a fleet exempt under section 490.204, a State that does not have an 
approved plan in effect under this section is subject to the State fleet 
acquisition percentage requirements of section 490.201.
    (5) If a significant commitment under an approved plan is not met by 
a participant of a plan, the State shall meet its percentage 
requirements under section 490.201 or submit to DOE an amendment to the 
plan for DOE approval.
    (b) Required elements of a plan. Each plan must include the 
following elements:
    (1) Certification by the Governor, or the Governor's designee, that 
the plan meets the requirements of this subpart;
    (2) Identification of State, local and private fleets that will 
participate in the plan;
    (3) Number of new alternative fueled vehicles to be acquired by each 
plan participant;
    (4) A written statement from each plan participant to assure 
commitment;
    (5) A statement of contingency measures by the State to offset any 
failure to fulfill significant commitments by plan participants, in 
order to meet the requirements of section 490.201;
    (6) A provision by the State to monitor and verify implementation of 
the plan;
    (7) A provision certifying that all acquisitions and conversions 
under the plan are voluntary and will meet the requirements of Sec. 247 
of the Clean Air Act, as amended (42 U.S.C. 7587) and all applicable 
safety requirements.
    (c) When to submit plan. (1) For model year 1997, a State shall 
submit its plan on or before March 14, 1997.
    (2) Beginning with model year 1998, a State shall submit its plan to 
DOE no later than June 1 prior to the first model year covered by such 
plan.
    (d) Review and approval. DOE shall review and approve a plan which 
meets the requirements of this subpart within 60 days of the date of 
receipt of the plan by DOE at the address in paragraph (g)(1) of this 
section.
    (e) Disapproval of plans. If DOE disapproves or requests a State to 
submit additional information, the State may revise and resubmit the 
plan to DOE within a reasonable time.
    (f) How a State may modify an approved plan. If a State determines 
that it cannot successfully implement its plan, it may submit to DOE for 
approval, at any time, the proposed modifications with adequate 
justifications.
    (g) Where to submit plans. (1) A State shall submit to DOE an 
original and two copies of the plan and shall be addressed to the U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
EE-33, 1000 Independence Ave., SW., Washington, DC 20585, or to such 
other address as DOE may announce in a Federal Register notice.
    (2) Any requests for modifications shall also be sent to the address 
in paragraph (g)(1) of this section.
    (h) MY 1997 Exemption. (1) On or after September 1, 1996, a State 
shall be deemed automatically exempt from section 490.201 (a)(1) until 
DOE makes a final determination on a timely application to approve a 
plan for model year 1997 under this section if the State:
    (i) Has submitted the application; or
    (ii) Has sent a written notice to the Assistant Secretary, at the 
address under paragraph (g)(1) of this section, that it will file such 
an application on or before March 14, 1997.
    (2) During the period of an automatic exemption under this 
paragraph, a State may procure light duty motor vehicles in accordance 
with its normal procurement policies.



Sec. 490.204  Process for granting exemptions.

    (a) To obtain an exemption, in whole or in part, from the vehicle 
acquisition mandate in section 490.201 of this part, a State shall 
submit to DOE a written request for exemption, along with supporting 
documentation which must demonstrate that--
    (1) Alternative fuels that meet the normal requirements and 
practices of the principal business of the State fleet are not available 
from fueling sites that would permit central fueling of fleet vehicles 
in the area in which the vehicles are to be operated; or

[[Page 597]]

    (2) Alternative fueled vehicles that meet the normal requirements 
and practices of the principal business of the State fleet are not 
available for purchase or lease commercially on reasonable terms and 
conditions in the State; or
    (3) The application of such requirements would pose an unreasonable 
financial hardship.
    (b) Requests for exemption may be submitted at any time and must be 
accompanied with supporting documentation.
    (c) Exemptions are granted for one model year only, and they may be 
renewed annually, if supporting documentation is provided.
    (d) Exemptions may be granted in whole or in part. When granting an 
exemption in part, DOE may, depending upon the circumstances, completely 
relieve a State from complying with a portion of the vehicle acquisition 
requirements for a model year, or it may require a State to acquire all 
or some of the exempted vehicles in future model years.
    (e) If a State is seeking an exemption under--
    (1) Paragraph (a)(1) of this section, the types of documentation 
that are to accompany the request must include, but are not limited to, 
maps of vehicle operation zones and maps of locations providing 
alternative fuel; or
    (2) Paragraph (a)(2) of this section, the types of documentation 
that are to accompany the request must include, but are not limited to, 
alternative fueled vehicle purchase or lease requests, a listing of 
vehicles that meet the normal practices and requirements of the State 
fleet, and any other documentation that exhibits good faith efforts to 
acquire alternative fueled vehicles; or
    (3) Paragraph (a)(3) of this section, it must submit a statement 
identifying what portion of the alternative fueled vehicle acquisition 
requirement should be subject to the exemption and describing the 
specific nature of the financial hardship that precludes compliance.
    (f) Requests for exemption shall be addressed to the U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, EE-33, 1000 
Independence Ave., SW., Washington, DC 20585, or to such other address 
as DOE may announce in a Federal Register notice.
    (g) The Assistant Secretary shall provide to the State, within 45 
days of receipt of a request that complies with this section, a written 
determination as to whether the State's request has been granted or 
denied.
    (h) If the Assistant Secretary denies an exemption, in whole or in 
part, and the State wishes to exhaust administrative remedies, the State 
must appeal within 30 days of the date of the determination, pursuant to 
10 CFR part 1003, subpart C, to the Office of Hearings and Appeals, U.S. 
Department of Energy, 1000 Independence Ave., SW., Washington, DC 20585. 
The Assistant Secretary's determination shall be stayed during the 
pendency of an appeal under this paragraph.



Sec. 490.205  Reporting requirements.

    (a) Any State subject to the requirements of this subpart must file 
an annual report for each State fleet on or before the December 31 after 
the close of the model year, beginning with model year 1997. The State 
annual report may consist of a single State report or separately 
prepared State agency reports.
    (b) The report shall include the following information:
    (1) Number of new light duty motor vehicles acquired for the fleet 
by a State during the model year;
    (2) Number of new light duty alternative fueled vehicles that are 
required to be acquired during the model year;
    (3) Number of new light duty alternative fueled vehicle acquisitions 
by the State during the model year;
    (4) Number of alternative fueled vehicle credits applied against 
acquisition requirements;
    (5) For each new light duty alternative fueled vehicle acquisition--
    (i) Vehicle make and model;
    (ii) Model year;
    (iii) Vehicle identification number;
    (iv) Dedicated or dual-fueled (including flexible fuel); and
    (v) Type of alternative fuel the vehicle is capable of operating on; 
and
    (6) Number of light duty alternative fueled vehicles acquired by 
municipal

[[Page 598]]

and private fleets during the model year under an approved Light Duty 
Alternative Fueled Vehicle Plan (if applicable).
    (c) If credits are applied against vehicle acquisition requirements, 
then a credit activity report, as described in subpart F of this part, 
must be submitted with the report under this section to DOE.
    (d) Records shall be maintained and retained for a period of three 
years.
    (e) All reports, marked ``Annual Report,'' shall be sent to the 
Office of Energy Efficiency and Renewable Energy, U.S. Department of 
Energy, EE-33, 1000 Independence Ave., SW., Washington, DC, 20585, or 
such other address as DOE may provide by notice in the Federal Register.



Sec. 490.206  Violations.

    Violations of this subpart are subject to investigation and 
enforcement under subpart G of this part.



    Subpart D--Alternative Fuel Provider Vehicle Acquisition Mandate



Sec. 490.300  Purpose and Scope.

    This subpart implements section 501 of the Act, which requires, 
subject to some exemptions, that certain annual percentages of new light 
duty motor vehicles acquired by alternative fuel providers must be 
alternative fueled vehicles.



Sec. 490.301  Definitions.

    In addition to the definitions found in section 490.2, the following 
definitions apply to this subpart--
    Affiliate means a person that, directly or indirectly, controls, is 
controlled by, or is under common ownership or control of a person 
subject to vehicle acquisition requirements in this part.
    Alternative Fuels Business means activities undertaken to derive 
revenue from--
    (1) Producing, storing, refining, processing, transporting, 
distributing, importing, or selling at wholesale or retail any 
alternative fuel other than electricity; or
    (2) Generating, transmitting, importing, or selling at wholesale or 
retail electricity.
    Business Unit means a semi-autonomous major grouping of activities 
for administrative purposes and organizational structure within a 
business entity and that is controlled by or under control of a person 
subject to vehicle acquisition requirements in this part.
    Division means a major administrative unit of an enterprise 
comprising at least several enterprise units or constituting a complete 
integrated unit for a specific purpose and that is controlled by or 
under control of a person subject to vehicle acquisition requirements in 
this part.
    Normal Requirements and Practices means the operating business 
practices and required conditions under which the principal business of 
a person subject to vehicle acquisition requirements in this part 
operates.
    Principal Business means the sales-related activity that produces 
the greatest gross revenue.
    Substantial Portion means that at least 30 percent of the annual 
gross revenue of a covered person is derived from the sale of 
alternative fuels.
    Substantially Engaged means that a covered person, or affiliate, 
division, or other business unit thereof, regularly derives more than a 
negligible amount of sales-related gross revenue from an alternative 
fuels business.



Sec. 490.302  Vehicle acquisition mandate schedule.

    (a) Except as provided in section 490.304 of this part, of the light 
duty motor vehicles newly acquired by a covered person described in 
section 490.303 of this part, the following percentages shall be 
alternative fueled vehicles for the following model years:
    (1) 30 percent for model year 1997.
    (2) 50 percent for model year 1998.
    (3) 70 percent for model year 1999.
    (4) 90 percent for model year 2000 and thereafter.
    (b) Except as provided in section 490.304 of this part, this 
acquisition schedule applies to all light duty motor vehicles that a 
covered person newly acquires for use within the United States.

[[Page 599]]

    (c) If, when the mandated acquisition percentage of alternative fuel 
vehicles is applied to the number of new light duty motor vehicles to be 
acquired by a covered person subject to this subpart, a number results 
that requires the acquisition of a partial vehicle, an adjustment will 
be made to the required acquisition number by rounding down to the next 
whole number if the fraction is less than one half and by rounding up 
the number of vehicles to the next whole number if the fraction is equal 
to or greater than one half.
    (d) Only acquisitions satisfying the mandate, as defined by section 
490.305, count toward compliance with the acquisition schedule in 
paragraph (a) of this section.
    (e) A covered person that is first subject to the acquisition 
requirements of this part after model year 1997 shall acquire 
alternative fueled vehicles in the next model year at the percentage 
applicable to that model year, according to the schedule in paragraph 
(a) of this section, unless the covered person is granted an exemption 
or reduction of the acquisition percentage pursuant to the procedures 
and criteria in section 490.308.



Sec. 490.303  Who must comply.

    (a) Except as provided by paragraph (b) of this section, a covered 
person must comply with the requirements of this subpart if that person 
is--
    (1) A covered person whose principal business is producing, storing, 
refining, processing, transporting, distributing, importing or selling 
at wholesale or retail any alternative fuel other than electricity; or
    (2) A covered person whose principal business is generating, 
transmitting, importing, or selling, at wholesale or retail, 
electricity; or
    (3) A covered person--
    (i) Who produces, imports, or produces and imports in combination, 
an average of 50,000 barrels per day or more of petroleum; and
    (ii) A substantial portion of whose business is producing 
alternative fuels.
    (b) This subpart does not apply to a covered person or affiliate, 
division, or other business unit of such person whose principal business 
is--
    (1) transforming alternative fuels into a product that is not an 
alternative fuel; or
    (2) consuming alternative fuels as a feedstock or fuel in the 
manufacture of a product that is not an alternative fuel.



Sec. 490.304  Which new light duty motor vehicles are covered.

    (a) General rule. Except as provided in paragraph (b) of this 
section, the vehicle acquisition mandate schedule in section 490.302 of 
this part applies to all light duty motor vehicles newly acquired for 
use within the United States by a covered person described in section 
490.303 of this part.
    (b) Exception. If a covered person has more than one affiliate, 
division, or other business unit, then section 490.302 of this part only 
applies to light duty motor vehicles newly acquired by an affiliate, 
division, or other such business unit which is substantially engaged in 
the alternative fuels business.



Sec. 490.305  Acquisitions satisfying the mandate.

    The following actions within the model year qualify as acquisitions 
for the purpose of compliance with the requirements of section 490.302 
of this part--
    (a) The purchase or lease of an Original Equipment Manufacturer 
light duty vehicle (regardless of the model year of manufacture), 
capable of operating on alternative fuels that was not previously under 
the control of the covered person;
    (b) The purchase or lease of an after-market converted light duty 
vehicle (regardless of the model year of manufacture), that was not 
previously under the control of the covered person; and
    (c) The conversion of a newly purchased or leased light duty vehicle 
to operate on alternative fuels within four months after the vehicle is 
acquired by a covered person; and
    (d) The application of alternative fueled vehicle credits allocated 
under subpart F of this part.



Sec. 490.306  Vehicle operation requirements.

    The alternative fueled vehicles acquired pursuant to section 490.302 
of

[[Page 600]]

this part shall be operated solely on alternative fuels, except when 
these vehicles are operating in an area where the appropriate 
alternative fuel is unavailable.



Sec. 490.307  Option for Electric Utilities.

    (a) A covered person or its affiliate, division, or business unit, 
whose principal business is generating, transmitting, importing, or 
selling, at wholesale or retail, electricity has the option of delaying 
the vehicle acquisition mandate schedule in section 490.302 until 
January 1, 1998, if the covered person intends to comply with this 
regulation by acquiring electric motor vehicles.
    (b) If a covered person or its affiliate, division, or business 
unit, whose principal business is generating, transmitting, importing, 
or selling at wholesale or retail electricity has notified the 
Department as required by the Act, of its intent to acquire electric 
motor vehicles, the following percentages of new light duty motor 
vehicles acquired shall be alternative fueled vehicles for the following 
time periods:
    (1) 30 percent from January 1, 1998 to August 31, 1998.
    (2) 50 percent for model year 1999.
    (3) 70 percent for model year 2000.
    (4) 90 percent for model year 2001 and thereafter.
    (c) Any covered person or its affiliate, division, or business unit, 
that chooses the option provided by this section may apply for an 
exemption from the vehicle acquisition mandate in accordance with 
section 490.308 of this regulation.
    (d) Any covered person or its affiliate, division, or business unit, 
that chooses to rescind its election of the option provided in this 
section shall be required, unless otherwise exempt, to acquire 
alternative fueled vehicles in accordance with the vehicle acquisition 
schedule in section 490.302.



Sec. 490.308  Process for granting exemptions.

    (a) To obtain an exemption from the vehicle acquisition mandate in 
this subpart, a covered person, or its affiliate, division, or business 
unit which is subject to section 490.302 of this part, shall submit a 
written request for exemption to the Office of Energy Efficiency and 
Renewable Energy, U.S. Department of Energy, EE-33, 1000 Independence 
Ave., SW., Washington, DC 20585, or such other address as DOE may 
publish in the Federal Register, along with the supporting documentation 
required by this section.
    (b) A covered person requesting an exemption must demonstrate that--
    (1) Alternative fuels that meet the normal requirements and 
practices of the principal business of the covered person are not 
available from fueling sites that would permit central fueling of that 
person's vehicles in the area in which the vehicles are to be operated; 
or
    (2) Alternative fueled vehicles that meet the normal requirements 
and practices of the principal business of the covered person are not 
available for purchase or lease commercially on reasonable terms and 
conditions in any State included in a MSA/CMSA that the vehicles are 
operated in.
    (c) Documentation. (1) Except as provided in paragraph (c) (2) of 
this section, if a covered person is seeking an exemption under 
paragraph (b)(1) of this section, the types of documentation that are to 
accompany the request include, but are not limited to, maps of vehicle 
operation zones and maps of locations providing alternative fuel.
    (2) If a covered person seeking an exemption under paragraph (b)(1) 
of this section operates light duty vehicles outside of the areas listed 
in Appendix A of subpart A, and central fueling of those vehicles does 
not meet the normal requirements and practices of that person's 
business, then that covered person shall only be required to justify in 
a written request why central fueling is incompatible with its business.
    (3) If a covered person is seeking an exemption under paragraph 
(b)(2) of this section, the types of documentation that are to accompany 
the request include, but are not limited to, alternative fueled vehicle 
purchase or lease requests, a listing of vehicles that meet the normal 
practices and requirements of the covered person and any other 
documentation that exhibits good faith efforts to acquire alternative 
fueled vehicles.

[[Page 601]]

    (d) Exemptions are granted for one model year only and may be 
renewed annually, if supporting documentation is provided.
    (e) Exemptions may be granted in whole or in part. When granting an 
exemption in part, DOE may, depending upon the circumstances, completely 
relieve a covered person from complying with a portion of the vehicle 
acquisition requirements for a model year, or it may require a covered 
person to acquire all or some of the exempted vehicles in future model 
years.
    (f) The Assistant Secretary shall provide to the covered person 
within 45 days after receipt of a request that complies with this 
section, a written determination as to whether the State's request has 
been granted or denied.
    (g) If a covered person is denied an exemption, that covered person 
may file an appeal within 30 days of the date of determination, pursuant 
to 10 CFR part 1003, subpart C, with the Office of Hearings and Appeals, 
U.S. Department of Energy, 1000 Independence Ave, SW, Washington, DC 
20585. The Assistant Secretary's determination shall be stayed during 
the pendency of an appeal under this paragraph.



Sec. 490.309  Annual reporting requirements.

    (a) If a person is required to comply with the vehicle acquisition 
schedule in section 490.302 or section 490.307, that person shall file 
an annual report under this section, on a form obtainable from DOE, with 
the Office of Energy Efficiency and Renewable Energy, U.S. Department of 
Energy, EE-33, 1000 Independence Ave., SW., Washington, DC 20585, or 
such other address as DOE may publish in the Federal Register, on or 
before the December 31 after the close of the applicable model year.
    (b) This report shall include the following information--
    (1) Number of new light duty motor vehicles acquired by the covered 
person in the United States during the model year;
    (2) Number of new light duty alternative fueled vehicles that are 
required to be acquired during the model year;
    (3) Number of new light duty alternative fueled vehicle acquisitions 
in the United States during the model year;
    (4) Number of alternative fueled vehicle credits applied against 
acquisition requirements;
    (5) For each new light duty alternative fueled vehicle acquisition--
    (i) Vehicle make and model;
    (ii) Model year;
    (iii) Vehicle Identification Number;
    (iv) Dedicated or dual-fueled (including flexible fuel); and
    (v) Type of alternative fuel the vehicle is capable of operating on.
    (c) If credits are applied against alternative fueled vehicle 
acquisition requirements, then a credit activity report, as described in 
subpart F, must be submitted with the report under this section to DOE.
    (d) Records shall be maintained and retained for a period of three 
years.



Sec. 490.310  Violations.

    Violations of this subpart are subject to investigation and 
enforcement under subpart G of this part.



                          Subpart E [Reserved]



          Subpart F--Alternative Fueled Vehicle Credit Program



Sec. 490.500  Purpose and Scope.

    This subpart implements the statutory requirements of section 508 of 
the Act, which provides for the allocation of credits to fleets or 
covered persons who acquire alternative fueled vehicles in excess of the 
number they are required or obtain alternative fueled vehicles before 
the model year when they are first required to do so under this part.



Sec. 490.501  Applicability.

    This subpart applies to all fleets and covered persons who are 
required to acquire alternative fueled vehicles by this part.



Sec. 490.502  Creditable actions.

    A fleet or covered person becomes entitled to alternative fueled 
vehicle credits by--
    (a) Acquiring alternative fueled vehicles, including those in 
excluded categories under section 490.3 of this part

[[Page 602]]

and those exceeding 8,500 gross vehicle weight rating, in excess of the 
number of alternative fueled vehicles that fleet or covered person is 
required to acquire in a model year when acquisition requirements apply; 
or
    (b) Acquiring alternative fueled vehicles, including those in 
excluded categories under section 490.3 of this part and those exceeding 
8,500 gross vehicle weight rating, in model years before the model year 
when that fleet or covered person is first required to acquire 
alternative fueled vehicles.
    (c) For purposes of this subpart, a fleet or covered person that 
acquired a motor vehicle on or after October 24, 1992, and converted it 
to an alternative fueled vehicle before April 15, 1996, shall be 
entitled to a credit for that vehicle notwithstanding the time limit on 
conversions established by sections 490.202(a)(3) and 490.305(a)(3) of 
this part.



Sec. 490.503  Credit allocation.

    (a) Based on annual credit activity report information, as described 
in section 490.507 of this part, DOE shall allocate one credit for each 
alternative fueled vehicle a fleet or covered person acquires that 
exceeds the number of alternative fueled vehicles that fleet or person 
is required to acquire in a model year when acquisition requirements 
apply.
    (b) If an alternative fueled vehicle is acquired by a fleet or 
covered person in a model year before the first model year that fleet or 
person is required to acquire alternative fueled vehicles by this part, 
as reported in the annual credit activity report, DOE shall allocate one 
credit per alternative fueled vehicle for each year the alternative 
fueled vehicle is acquired before the model year when acquisition 
requirements apply.
    (c) DOE shall allocate credits to fleets and covered persons under 
paragraph (b) of this section only for alternative fueled vehicles 
acquired on or after October 24, 1992.



Sec. 490.504  Use of alternative fueled vehicle credits.

    At the request of a fleet or covered person in an annual report 
under this part, DOE shall treat each credit as the acquisition of an 
alternative fueled vehicle that the fleet or covered person is required 
to acquire under this part. Each credit shall count as the acquisition 
of one alternative fueled vehicle in the model year for which the fleet 
or covered person requests the credit to be applied.



Sec. 490.505  Credit accounts.

    (a) DOE shall establish a credit account for each fleet or covered 
person who obtains an alternative fueled vehicle credit.
    (b) DOE shall send to each fleet and covered person an annual credit 
account balance statement after the receipt of its credit activity 
report under section 490.507.



Sec. 490.506  Alternative fueled vehicle credit transfers.

    (a) Any fleet or covered person that is required to acquire 
alternative fueled vehicles may transfer an alternative fueled vehicle 
credit to--
    (1) A fleet that is required to acquire alternative fueled vehicles; 
or
    (2) A covered person subject to the requirements of this part, if 
the transferor provides certification to the covered person that the 
credit represents a vehicle that operates solely on alternative fuel.
    (b) Proof of credit transfer may be on a form provided by DOE, or 
otherwise in writing, and must include dated signatures of the 
transferor and transferee. The proof should be received by DOE within 30 
days of the transfer date to the Office of Energy Efficiency and 
Renewable Energy, U.S. Department of Energy, EE-33, 1000 Independence 
Ave., SW., Washington, DC 20585 or such other address as DOE publishes 
in the Federal Register.



Sec. 490.507  Credit activity reporting requirements.

    (a) A covered person or fleet applying for allocation of alternative 
fueled vehicle credits must submit a credit activity report by the 
December 31 after the close of a model year to the Office of Energy 
Efficiency and Renewable Energy, U.S. Department of Energy, EE-33, 1000 
Independence Ave, SW.,

[[Page 603]]

Washington, DC 20585 or other such address as DOE may publish in the 
Federal Register.
    (b) This report must include the following information:
    (1) Number of alternative fueled vehicle credits requested for:
    (i) alternative fueled vehicles acquired in excess of required 
acquisition number; and
    (ii) alternative fueled vehicles acquired in model years before the 
first model year the fleet or covered person is required to acquire 
vehicles by this part.
    (2) Purchase of alternative fueled vehicle credits:
    (i) Credit source; and
    (ii) Date of purchase;
    (3) Sale of alternative fueled vehicle credits:
    (i) Credit purchaser; and
    (ii) Date of sale.



                Subpart G--Investigations and Enforcement



Sec. 490.600  Purpose and scope.

    This subpart sets forth the rules applicable to investigations under 
titles III, IV, V, and VI of the Act and to enforcement of section 501, 
503(b), 507 or 508 of the Act, or any regulation issued under such 
sections.



Sec. 490.601  Powers of the Secretary.

    For the purpose of carrying out titles III, IV, V, and VI of the 
Act, DOE may hold such hearings, take such testimony, sit and act at 
such times and places, administer such oaths, and require by subpena the 
attendance and testimony of such witnesses and the production of such 
books, papers, correspondence, memoranda, contracts, agreements, or 
other records as the Secretary of Transportation is authorized to do 
under section 505(b)(1) of the Motor Vehicle Information and Cost 
Savings Act (15 U.S.C. 2005(b)(1)).



Sec. 490.602  Special orders.

    (a) DOE may require by general or special orders that any person--
    (1) File, in such form as DOE may prescribe, reports or answers in 
writing to specific questions relating to any function of DOE under this 
part; and
    (2) Provide DOE access to (and for the purpose of examination, the 
right to copy) any documentary evidence of such person which is relevant 
to any function of DOE under this part.
    (b) File under oath any reports and answers provided under this 
section or as otherwise prescribed by DOE, and file such reports and 
answers with DOE within such reasonable time and at such place as DOE 
may prescribe.



Sec. 490.603  Prohibited acts.

    It is unlawful for any person to violate any provision of section 
501, 503(b), or 507 of the Act, or any regulations issued under such 
sections.



Sec. 490.604  Penalties and Fines.

    (a) Civil penalties. Whoever violates section 490.603 of this part 
shall be subject to a civil penalty of not more than $5,000 for each 
violation.
    (b) Willful violations. Whoever willfully violates section 490.603 
of this part shall pay a criminal fine of not more than $10,000 for each 
violation.
    (c) Repeated violations. Any person who knowingly and willfully 
violates section 490.603 of this part, after having been subjected to a 
civil penalty for a prior violation of section 490.603 shall pay a 
criminal fine of not more than $50,000 for each violation.



Sec. 490.605  Statement of enforcement policy.

    DOE may agree not to commence an enforcement proceeding, or may 
agree to settle an enforcement proceeding, if the person agrees to come 
into compliance in a manner satisfactory to DOE. DOE normally will not 
commence an enforcement action against a person subject to the 
acquisition requirements of this part without giving that person notice 
of its intent to enforce 90 days before the beginning of an enforcement 
proceeding.



Sec. 490.606  Proposed assessments and orders.

    DOE may issue a proposed assessment of, and order to pay, a civil 
penalty in a written statement setting forth supporting findings of 
violation of the Act or a relevant regulation of this part. The proposed 
assessment and order shall be served on the person

[[Page 604]]

named therein by certified mail, return-receipt requested, and shall 
become final for DOE if not timely appealed pursuant to section 490.607 
of this part.



Sec. 490.607  Appeals.

    (a) In order to exhaust administrative remedies, on or before 30 
days from the date of issuance of a proposed assessment and order to 
pay, a person must appeal a proposed assessment and order to the Office 
of Hearings and Appeals, U.S. Department of Energy, 1000 Independence 
Avenue, SW., Washington, DC 20585.
    (b) Proceedings in the Office of Hearings and Appeals shall be 
subject to subpart F of 10 CFR part 1003 except that--
    (1) Appellant shall have the ultimate burden of persuasion;
    (2) Appellant shall have right to a trial-type hearing on contested 
issues of fact only if the hearing officer concludes that cross 
examination will materially assist in determining facts in addition to 
evidence available in documentary form; and
    (3) The Office of Hearings and Appeals may issue such orders as it 
may deem appropriate on all other procedural matters.
    (c) The determination of the Office of Hearings and Appeals shall be 
final for DOE.



PARTS 491-499--[RESERVED]

[[Page 605]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 607]]

            Material Approved for Incorporation by Reference

                     (Revised as of January 1, 1997)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


10 CFR CHAPTER II (PARTS 200-499)

DEPARTMENT OF ENERGY
                                                                  10 CFR


Part 420 State energy conservation plans
American Society of Heating, Refrigerating and Air Conditioning 
Engineers, Inc.

  345 E. 47th St., New York, NY 10017
Standard 90, Energy Conservation in New Building            420.2; 420.7
  Design, Sections 4-9 (Aug. 11, 1975).
ASHRAE/ESNA 90.1-1989, Energy Efficient Design of       420.02; 420.06; 
  New Buildings Except Low-Rise Residential                       420.15
  Buildings, including Addenda 90.16-1992, 90.1d-
  1992, 90.1e-1992. 90.1g-1993, 90.1i-1993.


Part 430-Energy conservation program for consumer products
Air-Conditioning and Refrigeration Institute

  1815 N. Fort Myer Drive, Arlington, VA 22209
ARI 210-79 Standard for Unitary Air Conditioning   Part 430, Subpart B, 
  Equipment.                                                  Appendix M
ARI 240-77 Standard for Air-Source Unitary Heat    Part 430, Subpart B, 
  Pump Equipment.                                             Appendix M
ARI 280-74 Standard for Central Forced-Air         Part 430, Subpart B, 
  Electric Heating Equipment.                                 Appendix N
ARI 320-76 Standard for Water Source Heat Pumps... Part 430, Subpart B, 
                                                              Appendix M
ARI 610-74 Standard for Central System Humidifiers Part 430, Subpart B, 
                                                             Appendix K1


American National Standards Institute

  1430 Broadway, New York, NY 10018
ANSI B38.1-1970 Method of testing for Household    Part 430, Subpart B, 
  Refrigerators, Combination Refrigerator Freezers      Appendix A and B
  and Household Freezers.
ANSI B149.1-1972 Dehumidifiers.................... Part 430, Subpart B, 
                                                              Appendix L
ANSI C16.13-1961 Monochrome Television Broadcast   Part 430, Subpart B, 
  Receivers.                                                  Appendix H
ANSI C78.1-1991, For Fluorescent Lamps--Rapid-             430.22; 320.2
  Start Types--Dimensional and Electrical 
  Characteristics.
ANSI C78.2-1991, For Fluorescent Lamps--Preheat-           430.22; 430.2
  Start Types--Dimensional and Electrical 
  Characteristics.
ANSI C78.3-1991, For Fluorescent Lamps--Instant-           430.22; 430.2
Start and Cold-Cathode Types--Dimensional and 
[[Page 608]]Characteristics.

ANSI C78.375-1991, For Fluorescent Lamps--Guide            430.22; 430.2
  for Electrical Measurements.
ANSI C82.2-1984 Flourescent Lamp Ballasts--Methods  Part 430, Appendix Q
  of Measurements, approved Oct. 21, 1983.
ANSI C82.1983, For Reference Ballasts for                  430.22; 430.2
  Fluorescent Lamps.
ANSI Z11.182-1965 (R 1971), Standard Method of     Part 430, Subpart B, 
  Test for Smoke Density in the Flue Gases from         Appendix N and O
  Distillate Fuels (ASTM D 2156-65 (1975)).
ANSI Z21.10.1-1975 Gas Water Heaters.............. Part 430, Subpart B, 
                                                              Appendix E
ANSI Z21.11.1-1974 ANS for Gas-Fired Room Heaters, Part 430, Subpart B, 
  Vol. 1, Vented Room Heaters.                                Appendix O
ANSI Z21.13-1974 ANS for Gas-Fired Low Pressure    Part 430, Subpart B, 
  Steam and Hot Water Heating Boilers.                        Appendix N
ANSI Z21.44-1973 Gas Fired Gravity and Fan Type    Part 430, Subpart B, 
  Direct Vent Wall Furnaces.                                  Appendix O
ANSI Z21.47-1978 Gas Fired Central Furnaces....... Part 430, Subpart B, 
                                                        Appendix N and O
ANSI Z21.48-1976 Gas Fired Gravity and Fan Type    Part 430, Subpart B, 
  Floor Furnaces.                                             Appendix O
ANSI Z21.49-1975 Gas Fired Gravity and Fan Type    Part 430, Subpart B, 
  Vented Wall Furnace.                                        Appendix O
ANSI Z91.1-1972 ANS Performance Requirements for   Part 430, Subpart B, 
  Oil-Powered Central Furnaces.                               Appendix N
ANSI Z224.1-1971 Performance Evaluation Procedures Part 430, Subpart B, 
  for Household Washers (AHAM HLW-1, Dec. 1971).              Appendix J
ANSI Z234.1-1972 Room Air Conditioners............ Part 430, Subpart B, 
                                                              Appendix F
ANSI Z235.1-1972 Appliance Humidifier Standard     Part 430, Subpart B, 
  (AHAM HU-1-72).                                            Appendix K2


American Society of Heating, Refrigerating and Air-Conditioning 
Engineers, Inc.

  345 E. 47th St., New York, NY 10017
ASHRAE Standard 16-69 Method of Testing for Rating Part 430, Subpart B, 
  Room Air Conditioners.                                      Appendix F
ASHRAE Standard 37-78 Method of Testing for Rating Part 430, Subpart B, 
  Unitary Air Conditioning and Heat Pump                      Appendix M
  Equipment.


American Society for Testing and Materials

  1916 Race St., Philadelphia, PA 19103
ASTM D 396-78 Standard Specification for Fuel Oils                 430.2
ASTM D 2156-65 (1975) Method of Test for Smoke     Part 430, Subpart B, 
  Density in Flue Gases from Distillate Fuels           Appendix N and O
  (ANSI Z 11.182-1965 (R 1971)).


Association of Home Appliance Manufacturers

  20 N. Wacker Dr., Chicago, IL 60606
AHAM HLD-1, June 1974 Performance Evaluation       Part 430, Subpart B, 
  Procedure for Household Tumble Type Clothes                 Appendix O
  Dryers.
AHAM HLD-2EC, Dec. 1975 Test Method for Measuring  Part 430, Subpart B, 
  Energy Consumption of Household Tumble Type                 Appendix D
  Clothes Dryers.
AHAM HLW-2EC, Dec. 1975 Test Method for Measuring  Part 430, Subpart B, 
  Energy Consumption of Household Clothes Washers.            Appendix J
AHAM HLW-1, Dec. 1971 Household Washer Performance Part 430, Subpart B, 
  Evaluation Procedure. (ANSI Z 224.1-1971).                  Appendix J

[[Page 609]]

AHAM HU-1-72, Appliance Humidifier Standard (ANSI  Part 430, Subpart B, 
  Z 235.1-1972).                                             Appendix K2
AHAM HRF-2-ECFT-1975 Test Procedures to Determine  Part 430, Subpart B, 
  the Temperature and Energy Consumption of             Appendix A and B
  Household Refrigerators, Combination 
  Refrigerator-Freezers, and Freezers.


Council of American Building Officials

  5203 Leesburg Pike, Falls Church, VA 22041
Model Energy Code, 1993, including Errata......... 420.2; 420.06; 420.15


Illuminating Engineering Society of North America, Publications 
Department

  345 E. 47th Street, New York, NY 10017, (212) 
  705-7925
IES LM-9-88, IES Approved Method for the             430.22, Subpart B, 
  Electrical and Photometric Measurements of                  Appendix R
  Fluorescent Lamps.
IES, LM-16, -84, IES Pratical Guide to Colorimetry   430.22, Subpart B, 
  of Light Sources.                                           Appendix R
IES LM-20-1982, IES Approved Method for              430.22, Subpart B, 
  Photometric Measuring and Reporting Tests on                Appendix R
  Reflector Type Lamps.
IES LM-45-91, IES Approved Method for Electrical     430.22, Subpart B, 
  and Photometric Measurements of General Service             Appendix R
  Incandescent Filament Lamps.
IES LM-58-83, IES Guide to Spectroradiometric        430.22, Subpart B, 
  Measurements.                                               Appendix R
IES LM-66-1991, IES Approved Method for the          430.22, Subpart B, 
  Electrical and Photometric Merasurements of                 Appendix R
  Single-Ended Compact Fluorescent Lamps.


International Commission on Illumination

  Bureau Central De La CIE, 4 AV. Du Recteur-
  Poincare, 75 782 Paris, Cedex 16, France
International Commission on Illumination             430.22, Subpart B, 
  Publication No. 13.2, 1974, corrected reprint               Appendix R
  1993, Method of Measuring and Specifying Color 
  Rendering Properties of Light Sources, ISBN 3 
  900 734 39 9.


Hydronics Institute

  35 Russo Pl., Berkeley Heights, NJ 07922
Testing and Rating Standards for Cast Iron and     Part 430, Subpart B, 
  Steel Heating Boilers, Jan. 1977.                           Appendix N


Underwriters Laboratories Inc.

  207 E. Ohio St., Chicago, IL 60611
UL 729-1976 Standard for Safety: Oil-Fired Floor   Part 430, Subpart B, 
  Furnaces.                                                   Appendix O
UL 730-1974 Standard for Safety: Oil-Fired Wall    Part 430, Subpart B, 
  Furnaces.                                                   Appendix O
UL 896-1973 Standard for Safety: Oil-Burning       Part 430, Subpart B, 
  Stoves.                                                     Appendix O


Part 436--Federal energy management and planning programs
American Society of Heating, Refrigerating and Air-Conditioning 
Engineers, Inc.

  345 E. 47th St., New York, NY 10017
Standard 93-77 Methods of Testing to Determine the                436.76
  Thermal Performance of Solar Collectors.


Part 440--Weatherization assistance for low-income persons

More information regarding the standards in this 
  reference can be obtained from the following 
  sources:.

Environmental Protection Agency, 401 M Street, NW, 
  Washington, DC 20006; (202) 554-1080.

[[Page 610]]

National Institute of Standards and Technology, 
  U.S. Department of Commerce, Gaithersburg, MD 
  20899, (301) 975-2000.
Weatherization Assistance Programs Division, 
  Conservation and Renewable Energy, Mail Stop 5G-
  023, Forrestal Bldg., 1000 Independence Ave, SW, 
  Washington, DC 20585; (202) 586-2207.


Air Conditioning and Refrigeration Institute

  1501 Wilson Blvd., Arlington, VA 22209; (703) 
  524-8800
ARI 470-1987......................................  Part 440, Appendix A
ARI 210/240-1989..................................  Part 440, Appendix A


American National Standards Institute/American Architectural 
Manufacturers Association

  1540 East Dundee Road, Palatine, IL 60067; (708) 
  202-1350
ANSI/AAMA 1102.7-89...............................  Part 440, Appendix A
ANSI/AAMA 101-88..................................  Part 440, Appendix A
ANSI/AAMA 1002.10-83..............................  Part 440, Appendix A


American Gas Association

  1515 Wilson Blvd., Arlington, VA 22209; (703) 
  841-8400
AGA No. 1-80, Requirements for Heat Reclaimer       Part 440, Appendix A
  Devices for Use with Gas-Fired Appliances, June 
  1, 1980.


American National Standards Institute, Inc.

  1430 Broadway, New York, N.Y. 10018; (212) 642-
  4900
ANSI Z21.8-1984...................................  Part 440, Appendix A
ANSI Z21.17-1984, and Z21.17a-1990................  Part 440, Appendix A
ANSI Z21.21-1987 and Z21.21a-1989.................  Part 440, Appendix A
ANSI Z21.47-1987, Z21.47a-1988 and Z21.47b-1989...  Part 440, Appendix A
ANSI Z21.66-1988, including Exhibits A & B........  Part 440, Appendix A
ANSI Z21.71-1981, Z21.71a1985 and Z21.71b-1989....  Part 440, Appendix A
ANSI Z223.1-1988..................................  Part 440, Appendix A
ANSI Z223.1-1988, including Appendix H............  Part 440, Appendix A
ANSI Z223.1-1988, including Part 9 and Appendices   Part 440, Appendix A
  G & H.
ANSI Z223.1-1988, including Appendices H, I, J and  Part 440, Appendix A
  K.
ANSI/American Home Appliance Manufacturers ANSI/    Part 440, Appendix A
  AHAM RAC-1-1982.


American National Standards Institute/National Wood Window and Door 
Association

  1400 East Touhy Avenue, Des Plaines, IL 60018; 
  (708) 299-5200
ANSI/NWWDA I.S. 1-87 Exterior door provisions)....  Part 440, Appendix A

[[Page 611]]

ANSI/NWWDA I.S. 2-87..............................  Part 440, Appendix A
ANSI/NWWDA I.S. 2-87 (Section 3)..................  Part 440, Appendix A
ANSI/NWWDA I.S. 3-83..............................  Part 440, Appendix A
ANSI/NWWDA I.S. 6-86..............................  Part 440, Appendix A


American National Standards Institute/Steel Door Institute

  712 Lakewood Center North, 14600 Detroit Avenue, 
  Cleveland, OH 44107; (216) 899-0100
ANSI/SDI 100-1985.................................  Part 440, Appendix A


American Society for Testing and Materials

  1916 Race Street, Philadelphia, PA 19103; (215) 
  299-5400


National Standards Association

  1200 Quince Orchard Blvd., Gaithersburg, MD 
  20878; (301) 590-2300. (NSA is a local contact 
  for materials from ASTM)
ASTM C208-72 (1982)...............................  Part 440, Appendix A
ASTM C509-84......................................  Part 440, Appendix A
ASTM C516-80 (1990)...............................  Part 440, Appendix A
ASTM C517-71 (1979)...............................  Part 440, Appendix A
ASTM C533-85 (1990)...............................  Part 440, Appendix A
ASTM C534-88......................................  Part 440, Appendix A
ASTM C547-77......................................  Part 440, Appendix A
ASTM C549-81 (1986)...............................  Part 440, Appendix A
ASTM C552-88......................................  Part 440, Appendix A
ASTM C553-70 (1977)...............................  Part 440, Appendix A
ASTM C570-72 (1989)...............................  Part 440, Appendix A
ASTM C578-87a.....................................  Part 440, Appendix A
ASTM C591-85......................................  Part 440, Appendix A
ASTM C592-80......................................  Part 440, Appendix A
ASTM C610-85......................................  Part 440, Appendix A
ASTM C612-83......................................  Part 440, Appendix A
ASTM C665-88......................................  Part 440, Appendix A

[[Page 612]]

ASTM C669-75 (1989)...............................  Part 440, Appendix A
ASTM C720-89......................................  Part 440, Appendix A
ASTM C726-88......................................  Part 440, Appendix A
ASTM C728-89a.....................................  Part 440, Appendix A
ASTM C739-88......................................  Part 440, Appendix A
ASTM C755-85 (1990)...............................  Part 440, Appendix A
ASTM C764-88......................................  Part 440, Appendix A
ASTM C834-76 (1986)...............................  Part 440, Appendix A
ASTM C892-89......................................  Part 440, Appendix A
ASTM C920-87......................................  Part 440, Appendix A
ASTM C971-82......................................  Part 440, Appendix A
ASTM C984-83......................................  Part 440, Appendix A
ASTM D3678-88.....................................  Part 440, Appendix A
ASTM D4099-89.....................................  Part 440, Appendix A
ASTM E84-89a......................................  Part 440, Appendix A
ASTM E96-90.......................................  Part 440, Appendix A


American Society of Mechanical Engineers

  United Engineering Center, 345 East 47th Street, 
  New York, NY 10017; (212) 705-7800
ASME Boiler and Pressure Vessel Code, 1992,         Part 440, Appendix A
  Sections II, V, VIII, IX, and X.
ASME CSD-1-1988...................................  Part 440, Appendix A


Federal Specifications, General Services Administration

  Specification Section, Room 6654, 7th and D 
  Streets, SW, Washington, DC 20407; (202) 708-
  5082
FS HH-I-1972/1, August 12, 1981...................  Part 440, Appendix A
FS HH-I-1972/2, August 12, 1981 and Amendment 1,    Part 440, Appendix A
  October 3, 1985.
FS HH-I-1972/4, August 12, 1981...................  Part 440, Appendix A
FS HH-I-558C, January 7, 1992.....................  Part 440, Appendix A
FS TT-P-00791B, October 16, 1969 and Amendment 2,   Part 440, Appendix A
March 23, 1971.
[[Page 613]]

FS TT-S-001657, October 8, 1970...................  Part 440, Appendix A
FS TT-S-00230C, February 2, 1970 and Amendment 2,   Part 440, Appendix A
  October 9, 1970.


National Electrical Manufacturers Association

  2101 L Street, NW, Suite 300, Washington, DC 
  20037; (202) 457-8400
NEMA DC3-1989.....................................  Part 440, Appendix A


National Fire Protection Association

  Batterymarch Park, P.O. Box 9101, Quincy, MA 
  02269; (617) 770-3000
NFPA 70-1993, National Electrical Code............  Part 440, Appendix A
NFPA 31-1987......................................  Part 440, Appendix A
NFPA 58-1989......................................  Part 440, Appendix A
NFPA 211-1988.....................................  Part 440, Appendix A


Sheet Metal and Air Conditioning Contractors Association

  P.O. Box 221230, Chantilly, VA 22022-1230; (703) 
  803-2980
SMACNA Energy Recovery Equipment and Systems, Air-  Part 440, Appendix A
  to-Air (1978).


Tubular Exchange Manufacturers Association

  25 North Broadway, Tarrytown, NY 10591; (914) 
  332-0040
Standards of the Tubular Exchanger Manufactuers     Part 440, Appendix A
  Association, Seventh Ed., 1988.


Underwriters Laboratories, Inc.

  P.O. Box 75530, Chicago, IL 60675-5330; (706) 
  272-8800
UL 17, November 28, 1988..........................  Part 440, Appendix A
UL 296, February 28, 1989.........................  Part 440, Appendix A
UL 507, August 23, 1990...........................  Part 440, Appendix A
UL 727, August 27, 1991...........................  Part 440, Appendix A
UL 1995, November 30, 1990........................  Part 440, Appendix A


Part 456--Residential energy conservation program
American National Standards Institute

  1430 Broadway, New York, NY 10018
ANSI Z21.13-1977 Gas-Fired Low Pressure Steam Hot       456.814; 456.914
  Water Heating Boilers..
ANSI Z21.20-1979 Automatic Gas Ignition Systems                  456.814
  and Components.
ANSI Z21.47-1978 Gas-fired Central Furnaces.......      456.814; 456.914
ANSI Z21.59-1974 Gas-fired High Pressure Steam and               456.814
  Hot Water Heating Boilers.
ANSI Z21.66-1978 Electrically-Operated Automatic        456.814; 456.914
  Vent Damper Devices for Use with Gas-fired 
  Appliances.
ANSI Z21.67-1978 Mechanically-Actuated Automatic        456.814; 456.914
Vent Damper Devices for Use with Gas-fired 
[[Page 614]]

ANSI Z21.68-1978 Thermally-Actuated Automatic Vent      456.814; 456.914
  Damper Devices for Use with Gas-fired 
  Appliances.
ANSI Z91.2-1976 Performance Requirements for            456.814; 456.913
  Automatic Pressure Oil Burners of the Mechanical 
  Draft Type.
ANSI Z96.1-1978/UL 727 Oil-fired Central Furnaces.               456.814
ANSI Z96.2-1974/UL 296 Oil Burners................               456.814
ANSI Z96.3-1975/UL 726 Oil-fired Boiler Assemblies               456.814
ANSI/AAMA 1002.9-1977 Voluntary Specification for                456.813
  Aluminum Combination Storm Windows for External 
  Applications.
ANSI/AAMA 1102.7-1977 Voluntary Specifications for               456.813
  Aluminum Storm Doors.
ANSI/ASTM B 152-79 Standard Specification for                    456.810
  Copper Sheet, Strip, Plate, and Rolled Bar.
ANSI/ASTM B 446-75 Standard Specification for                    456.810
  Nickel-Chromium-Molybdenum-Columbium Alloy 
  (UNSO6625) Rod and Bar.
ANSI/ASTM D 2156-65 (1975) Method of Tests for                   456.913
  Smoke Density in the Flue Gases from Distillate 
  Fuels.
ANSI/NWMA I.S. 2-73 Industry Standard for Wood                   456.813
  Windows.
ANSI/NWMA I.S. 5-73 Ponderosa Pine Doors..........               456.813


American Society for Testing and Materials

  1916 Race St., Philadelphia, PA 19103
ASTM C 177-76 Standard Test Method for Steady                    456.810
  State Thermal Transmission Properties by Means 
  of the Guarded Hot Plate.
ASTM C 236-66 (1971) Standard Test Method for                    456.810
  Thermal Conductance and Transmittance of Built-
  up Sections by Means of the Guarded Hot Box.
ASTM C 272-53 Test for Water Absorption of Core                  456.907
  Materials for Structural Sandwich Constructions.
ASTM C 355-64 Tests for Water Vapor Transmission                 456.907
  of Thick Materials.
ASTM C 516-75 Standard Specification for                         456.806
  Vermiculite Loose Fill.
ASTM C 518-76 Standard Test Method for Steady                    456.810
  State Thermal Transmission Properties by the 
  Means of Heat Flow Meter.
ASTM C 520-65 (1975) Standard Method for Density        456.806; 456.807
  of Granular Loose-fill Insulation.
ASTM C 570-72 Specification for Oil and Resin                    456.812
  Based Caulking Compound for Building 
  Construction.
ASTM C 578-69 Standard Specification for                         456.808
  Preformed, Block-Type Cellular Polystyrene 
  Thermal Insulation.
ASTM C 755-73 Standard Recommended Practice for                  456.903
  Selection for Vapor Barriers for Thermal 
  Insulation.
ASTM C 790-74 Standard Recommended Practices for                 456.916
  Use of Latex Sealing Compounds.
ASTM C 797-75 Standard Recommended Practices and                 456.916
  Terminology for Use of Oil- and Resin-Based 
  Putty and Glazing Compounds.
ASTM C 804-75 Standard Recommended Practices for                 456.916
  Use of Solvent Release Type Sealants.
ASTM C 834-76 Specification for Latex Sealing                    456.812
  Compounds.
ASTM D 257-78 Test for DC resistance or                          456.810
  Conductance of Insulating Materials.
ASTM D 1622-63 (1975) Standard Method of Test for                456.810
Apparent Density of Rigid Cellular Plastics.
[[Page 615]]

ASTM E 84-79B Standard Test Method for Surface        456.808; 456.809; 
  Burning Characteristics of Building Materials.        456.810; 456.812
ASTM E 96-66 (1972) Standard Test Method for Water               456.805
  Vapor Transmission of Materials in Sheet Form.
ASTM E 119-79 Standard Methods of Fire Tests of         456.906; 456.907
  Building Construction and Materials.
ASTM E 136-79 Behavior of Materials in a Vertical     456.804; 456.805; 
  Tube Furnace at 750 deg. C.                           456.905; 456.906
ASTM E 283-73 Standard Test Method for Rate of Air               456.813
  Leakage Through Exterior Windows, Curtain Walls 
  and Doors.
ASTM E 576-76 Standard Test Method for Dew/Frost        456.802; 456.813
  Point of Sealed Insulating Glass Units in 
  Vertical Position.
ASTM E 737-80 Standard Practice for the                          456.911
  Installation of Storm Windows, Replacement 
  Windows, Multi-Glazing, Storm Doors and 
  Replacement Doors.
ASTM G 1-72 (1979) Standard Recommended Practice                 456.810
  for Preparing, Cleaning, and Evaluating 
  Corrosion Test Speciments.


Building Officials and Code Administrators, International Inc.

  17926 S. Halsted St., Homewood, IL 60430
BOCA Research Report No. 72-23....................               456.813


Commerce Department, National Bureau of Standards

  Washington, DC 20234
NBS/PS 26-70 Rigid Polyvinyl-chloride Profile                    456.813
  Extrusions.


Environmental Protection Agency

  Cincinnati, OH 45268
EPA Report No. 600/2-75-069a Guidlines for                       456.913
  Residential Oil Burner Adjustments.


Federal Specifications:

  Naval Publication and Forms Center, 5801 Tabor 
  Ave., Philadelphia, PA 19120
HH-I-515D (6/78) Insulation, Thermal (loose-fill      456.803; 456.804; 
  for Pneumatic or Poured Application): Cellulosic               456.805
  or Wood Fiber.
HH-I-524B (11/72--Interim Amendment, 1/76)                       456.808
  Insulation, Board, Thermal (Polystyrene).
HH-I-530A (1971 and Interim Amendment 3, 5/76)                   456.809
  Insulation, Board, Thermal (Polyurethane and 
  Polyiscocynurate).
HH-I-558B (1971 and Interim Amendment 3, 5/76)                   456.812
  Insulation Blocks, Boards, Blankets, Felts, 
  Sleeving, and Pipe Fitting Coverings.
HH-I-573B (1968 and Interim Amendment, 1976)                     456.812
  Insulation Thermal, (Flexible Unicellular Sheet 
  and Pipe Covering).
HH-I-574B (1974 and Interim Amendment 1, 9/76)                   456.807
  Insulation, Thermal (Perlite).
TT-S-00227E (1969 and Amendment 3, 10/70) Sealing                456.812
  Compound, Elastomeric Type, Multi-Component (for 
  Caulking, Sealing, and Glazing in Buildings and 
  Other Structures).
TT-S-001657 (COM-NBS) (1970) Sealing Compound,                   456.812
  Single Component Butyl Rubber Base, Solvent 
  Release Type (for Buildings and Other Types of 
  Construction).
TT-S-00230C (COM-NBS) (1970 and Amendment 2, 10/                 456.812
70) Sealing Compound, Elastomeric Type, Single-
[[Page 616]](for Caulking, Sealing, and Glazing 
  in Buildings and Other Structures).
Housing and Urban Development Department

  Office of Technical and Credit Standards, Room 
  6156, 451 Seventh St., SW., Washington, DC 20410
HUD Intermediate MPS Supplement 4930.2-1977 Solar     456.702; 456.703; 
  Heating and Domestic Hot Water Systems.                        456.704
Use of Materials Bulletin No. 39 (Sept. 15, 1964)                456.813
  Labels of Independent Programs for Certifying 
  Aluminum Windows and Sliding Glass Doors.
Use of Material Bulletin No. 59a (July 16, 1974)                 456.813
  Labels Identifying Independent Certification of 
  Wood Windows.


National Fire Protection Administration

  470 Atlantic Ave., Boston, MA 02210
NFPA-31-1978 1978-National Fire Code, Standard for    456.905; 456.906; 
  the Installation of Oil and Burning Equipment.      456.907; 456.909; 
                                                                 456.913
NFPA-54/ANSI Z223.1-1-1974 National Fuel Gas Code,    456.905; 456.906; 
  Part I, Installation of Gas Piping and Gas          456.907; 456.909; 
  Equipment on Non-Industrial Premises.                          456.914
NFPA-70-1978 National Electric Code, 1978.........      456.914; 456.705
NFPA-211-1977 National Fire Code Standard for         456.905; 456.906; 
  Chimneys, Fireplaces, and Vents.                    456.907; 456.909; 
                                                                 456.912


Sandia Laboratory

  Environmental Research Division-5333, 
  Albuquerque, NM 87185
SAND 77-1375-1978 Sandia Laboratories Report,                    456.705
  Performance Evaluation of Wind Energy Conversion 
  Systems Using the Method of Bins.


Underwriters Laboratories Inc.

  Publication Stock, 333 Pfingsten Rd., 
  Northbrook, IL 60062
UL 559, 3rd Ed.-1975, Amendments through 1978                    456.814
  Standard for Heat Pumps.


Part 474 Electronic and Hybrid Vehicle research, development, and 
demonstration program; equivalent petroleum based fuel economy 
calculation
Society of Automotive Engineers

  400 Commonwealth Dr., Warrendale, PA 15096
SAE J227a, as revised Feb. 1976, Electric Vehicle                  474.3
  Test Procedure.


Part 475 Electric and hybrid vehicle research, development, and 
demonstration project
Society of Automotive Engineers

  485 Lexington Avenue, New York, New York 10017
SAE J227a, as revised Feb. 1976, Electric Vehicle  475.3; 475.10; 475.11
  Test Procedure.



[[Page 617]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 1997)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Advisory Committee on Federal Pay (Parts 1400--1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3202)
     XXIII  Department of Energy (Part 3301)

[[Page 618]]

      XXIV  Federal Energy Regulatory Commission (Part 3401)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Consumer Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)

[[Page 619]]

        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of Finance and Management, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  [Reserved]
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)

[[Page 620]]

    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--499)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Meat and Poultry 
                Inspection, Department of Agriculture (Parts 300--
                599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
        XI  United States Enrichment Corporation (Parts 1100--
                1199)
        XV  Office of the Federal Inspector for the Alaska Natural 
                Gas Transportation System (Parts 1500--1599)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)

[[Page 621]]

        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Thrift Depositor Protection Oversight Board (Parts 
                1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700-1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements

[[Page 622]]

        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)

[[Page 623]]

        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development, International 
                Development Cooperation Agency (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)
        VI  United States Arms Control and Disarmament Agency 
                (Parts 600--699)
       VII  Overseas Private Investment Corporation, International 
                Development Cooperation Agency (Parts 700--799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Board for International Broadcasting (Parts 1300--
                1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

[[Page 624]]

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs and Section 202 Direct Loan Program) 
                (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Part 1001)

[[Page 625]]

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Programs, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)

[[Page 626]]

       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)

[[Page 627]]

        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100-1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400-1499)

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)

[[Page 628]]

        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       301  Travel Allowances (Parts 301-1--301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Parts 303-1--303-2)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

[[Page 629]]

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, Department of 
                Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services, 
                General Administration (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  ACTION (Parts 1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)

[[Page 630]]

       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
      XXII  Christopher Columbus Quincentenary Jubilee Commission 
                (Parts 2200--2299)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)

[[Page 631]]

        19  United States Information Agency (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)

[[Page 632]]

         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            Acts Requiring Publication in the Federal Register
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 633]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 1997)

                                                  CFR Title, Subtitle or
                     Agency                               Chapter

ACTION                                            45, XII
Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Finance and Management, Office of               7, XXX
  Food and Consumer Service                       7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alaska Natural Gas Transportation System, Office  10, XV
     of the Federal Inspector
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
Animal and Plant Health Inspection Service        7, III; 9, I

[[Page 634]]

Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Arms Control and Disarmament Agency, United       22, VI
     States
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Commerce Department                               44, IV
  Census Bureau                                   15, I`
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I

[[Page 635]]

  Defense Logistics Agency                        32, I, XII; 48, 54
  Defense Mapping Agency                          32, I
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Mapping Agency                            32, I
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Enrichment Corporation, United States             10, XI
Environmental Protection Agency                   5, LIV; 40, I
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I

[[Page 636]]

  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Inspector for the Alaska Natural Gas      10, XV
     Transportation System, Office of
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Finance and Management, Office of                 7, XXX
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Consumer Service                         7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration                   5, LVII
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Property Management Regulations System  41, 101, 105
  Federal Travel Regulation System                41, Subtitle F
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
     of Certain Employees
[[Page 637]]

  Relocation Allowances                           41, 302
  Travel Allowances                               41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes Pilotage                              46, III
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI

[[Page 638]]

  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, Agency for             22, II
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, Agency for           22, II; 48, 7
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Relations and Cooperative      29, II
       Programs, Bureau of
  Labor-Management Programs, Office of            29, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Relations and Cooperative        29, II
     Programs, Bureau of
Labor-Management Programs, Office of              29, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II

[[Page 639]]

Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
     Acquisition Regulation
[[Page 640]]

  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Prisons, Bureau of                                28, V
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board       12, XV
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X

[[Page 641]]

Transportation, Office of                         7, XXXIII
Travel Allowances                                 41, 301
Treasury Department                               5, XXI; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
United States Enrichment Corporation              10, XI
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 643]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986 are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period between January 12, 1974, when Title 10, Chapter II was 
established at 39 FR 744, and December 31, 1985, see the ``List of 
Sections Affected, 1973-1985,'' Volume I.

                                  1986

10 CFR
                                                                   51 FR
                                                                    Page
Chapter II
205.350--205.353  Authority citation revised.......................39745
205.350  Revised...................................................39745
205.351  Revised...................................................39745
205.352  Revised...................................................39746
205.353  Revised...................................................39746
205.354  Removed...................................................39745
216  Authority citation revised.....................................8311
216.1  (a) and (c) amended..........................................8311
216.2  (e) and (h) revised..........................................8311
216.3  (a) introductory text amended; (a)(11) and (b) revised.......8311
216.5  (a) and (b) amended..........................................8312
216.6  Amended......................................................8312
216.7  Amended......................................................8312
216.8  Amended......................................................8312
300  Suspension of activity........................................24810
430  Authority citation revised.....................................7550
430.27  Revised....................................................42826
430.32  Removed.....................................................7550
430.33  Removed.....................................................7550
436.100--436.108 (Subpart F)  Authority citation revised............4586
436.106  (a)(4) (vi) and (vii) redesignated as (a)(4) (iv) and (v)
                                                                    4586
463  Form ERA-166 availability................................593, 42994
477  Removed.......................................................31317

                                  1987

10 CFR
                                                                   52 FR
                                                                    Page
Chapter II
420  Class deviation...............................................18548
430  Authority citation revised....................................47550
430.22  (c)(1)(iii) and (2)(iii) added; eff. 2-16-88...............47550
430.21--430.27 (Subpart B)  Appendix C amended; eff. 2-16-88.......47551
456  Revised; interim...............................................6715
    Revised........................................................34143
458  Removed.......................................................34185
465  Class deviation..............................................18548 

                                  1988

10 CFR
                                                                   53 FR
                                                                    Page
Chapter II
420  Class deviation...............................................15801
420.2  Amended.....................................................52394
420.3  (e) and (f) added...........................................52394
420.4  (b)(1) revised; (b)(4) added................................52395
420.12  (a) (4) and (5) and (b) amended; (a)(6) removed; (e) added
                                                                   52395
430.2  Amended......................................................8311
    Corrected......................................................10869
430.22  (m) revised.................................................8311
430.23  (m) (2) through (7) revised.................................8312
430.21--430.27 (Subpart B)  Appendix M amended......................8313

[[Page 644]]

435  Added; interim eff. 2-21-89...................................32545
465  Class deviation...............................................15801

                                  1989

10 CFR
                                                                   54 FR
                                                                    Page
Chapter II
430  Authority citation revised.....................................6074
    Competitive impact determinations and analyses.................47944
430.1  Revised......................................................6074
430.2  Amended......................................................6074
430.22  (a)(1)(ii), (2)(ii), (3)(ii), (4)(i) and (ii), (b)(1)(ii), 
        (2)(ii), (3)(ii), (4)(i), and (ii) amended; (a)(6) and 
        (b)(6) removed; (a)(5) and (b)(5) redesignated as (a)(6) 
        and (b)(6) and revised; new (a)(5), (b)(5), (p), and (q) 
        added.......................................................6075
430.23  Introductory text amended; (p) and (q) added................6075
430.21--430.27 (Subpart B)  Appendixes A and B removed..............6075
    Appendix A1 and B1 headings amended.............................6075
    Appendix A1 amended............................................36240
    effective date corrected.......................................38788
    Appendix B1 amended............................................36241
    effective date corrected.......................................38788
    Appendix M amended; Appendix N revised; Appendixes P and Q 
added...............................................................6076
    Appendix N corrected...........................................11320
430.31--430.33 (Subpart C)  Revised.................................6077
430.32  (a) revised; eff. 1-1-93...................................47943
    (e) table amended; eff. 1-1-92.................................47944
430.40--430.49 (Subpart D)  Revised.................................6078
430.50--430.57 (Subpart E)  Added...................................6080
430.60--430.75 (Subpart F)  Added...................................6081
430.60--430.75 (Subpart F)  Appendix B corrected...................11320
435  Authority citation revised.....................................4553
    Preliminary standby loss criteria adoption statement...........49724
    Corrected......................................................50342
435.97--435.112 (Subpart A)  Added..................................4554

                                  1990

10 CFR
                                                                   55 FR
                                                                    Page
Chapter II
420.2  Amended; interim.............................................3004
    Amended; final.................................................41324
420.5  Revised; interim.............................................3004
    Revised; final.................................................41324
420.9  Revised; interim.............................................3004
    Revised; final.................................................41325
430.2  Corrected.....................................................996
430.22  (e) (1) and (2) revised; (e)(4) added; eff. 4-15-91........42169
430.21--430.27 (Subpart B)  Appendix E revised; eff. 4-15-91.......42169
430.31  Amended; eff. 4-15-91......................................42177
430.32  (e) regulation at 54 FR 6077 effective date corrected......42162
    (d) revised; (e) amended; (d) eff. 4-15-91.....................42177
    (a) introductory text republished; (a) table corrected; eff. 
1-1-93.............................................................42847
435  Standby loss criteria statement and response to comments......23842
    Preliminary standby loss criteria adoption statement 
supplement..........................................................3714
    Regulation at 54 FR 49724 comment time extended.................3714
435.109  Table 9.3-1 revised.......................................23869
436  Authority citation revised....................................48220
436.1  Revised.....................................................48220
436.2  Revised.....................................................46220
436.10--436.24 (Subpart A)  Revised................................48220
436.30--436.34 (Subpart B)  Removed................................48223
436.40--436.56 (Subpart C)  Removed................................48223
436.70--436.80 (Subpart D)  Removed................................48223
436.100  (a) amended; (b) revised..................................48223
440.3  Amended; interim.............................................3005
    Amended; final.................................................41325
440.12  (a) amended; (c) added; interim.............................3005
    (a) amended; (c) added; final..................................41325
440.15  (c) amended; interim........................................3005
    (c) amended; final.............................................41326
440.30  Revised; interim............................................3005
    Revised; final.................................................41326
455.2  Amended; interim.............................................3005
    Amended; final.................................................41326

[[Page 645]]

455.110--455.115 (Subpart J)  Added; interim........................3006
    Added; final...................................................41326
465.2  Amended; interim.............................................3006
    Amended; final.................................................41327
465.8  Revised; interim.............................................3007
    Revised; final.................................................41327
465.10  Revised; interim............................................3007
    Revised; final.................................................41328

                                  1991

10 CFR
                                                                   56 FR
                                                                    Page
Chapter II
430  Authority citation revised....................................22279
430.2  Amended.....................................................18681
430.22  (k) and (l) removed; (q) added.............................18681
430.23  (k) and (l) removed; (q) added.............................18682
430.21--430.27 (Subpart B)  Appendixes K1, K2 and L removed; 
        Appendix Q amended.........................................18682
430.32  (f), (g) and (h) revised; eff. 5-14-94.....................22279
    (a) introductory text republished; (a) table corrected.........24333
435  Authority citation revised.....................................3772
435.302  Revised....................................................3772
435.304  Nomenclature change........................................3772
435.305  Added......................................................3772
435.306  Added......................................................3773

                                  1992

10 CFR
                                                                   57 FR
                                                                    Page
Chapter II
205.90--205.98 (Subpart G)  Removed................................23930
205.191  Removed...................................................23930
205.199D  Removed..................................................23930
205.199E  Removed..................................................23930
220  Removed.......................................................36891
300  Removed.......................................................36891
320  Removed.......................................................36891
417  Removed.......................................................23931
420  Authority citation revised....................................52944
420.1  (a) revised; (c) added......................................52944
420.2  Amended.....................................................52944
420.3  (c) removed; (d), (e) and (f) redesignated as (c), (d) and 
        (e); (a), new (c) and (e) revised..........................52945
420.4  (a) and (c) amended; (b) introductory text, (2)(iv) and (3) 
        revised; (b)(5), (6) and (7) added.........................52945
420.5  (a) and (b) introductory text amended.......................52945
420.6  (a)(3), (d)(3) and (4) revised; (f) added...................52945
420.7  Revised.....................................................52945
420.8  Amended.....................................................52945
420.9  (b), (d) and (f) amended....................................52945
420.11  Introductory text amended..................................52945
    (a) revised....................................................52946
420.12  (a)(4), (5), (c), (e)(1), (2), (4), (5) and (7) revised; 
        (e)(6)(iii) removed; (e)(6)(iv) and (v) redesignated as 
        (e)(6)(iii) and (iv).......................................52946
445  Removed.......................................................23931
456  Removed.......................................................23931
490  Removed.......................................................23931

                                  1993

10 CFR
                                                                   58 FR
                                                                    Page
Chapter II
440  Authority citation revised....................................12525
440.1  Revised.....................................................12525
440.3  Amended.....................................................12525
440.10  (e) amended................................................12529
440.11  (a) introductory text, (b), (c) introductory text, (d) and 
        (e) amended................................................12529
440.12  (a) and (c) introductory text amended................